الإحصائيات الأساسية
| CIK | 1484018 |
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 Spinnaker ETF Series - UVA Unconstrained Medium-Term Fixed Income 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.
| June 25, 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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| May 28, 2025 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: Jan. 31, 2027 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Invest |
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| May 28, 2025 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: Jan. 31, 2027 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Invest |
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| May 28, 2025 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: Jan. 31, 2027 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Invest |
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| February 19, 2025 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: Jan. 31, 2027 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Invest |
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| February 19, 2025 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: Jan. 31, 2027 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Invest |
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| February 19, 2025 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: Jan. 31, 2027 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Invest |
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| January 23, 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 |
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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| December 30, 2024 |
8-A12B 1 r812b1224.htm INDEXPERTS ETFS 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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer |
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| December 27, 2024 |
DLA Piper LLP (US) One Atlantic Center 1201 West Peachtree Street Suite 2900 Atlanta, Georgia 30309-3449 www. |
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| December 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| December 17, 2024 |
DLA Piper LLP (US) One Atlantic Center 1201 West Peachtree Street Suite 2900 Atlanta, Georgia 30309-3449 www. |
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| November 27, 2024 |
SPINNAKER ETF SERIES 116 South Franklin Street Rocky Mount, NC 27804 November 27, 2024 SPINNAKER ETF SERIES 116 South Franklin Street Rocky Mount, NC 27804 November 27, 2024 U. |
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| October 17, 2024 |
8-A12B 1 r8a12b1024.htm SELECT STOXX EUROPE AEROSPACE & DEFENSE ETF 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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See |
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| September 23, 2024 |
DLA Piper LLP (US) One Atlantic Center 1201 West Peachtree Street Suite 2900 Atlanta, Georgia 30309-3449 www. |
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| September 4, 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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| August 26, 2024 |
North Shore Equity Rotation ETF XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| August 23, 2024 |
DLA Piper LLP (US) One Atlantic Center 1201 West Peachtree Street Suite 2900 Atlanta, Georgia 30309-3449 www. |
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| May 16, 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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| May 10, 2024 |
DLA Piper LLP (US) One Atlantic Center 1201 West Peachtree Street Suite 2900 Atlanta, Georgia 30309-3449 www. |
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| April 23, 2024 |
DLA Piper LLP (US) One Atlantic Center 1201 West Peachtree Street Suite 2900 Atlanta, Georgia 30309-3449 www. |
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| April 1, 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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| March 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| March 21, 2024 |
March 21, 2024 VIA EDGAR ========== Raymond Be Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N. |
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| March 15, 2024 |
March 15, 2024 VIA EDGAR ========== Beckie Marquigny Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N. |
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| March 8, 2024 |
March 8, 2024 VIA EDGAR ========== Beckie Marquigny Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N. |
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| January 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| December 6, 2023 |
SPINNAKER ETF SERIES 116 S. Franklin Street Rocky Mount, NC 27804 SPINNAKER ETF SERIES 116 S. Franklin Street Rocky Mount, NC 27804 December 6, 2023 VIA EDGAR ========== Mindy Rotter, Esq., CPA Division of Investment Management Disclosure Review and Accounting Office U.S. Securities and Exchange Commission New York Regional Office 100 Pearl Street, Suite 20-100 New York, NY 10004-2616 RE: Spinnaker ETF Series (the “Trust”); File Nos. 333-215942 and 811-22398 Dea |
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| June 26, 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 July 07, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| May 11, 2023 |
Trajan Wealth Income Opportunities ETF XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT MCSC QTYINDIC FASLEVEL PROCESSDATE PROCESSTYPE SECTOR FUNDCURR BASECURR POSQTY POSORGCST POSAMORT POSMKTVAL RNDMKTVAL POSGL RNDPOSGL POSYIELD YIELDTOCALL POSYTM POSYTMNA POSPCPRT POSPCAST POSPCNAS POSORGFAC FASTODAYONLY LEI 430 Trajan Wealth Income Opportunities ETF 3136AX2G FNR 2017-75 PL 09/25/2057 3. |
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| April 6, 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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| March 28, 2023 |
March 28, 2023 VIA EDGAR ========== Karen Rossotto Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N. |
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| February 17, 2023 |
XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| February 17, 2023 |
UVA Unconstrained Medium-Term Fixed NPORT-EX 2 ffiu.htm XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSI |
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| February 17, 2023 |
Trajan Wealth Income Opportunities ETF XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| January 23, 2023 |
NPORT-EX 2 thcx.htm XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSI |
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| January 23, 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 February 03, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| January 4, 2023 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| December 12, 2022 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| November 30, 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 December 12, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 25, 2022 |
XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| November 23, 2022 |
UVA Unconstrained Medium-Term Fixed XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| November 23, 2022 |
XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| November 22, 2022 |
Trajan Wealth Income Opportunities ETF XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| October 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| October 28, 2022 |
UVA Unconstrained Medium-Term Fixed NPORT-EX 2 FFIU.htm XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSI |
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| October 26, 2022 |
NPORT-EX 2 thcx.htm XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSI |
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| October 17, 2022 |
DEFA14A 1 fp0080327-1defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commi |
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| October 5, 2022 |
October 5, 2022 VIA EDGAR ========== Karen Rossotto Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N. |
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| September 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| September 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule |
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| September 1, 2022 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| August 29, 2022 |
UVA Unconstrained Medium-Term Fixed XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| August 29, 2022 |
Trajan Wealth Income Opportunities ETF NPORT-EX 2 Trajan.htm XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR PO |
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| August 29, 2022 |
XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| August 29, 2022 |
XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| July 28, 2022 |
XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| June 29, 2022 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| June 29, 2022 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| June 29, 2022 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| May 27, 2022 |
Fund Number: 55 Run Date : 05/26/22 SPINNAKER GROUP ACCOUNT FAS 157 REPORT As Of : 03/31/22 Account Number Security ID Security Name Shares/Par Price (Local) Price (Base) Amortized Cost (Base) Traded MV (Base) Unrealized G/L % of MV Assigned FV Level Price Source Level One Securities 986327 00326A104 ABRDN GOLD ETF TRUST 92,000. |
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| May 27, 2022 |
VectorShares Min Vol ETF Schedule of Investments As of March 31, 2022 Number of Contracts Exercise Price Expiration Date Notional Value Value (Note 1) CALL OPTIONS PURCHASED - 3. |
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| May 27, 2022 |
XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| May 27, 2022 |
Trajan Wealth Income Opportunities ETF XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| May 6, 2022 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| May 6, 2022 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| May 6, 2022 |
Certificate of Accounting of Securities and Similar 40-17F1 1 r4017f10222.htm SPINNAKER ETF SERIES - UVA DIVIDEND VALUE ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hou |
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| April 27, 2022 |
The Cannabis ETF Schedule of Investments As of February 28, 2022 Shares Value (Note 1) COMMON STOCKS - 99. |
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| February 28, 2022 |
XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT MCSC QTYINDIC FASLEVEL PROCESSDATE PROCESSTYPE SECTOR FUNDCURR BASECURR POSQTY POSORGCST POSAMORT POSMKTVAL RNDMKTVAL POSGL RNDPOSGL POSYIELD YIELDTOCALL POSYTM POSYTMNA POSPCPRT POSPCAST POSPCNAS POSORGFAC FASTODAYONLY LEI 434 VectorShares Min Vol ETF ICSH BLACKROCK ULTRA SHORT TERM ETF 46434V878 I20I Investment Manage. |
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| February 25, 2022 |
Certificate of Accounting of Securities and Similar 40-17F1 1 n17f10521.htm SPINNAKER ETF SERIES - TRAJAN WEALTH INCOME OPPORTUNITIES ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities |
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| February 25, 2022 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| February 24, 2022 |
XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
|
| February 24, 2022 |
Trajan Wealth Income Opportunities ETF XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| February 24, 2022 |
Fund Number: 55 Run Date : 02/11/22 SPINNAKER GROUP ACCOUNT FAS 157 REPORT As Of : 12/31/21 Account Number Security ID Security Name Shares/Par Price (Local) Price (Base) Amortized Cost (Base) Traded MV (Base) Unrealized G/L % of MV Assigned FV Level Price Source Level One Securities 986327 00326A104 ABERDEEN STNDRD PHYSIC GLD 92,000. |
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| February 17, 2022 |
Qty or Principal/ Original Face Description/ Ticker/Security ID Original Cost Amortized Cost Current Price Current Value Unrealized Gain or Loss EXCHANGE TRADED FUND 47,913. |
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| January 28, 2022 |
XTRFUND XTRFNDDSC XTRTKR XTRDESC1 XTRDESC2 OCCID XTRCUSIP XTRGROUP XTRGROUP1 XTRGROUP2 XTRCATGRY XTRCATDSC XTRSECTOR XTRSECTR1 XTRSECTR2 XTRCONTRY XTRCONDSC XTRSTATE XTRSTNAME XTRCURNCY XTRCURDSC XTRMATDAT XTRSUBUNT XTRSUBDSC XTRPRICE XTRPRISRC SECTYPE SECTYPE2 RPTID INCLUDCAT LEGAL1 LEGAL2 LEGAL3 LEGAL4 LEGAL5 LEGAL6 BASQDECS BASMDECS LCLPDECS LCLQDECS MULTICURR ISBASCURR POSINCOM CLASS LONGSHORT |
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| December 9, 2021 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| December 9, 2021 |
Certificate of Accounting of Securities and Similar UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| November 26, 2021 |
Qty or Principal/ Original Face Description/ Ticker/Security ID Original Cost Amortized Cost Current Price Current Value Unrealized Gain or Loss EXCHANGE TRADED FUND 47,913. |
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| November 22, 2021 |
Schedule of Investments 9/30/2021 Asset Group Account Number Security Number (Full) Security Description (Long 1) Shares/Par (Full) Cost Basis Traded Market Value (Base) Price (Holdings) CLOSE-END FUNDS 986327 09248X100 BLACKROCK TAXABLE MUNICIPAL 26824. |
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| November 22, 2021 |
Trajan Wealth Income Opportunities ETF Schedule of Investments As of September 30, 2021 Shares Value (Note 1) COMMON STOCKS - 30. |
|
| November 15, 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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| October 28, 2021 |
The Cannabis ETF Schedule of Investments (Unaudited) As of August 31, 2021 Shares Value (Note 1) COMMON STOCKS - 99. |
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| October 22, 2021 |
October 22, 2021 VIA EDGAR ========== Karen Rossotto Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N. |
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| September 10, 2021 |
SPINNAKER ETF SERIES 116 South Franklin Street Rocky Mount, NC 27804 September 10, 2021 SPINNAKER ETF SERIES 116 South Franklin Street Rocky Mount, NC 27804 September 10, 2021 U. |
|
| August 23, 2021 |
UVA Unconstrained Medium-Term Fixed Income ETF Schedule of Investments As of June 30, 2021 Principal Interest Rate Maturity Date Value (Note 1) ASSET-BACKED SECURITY - 0. |
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| August 20, 2021 |
Fund Name Ticker Company Name Cusip Industry Category Country Currency Maturity Date Shares/Par Principal Market Value Unrealized Gain/Loss Trajan Wealth Income Opportunities ETF AIG American International Group, Inc. |
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| July 28, 2021 |
Fund Name Ticker Company Name Cusip Category Country Currency POSQTY POSAMORT POSMKTVAL POSGL The Cannabis ETF AGFY AGRIFY CORP 00853E107 COMMSTCK USD USD 287,423. |
|
| July 15, 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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| June 29, 2021 |
June 29, 2021 VIA EDGAR ========== Alison White Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N. |
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| May 3, 2021 |
- SPINNAKER ETF SERIES - THE CANNABIS ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May, 31 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| March 30, 2021 |
- SPINNAKER ETF SERIES - TRAJAN WEALTH INCOME OPPORTUNITIES ETF 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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
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| March 26, 2021 |
COVER 4 filename4.htm SPINNAKER ETF SERIES 116 South Franklin Street Rocky Mount, North Carolina 27804 252-972-9922 March 26, 2021 U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 RE: VectorShares Min Vol ETF, a series of the Spinnaker ETF Series File Nos. 333-215942 and 811-22398 Ladies and Gentlemen: Enclosed herewith for filing on behalf of the Trust, pursuant to: |
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| January 25, 2021 |
- SPINNAKER ETF SERIES - THE CANNABIS ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May, 31 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| January 25, 2021 |
- SPINNAKER ETF SERIES - THE CANNABIS ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar OMB Number: 3235-0359 Investments of a Management Investment Company Expires: May 31, 2021 in the Custody of Members of Estimated average burden National Securities Exchanges hours per response 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| December 15, 2020 |
December 15, 2020 VIA EDGAR ========== David Manion Securities and Exchange Commission Filing Desk 100 F Street, N. |
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| July 20, 2020 |
July 20, 2020 VIA EDGAR ========== Elena Stojic Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N. |
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| July 20, 2020 |
- SPINNAKER ETF SERIES - CHANGEBRIDGE CAPITAL LONG/SHORT EQUITY ETF SPINNAKER ETF SERIES 116 South Franklin Street Rocky Mount, NC 27804 252-972-9922 July 20, 2020 U. |
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| July 10, 2020 |
EX-99.I LEGAL OPININ 2 legalconsent.htm CONSENT OF LEGAL COUNSEL Exhibit (i)(2) July 9, 2020 Spinnaker ETF Series 116 South Franklin Street P. O. Box 69 Rocky Mount, NC 27802 Dear Board Members: A legal opinion (the “Legal Opinion”) that we prepared was filed with Post-Effective Amendment No. 22 to the Spinnaker ETF Series Registration Statement (the “Registration Statement”). We hereby give you o |
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| July 10, 2020 |
- SPINNAKER ETF SERIES - THE CANNABIS ETF As filed with the Securities and Exchange Commission on July 9 , 2020 File Nos. 333-215942 and 811-22398 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 S Pre-Effective Amendment No. £ Post-Effective Amendment No. 45 S and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 S Amendment No. 49 S ( |
|
| July 10, 2020 |
Exhibit (i)(3) OPINION ON LEGAL STATUS OF CANNABIS COMPANIES HELD BY THE CANNABIS ETF July 1, 2020 INTRODUCTION The Spinnaker ETF Series (the “Trust”) and its series, The Cannabis ETF (the “Fund”) have requested that Greenberg Traurig, LLP render this opinion for the benefit of the Fund and its shareholders and, in particular, has asked us whether the Fund and its shareholders will violate laws of the United States and corresponding state laws with respect to the Fund’s investment in cannabis companies, as defined below. |
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| May 11, 2020 |
- SPINNAKER ETF SERIES - THE CANNABIS ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar Investments of a Management Investment Company in the Custody of Members of National Securities Exchanges OMB Number: Expires: Estimated average burden hours per response 3235-0359 May 31, 2021 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| May 11, 2020 |
- SPINNAKER ETF SERIES - THE CANNABIS ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar Investments of a Management Investment Company in the Custody of Members of National Securities Exchanges OMB Number: Expires: Estimated average burden hours per response 3235-0359 May 31, 2021 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
|
| May 11, 2020 |
- SPINNAKER ETF SERIES - THE CANNABIS ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-1 OMB APPROVAL Certificate of Accounting of Securities and Similar Investments of a Management Investment Company in the Custody of Members of National Securities Exchanges OMB Number: Expires: Estimated average burden hours per response 3235-0359 May 31, 2021 1.5 Pursuant to Rule 17f-1 [17 CFR 270.17f-1] 1. Investm |
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| January 28, 2020 |
CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 I, Katherine M. |
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| January 28, 2020 |
N-Q 1 nq1119.htm SPINNAKER ETF SERIES - THE CANNABIS ETF 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 811-22398 Spinnaker ETF Series (Exact name of registrant as specified in charter) 116 South Franklin Street, Rocky Mount, North Carolina 27804 |
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| January 8, 2020 |
THCX / The Cannabis ETF POS EX - - SPINNAKER ETF SERIES POS EX 1 n1a0120.htm SPINNAKER ETF SERIES As filed with the Securities and Exchange Commission on January 8, 2020 File Nos. 333-215942 and 811-22398 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒ Pre-Effective Amendment No. ☐ Post-Effective Amendment No. 31 ☒ and/or REGISTRATION STATEMENT UNDER THE INVESTMEN |
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| January 8, 2020 |
Exhibit (q) CERTIFICATE The undersigned, President of Spinnaker ETF Series, hereby certifies that the following resolution was adopted by a majority of the Board of Trustees at a meeting held on December 17, 2019, and is in full force and effect: KNOW ALL PERSONS BY THESE PRESENTS that the undersigned officer and/or trustee of the Spinnaker ETF Series (the “Trust”), a Delaware statutory trust, hereby revokes all previous appointments and appoints Terrence O. |
|
| January 8, 2020 |
EX-99.I LEGAL OPININ 3 legalconsent.htm CONSENT OF LEGAL COUNSEL Exhibit (i)(2) January 8, 2020 Spinnaker ETF Series 116 South Franklin Street P. O. Box 69 Rocky Mount, NC 27802 Dear Board Members: A legal opinion (the “Legal Opinion”) that we prepared was filed with Post-Effective Amendment No. 22 to the Spinnaker ETF Series Registration Statement (the “Registration Statement”). We hereby give yo |
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| December 16, 2019 |
THCX / The Cannabis ETF CORRESP - - December 16, 2019 VIA EDGAR ========== Alison White Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N. |
|
| November 29, 2019 |
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 811-22398 Spinnaker ETF Series (Exact name of registrant as specified in charter) 116 South Franklin Street, Rocky Mount, North Carolina 27804 (Address of principal executive offices) (Zip code) Corp |
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| November 29, 2019 |
CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 EX-99.CERT 2 cert302.htm CERT 302 - PRINCIPAL OFFICERS CERTIFICATIONS CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 I, Katherine M. Honey, certify that: 1. I have reviewed this report on Form N-Q of the UVA Unconstrained Medium-Term Fixed Income ETF, a series of the Spinnaker ETF Series; 2. Based on my knowledge, this report does not contain any untrue statement |
|
| November 5, 2019 |
SPINNAKER ETF SERIES 116 South Franklin Street Rocky Mount, North Carolina 27804 252-972-9922 November 5, 2019 VIA EDGAR U. |
|
| October 17, 2019 |
SPINNAKER ETF SERIES 116 South Franklin Street Rocky Mount, North Carolina 27804 252-972-9922 October 17, 2019 VIA EDGAR U. |
|
| September 27, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 24F-2 Annual Notice of Securities Sold Pursuant to Rule 24f-2 (Read instructions at end of Form before preparing Form) - 1. Name and address of issuer: SPINNAKER ETF SERIES 116 SOUTH FRANKLIN STREET POST OFFICE BOX 69 ROCKY MOUNT, NC 27802-0069 - 2. The name of each series or class of securities for which this Form is fil |
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| June 20, 2019 |
Spinnaker Etf Trust 8-A12B - - SPINNAKER ETF SERIES - THE CANNABIS ETF 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 Spinnaker ETF Series (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankl |
|
| May 30, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-22398 Spinnaker ETF Series (Exact name of registrant as specified in charter) 116 South Franklin Street, Post Office Box 69, Rocky Mount, North Carolina 27802 (Address of principal executive offices) (Zip |
|
| May 30, 2019 |
CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 EX-99.CERT 2 cert302.htm SECTION 302 - PRINCIPAL OFFICERS CERTIFICATIONS CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 I, Katherine M. Honey, certify that: 1. I have reviewed this report on Form N-Q of the Fieldstone UVA Unconstrained Medium-Term Fixed Income ETF, a series of the Spinnaker ETF Series; 2. Based on my knowledge, this report does not contain any un |
|
| March 6, 2019 |
Spinnaker Etf Trust CORRESP - - March 6, 2019 VIA EDGAR ========== Alison White Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N. |
|
| December 28, 2018 |
EX-99.25 2 ruleprovisionnotice.htm 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 January 8, 2019, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240.12 |
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| November 29, 2018 |
N-Q 1 nq4250918.htm SPINNAKER ETF SERIES - FIELDSTONE MERLIN DYNAMIC LARGE CAP GROWTH ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-22398 Spinnaker ETF Series (Exact name of registrant as specified in charter) 116 South Franklin Street, Post Offic |
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| November 29, 2018 |
CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 EXHIBIT A CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 I, Katherine M. |
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| November 29, 2018 |
N-Q 1 nq4260918.htm SPINNAKER ETF SERIES - FIELDSTONE UVA UNCONSTRAINED MEDIUM TERM FIXED INCOME ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-22398 Spinnaker ETF Series (Exact name of registrant as specified in charter) 116 South Franklin Street, |
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| November 29, 2018 |
CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 EX-99.CERT 2 cert302.htm SECTION 302 - PRINCIPAL OFFICERS CERTIFICATIONS EXHIBIT A CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 I, Katherine M. Honey, certify that: 1. I have reviewed this report on Form N-Q of the Fieldstone UVA Unconstrained Medium-Term Fixed Income ETF, a series of the Spinnaker ETF Series; 2. Based on my knowledge, this report does not cont |
|
| November 21, 2018 |
SPINNAKER ETF SERIES 116 South Franklin Street Rocky Mount, North Carolina 27804 252-972-9922 November 21, 2018 VIA EDGAR U. |
|
| May 30, 2018 |
CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 EX-99.CERT 2 cert302.htm SECTION 302 - PRINCIPAL OFFICERS CERTIFICATIONS EXHIBIT A CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 I, Katherine M. Honey, certify that: 1. I have reviewed this report on Form N-Q of the Fieldstone UVA Unconstrained Medium-Term Fixed Income ETF, a series of the Spinnaker ETF Series; 2. Based on my knowledge, this report does not cont |
|
| May 30, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-22398 Spinnaker ETF Series (Exact name of registrant as specified in charter) 116 South Franklin Street, Post Office Box 69, Rocky Mount, North Carolina 27802 (Address of principal executive offices) (Zip |
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| May 30, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-22398 Spinnaker ETF Series (Exact name of registrant as specified in charter) 116 South Franklin Street, Post Office Box 69, Rocky Mount, North Carolina 27802 (Address of principal executive offices) (Zip |
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| May 30, 2018 |
CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 EX-99.CERT 2 cert302.htm SECTION 302 - PRINCIPAL OFFICERS CERTIFICATIONS EXHIBIT A CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 I, Katherine M. Honey, certify that: 1. I have reviewed this report on Form N-Q of the Fieldstone Merlin Dynamic Large Cap Growth ETF, a series of the Spinnaker ETF Series; 2. Based on my knowledge, this report does not contain any unt |
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| November 30, 2017 |
CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 EX-99.CERT 2 cert302.htm SECTION 302 - PRINCIPAL OFFICERS CERTIFICATIONS EXHIBIT A CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 I, Katherine M. Honey, certify that: 1. I have reviewed this report on Form N-Q of the Fieldstone UVA Unconstrained Medium-Term Fixed Income ETF, a series of the Spinnaker ETF Trust; 2. Based on my knowledge, this report does not conta |
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| November 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-22398 Spinnaker ETF Trust (Exact name of registrant as specified in charter) 116 South Franklin Street, Post Office Box 69, Rocky Mount, North Carolina 27802 (Address of principal executive offices) (Zip c |
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| November 30, 2017 |
CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 EXHIBIT A CERTIFICATIONS PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 I, Katherine M. |
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| November 30, 2017 |
Spinnaker Etf Trust - SPINNAKER ETF TRUST - FIELDSTONE MERLIN DYNAMIC LARGE CAP GROWTH ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-22398 Spinnaker ETF Trust (Exact name of registrant as specified in charter) 116 South Franklin Street, Post Office Box 69, Rocky Mount, North Carolina 27802 (Address of principal executive offices) (Zip c |
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| August 18, 2017 |
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 Spinnaker ETF Trust (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See List Below (I.R.S. Employer Identification Number) 116 South Frankli |
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| August 17, 2017 |
1201 West Peachtree Street, Suite 2000 | Atlanta, GA 30309 | T 404.817.8500 | F 404.881.0470 Holland & Knight LLP | www.hklaw.com Terrence O. Davis (404) 817-8531 [email protected] August 17, 2017 VIA EDGAR ========== Sumeera Younis Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N.E. Washington, DC 20549 RE: Spinnaker ETF Trust (the "Trust"), |
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| August 17, 2017 |
1201 West Peachtree Street, Suite 2000 | Atlanta, GA 30309 | T 404.817.8500 | F 404.881.0470 Holland & Knight LLP | www.hklaw.com Terrence O. Davis (404) 817-8531 [email protected] August 17, 2017 VIA EDGAR ========== Christina Fettig Senior Accountant Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N.E. Washington, DC 20549 RE: Spinnaker ETF T |
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| August 17, 2017 |
1180 West Peachtree Street, Suite 1800 | Atlanta, GA 30309 | T 404.817.8500 | F 404.881.0470 Holland & Knight LLP | www.hklaw.com Terrence O. Davis (404) 817-8531 [email protected] August 17, 2017 VIA EDGAR ========== Sumeera Younis Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N.E. Washington, DC 20549 RE: Spinnaker ETF Trust (the "Trust"), |
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| August 17, 2017 |
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 to the Registration Statement on Form N-1A of Fieldstone Merlin Dynamic Large Cap Growth ETF ("the Fund"), a series of shares of beneficial interest in Spinnaker ETF Trust, and to the use of our report dated July 18, 2017 on the Fund's Statement of Assets and Liabilities as of July 12, 2017. |
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| August 17, 2017 |
As filed with the Securities and Exchange Commission on August 17, 2017 File Nos. 333-215942 and 811-22398 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ? Pre-Effective Amendment No. 4 ? Post-Effective Amendment No. ? and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 ? Amendment No. 4 ? ( |
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| August 17, 2017 |
1201 West Peachtree Street, Suite 2000 | Atlanta, GA 30309 | T 404.817.8500 | F 404.881.0470 Holland & Knight LLP | www.hklaw.com Terrence O. Davis (404) 817-8531 [email protected] August 17, 2017 VIA EDGAR ========== Christina Fettig Senior Accountant Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N.E. Washington, DC 20549 RE: Spinnaker ETF T |
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| August 16, 2017 |
As filed with the Securities and Exchange Commission on August 16, 2017 File Nos. 333-215942 and 811-22398 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ? Pre-Effective Amendment No. 3 ? Post-Effective Amendment No. ? and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 ? Amendment No. 3 ? ( |
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| August 16, 2017 |
AUTHORIZED PARTICIPANT AGREEMENT FOR SPINNAKER ETF TRUST AUTHORIZED PARTICIPANT AGREEMENT FOR SPINNAKER ETF TRUST This Authorized Participant Agreement (the "Agreement") is entered into by and between Capital Investment Group, Inc. |
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| August 16, 2017 |
SUBSCRIPTION AGREEMENT Spinnaker ETF Trust 116 South Franklin Street Rocky Mount, North Carolina 27804 Ladies and Gentlemen: 1. |
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| August 16, 2017 |
1201 West Peachtree Street, Suite 2000 | Atlanta, GA 30309 | T 404.817.8500 | F 404.881.0470 Holland & Knight LLP | www.hklaw.com Terrence O. Davis (404) 817-8531 [email protected] August 16, 2017 VIA EDGAR ========== Sumeera Younis Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N.E. Washington, DC 20549 RE: Spinnaker ETF Trust (the "Trust"), |
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| August 16, 2017 |
BY-LAWS SPINNAKER ETF TRUST (THE "TRUST") ARTICLE I. FISCAL YEAR AND OFFICES BY-LAWS SPINNAKER ETF TRUST (THE "TRUST") ARTICLE I. FISCAL YEAR AND OFFICES Section 1. Fiscal Year. Unless otherwise provided by resolution of the Board of Trustees of the Trust ("Board" or "Board of Trustees"), the fiscal year of the Trust shall begin on the 1st day of March and end on the last day of February. Section 2. Delaware Office. The Board of Trustees shall establish a registered office |
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| August 16, 2017 |
ETF DISTRIBUTION AGREEMENT This ETF Distribution Agreement (the "Agreement') is effective the 15th day of August, 2017, between SPINNAKER ETF TRUST, a Delaware statutory trust (the "Trust"), on behalf of itself and the fund(s) listed on Schedule A, as may be amended from time to time (each a "Fund" and collectively the "Funds"), and CAPITAL INVESTMENT GROUP, INC, a North Carolina corporation (the "Distributor"). |
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| August 16, 2017 |
Articles III, V, and VI of the Trust Instrument DECLARATION OF TRUST of SPINNAKER ETF TRUST a Delaware Statutory Trust TABLE OF CONTENTS Page ARTICLE I. |
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| August 16, 2017 |
CUSTODY AGREEMENT AGREEMENT, dated as of 15th day of August, 2017 between Spinnaker ETF Trust, a Delaware Statutory Trust, having its principal office and place of business at 116 South Franklin Street, Rocky Mount, North Carolina 27802 (the "Trust") and The Bank of New York Mellon, a New York corporation authorized to do a banking business, having its principal office and place of business at 225 Liberty Street, New York, New York 10286 ("Custodian"). |
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| August 16, 2017 |
SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, North Carolina 27804 252-972-9922 August 16, 2017 VIA EDGAR U. |
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| August 16, 2017 |
Fund Administration Service Agreement FUND ADMINISTRATION SERVICE AGREEMENT between SPINNAKER ETF TRUST and INDEX 1. APPOINTMENT OF THE ADMINISTRATOR pg 4 2. SERVICES AND DUTIES OF THE ADMINISTRATOR pg 4 3. BOOKS AND RECORDS pg 4 4. FEES, EXPENSES AND OTHER COMPENSATION pg 6 5. NON-EXCLUSIVITY pg 7 6. INDEPENDENT CONTRACTOR STATUS pg 8 7. LIMITATION OF LIABILITY, INDEMNIFICATION, AND RELIANCE pg 8 8. EFFECTIVE DATE, DURATION AND TERMI |
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| August 16, 2017 |
EXPENSE LIMITATION AGREEMENT THIS EXPENSE LIMITATION AGREEMENT ("Agreement") is made and entered into effective as this 16th day of August, 2017 by and between SPINNAKER ETF TRUST, a Delaware statutory trust (the "Trust"), on behalf of its series, Fieldstone UVA Unconstrained Medium-Term Fixed Income ETF and the Fieldstone UVA Dividend Value ETF (the "Fund(s)"), and Universal Value Advisors, a Nevada Limited Liability Company (the "Sub-advisor"). |
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| August 16, 2017 |
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 to the Registration Statement on Form N-1A of Fieldstone Merlin Dynamic Large Cap Growth ETF ("the Fund"), a series of shares of beneficial interest in Spinnaker ETF Trust, and to the use of our report dated July 18, 2017 on the Fund's Statement of Assets and Liabilities as of July 12, 2017. |
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| August 16, 2017 |
EXPENSE LIMITATION AGREEMENT THIS EXPENSE LIMITATION AGREEMENT ("Agreement") is made and entered into effective as this 19th day of July, 2017 by and between SPINNAKER ETF TRUST, a Delaware statutory trust (the "Trust"), on behalf of its series, Fieldstone Merlin Dynamic Large Cap Growth ETF (the "Fund(s)"), and Merlin Asset Management, a New York Limited Liability Company (the "Sub-advisor"). |
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| August 16, 2017 |
Investment Sub-Advisory Agreement INVESTMENT SUB-ADVISORY AGREEMENT This Investment Sub-advisory Agreement ("Agreement") is made and entered into as of July 11, 2017 by and among Spinnaker ETF Trust, a Delaware Statutory Trust ("Trust"), OBP Capital, LLC, a Delaware Limited Liability Company ("Advisor") and Ancora West Advisors, LLC, dba Universal Value Advisors, a Nevada Limited Liability Company ("Sub-Advisor"). |
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| August 16, 2017 |
1180 West Peachtree Street, Suite 1800 | Atlanta, GA 30309 | T 404.817.8500 | F 404.881.0470 Holland & Knight LLP | www.hklaw.com Terrence O. Davis (404) 817-8531 [email protected] August 16, 2017 VIA EDGAR ========== Sumeera Younis Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N.E. Washington, DC 20549 RE: Spinnaker ETF Trust (the "Trust"), |
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| August 16, 2017 |
Transfer Agency and Service Agreement TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the 9th day of June, 2017, by and between each Trust (hereinafter each a "Trust", and collectively the "Trusts" as applicable) listed on Appendix A hereto (as such Appendix be amended from time to time) and THE BANK OF NEW YORK MELLON, a New York corporation authorized to do a banking business having its principal office and place of business at 225 Liberty Street, New York, New York 10286 (the "Bank"). |
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| August 16, 2017 |
August 15, 2017 Spinnaker ETF Trust 116 South Franklin Street P. O. Box 69 Rocky Mount, NC 27802 Dear Board Members: This letter is in response to your request for our opinion in connection with the filing of Pre-Effective Amendment No. 3 to the Registration Statement, 1933 Act File No. 333-215942 and 1940 Act File No. 811-22398 (the "Registration Statement"), of Spinnaker ETF Trust (the "Trust"). |
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| August 16, 2017 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS that the undersigned officer and/or trustee of the Spinnaker ETF Trust (the "Trust"), a Delaware statutory trust, hereby revokes all previous appointments and appoints Matthew J. |
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| August 16, 2017 |
FUND ACCOUNTING AGREEMENT THIS AGREEMENT is made as of July 18, 2017 by and between each Trust listed on the signature page hereto (each a "Fund", and collectively the "Funds" as applicable) and The Bank of New York Mellon, a New York corporation authorized to do a banking business ("BNY Mellon"). |
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| August 16, 2017 |
INVESTMENT SUB-ADVISORY AGREEMENT INVESTMENT SUB-ADVISORY AGREEMENT This Investment Sub-advisory Agreement ("Agreement") is made and entered into as of July 11, 2016 by and among Spinnaker ETF Trust, a Delaware Statutory Trust ("Trust"), OBP Capital, LLC, a Delaware Limited Liability Company ("Advisor") and Merlin Capital, LLC, a New York Limited Liability Company ("Sub-Advisor"). |
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| August 16, 2017 |
Investment Sub-Advisory Agreement INVESTMENT SUB-ADVISORY AGREEMENT This Investment Sub-advisory Agreement ("Agreement") is made and entered into as of July 11, 2017 by and among Spinnaker ETF Trust, a Delaware Statutory Trust ("Trust"), OBP Capital, LLC, a Delaware Limited Liability Company ("Advisor") and Ancora West Advisors, LLC, dba Universal Value Advisors, a Nevada Limited Liability Company ("Sub-Advisor"). |
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| August 16, 2017 |
LISTING AGREEMENT Exchange-Traded Products1 The undersigned, being a duly authorized officer of Spinnaker ETF Trust Full Name of Issuer2 (the "Issuer") does hereby certify that this agreement is made pursuant to resolutions adopted by the Issuer's governing body to list the following securities on NYSE Arca, Inc. |
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| August 10, 2017 |
CORRESP 1 filename1.htm 1201 West Peachtree Street, Suite 2000 | Atlanta, GA 30309 | T 404.817.8500 | F 404.881.0470 Holland & Knight LLP | www.hklaw.com Terrence O. Davis (404) 817-8531 [email protected] August 10, 2017 VIA EDGAR ========== Christina Fettig Senior Accountant Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N.E. Washington, DC 2 |
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| August 10, 2017 |
1201 West Peachtree Street, Suite 2000 | Atlanta, GA 30309 | T 404.817.8500 | F 404.881.0470 Holland & Knight LLP | www.hklaw.com Terrence O. Davis (404) 817-8531 [email protected] August 10, 2017 VIA EDGAR ========== Sumeera Younis Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N.E. Washington, DC 20549 RE: Spinnaker ETF Trust (the "Trust"), |
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| June 23, 2017 |
INVESTMENT SUB-ADVISORY AGREEMENT INVESTMENT SUB-ADVISORY AGREEMENT This Investment Sub-advisory Agreement ("Agreement") is made and entered into as of [], 2016 by and among Spinnaker ETF Trust, a Delaware Statutory Trust ("Trust"), OBP Capital, LLC, a Delaware Limited Liability Company ("Advisor") and Ancora West Advisors, LLC, dba Universal Value Advisors, a Nevada Limited Liability Company ("Sub-Advisor"). |
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| June 23, 2017 |
As filed with the Securities and Exchange Commission on June 23, 2017, 2017 File Nos. |
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| June 23, 2017 |
CUSTODY AGREEMENT AGREEMENT, dated as of , 20 between , a , having its principal office and place of business at (the "Trust") and The Bank of New York Mellon, a New York corporation authorized to do a banking business, having its principal office and place of business at 225 Liberty Street, New York, New York 10286 ("Custodian"). |
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| June 23, 2017 |
TRANSFER AGENCY AND SERVICE AGREEMENT TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the 9th day of June, 2017, by and between each Trust (hereinafter each a "Trust", and collectively the "Trusts" as applicable) listed on Appendix A hereto (as such Appendix be amended from time to time) and THE BANK OF NEW YORK MELLON, a New York corporation authorized to do a banking business having its principal office and place of business at 225 Liberty Street, New York, New York 10286 (the "Bank"). |
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| June 23, 2017 |
1201 West Peachtree Street, Suite 2000 | Atlanta, GA 30309 | T 404.817.8500 | F 404.881.0470 Holland & Knight LLP | www.hklaw.com Terrence O. Davis (404) 817-8531 [email protected] June 23, 2017 VIA EDGAR ========== Sumeera Younis Division of Investment Management Securities and Exchange Commission Filing Desk 100 F Street, N.E. Washington, DC 20549 RE: Spinnaker ETF Trust (the "Trust"), wi |
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| June 23, 2017 |
FUND ACCOUNTING AGREEMENT THIS AGREEMENT is made as of , 20 by and between each Trust listed on the signature page hereto (each a "Fund", and collectively the "Funds" as applicable) and The Bank of New York Mellon, a New York corporation authorized to do a banking business ("BNY Mellon"). |
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| June 23, 2017 |
INVESTMENT SUB-ADVISORY AGREEMENT INVESTMENT SUB-ADVISORY AGREEMENT This Investment Sub-advisory Agreement ("Agreement") is made and entered into as of [], 2016 by and among Spinnaker ETF Trust, a Delaware Statutory Trust ("Trust"), OBP Capital, LLC, a Delaware Limited Liability Company ("Advisor") and Merlin Asset Management, a New York Limited Liability Company ("Sub-Advisor"). |
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| June 23, 2017 |
Code of Ethics In July 2004, the SEC adopted an important rule (Rule 204A-1) similar to Rule 17J-1 under the Investment Company Act, requiring SEC advisers to adopt a code of ethics. |
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| June 23, 2017 |
Statement of General Policy Policy This Code of Ethics ("Code") has been adopted by OBP Capital, LLC (hereinafter "OBP") and is designed to comply with Rule 204A-1 under the Investment Advisers Act of 1940 ("Advisers Act"). |
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| June 23, 2017 |
ETF DISTRIBUTION AGREEMENT This ETF Distribution Agreement (the "Agreement') is effective the day of , 20, between SPINNAKER ETF TRUST, a Delaware statutory trust (the "Trust"), on behalf of itself and the fund(s) listed on Schedule A, as may be amended from time to time (each a "Fund" and collectively the "Funds"), and CAPITAL INVESTMENT GROUP, INC, a North Carolina corporation (the "Distributor"). |
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| June 23, 2017 |
CODE OF ETHICS In July 2004, the SEC adopted an important rule (Rule 204A-1) similar to Rule 17J-1under the Investment Company Act, requiring SEC advisers to adopt a? code of ethics. |
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| June 23, 2017 |
SPINNAKER INVESTMENT TRUST CODE OF ETHICS Amended 2/1/2017 CCO: Stacey Gillespie sgillespie@cipperman. |
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| June 23, 2017 |
AUTHORIZED PARTICIPANT AGREEMENT FOR SPINNAKER ETF TRUST AUTHORIZED PARTICIPANT AGREEMENT FOR SPINNAKER ETF TRUST This Authorized Participant Agreement (the "Agreement") is entered into by and between Capital Investment Group, Inc. |
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| June 23, 2017 |
BY-LAWS SPINNAKER ETF TRUST (THE "TRUST") ARTICLE I. FISCAL YEAR AND OFFICES BY-LAWS SPINNAKER ETF TRUST (THE "TRUST") ARTICLE I. FISCAL YEAR AND OFFICES Section 1. Fiscal Year. Unless otherwise provided by resolution of the Board of Trustees of the Trust ("Board" or "Board of Trustees"), the fiscal year of the Trust shall begin on the 1st day of March and end on the last day of February. Section 2. Delaware Office. The Board of Trustees shall establish a registered office |
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| June 23, 2017 |
INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT ("Agreement") is made and entered into as of the 21st day of December, 2016, by and between SPINNAKER ETF TRUST, a Delaware statutory trust (the "Trust"), and OBP CAPITAL, LLC, a North Carolina Limited Liability Company (the "Adviser"), located at 116 S Franklin Street, PO Box 69, Rocky Mount, NC 27802. |
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| June 23, 2017 |
TABLE OF CONTENTS Page ARTICLE I. Name and Definitions 1 Section 1. Name 1 Section 2. Registered Agent and Registered Office; Principal Place 1 Section 3. Definitions 1 ARTICLE II. Purpose of Trust 3 ARTICLE III. Shares 6 Section 1. Division of Beneficial Interest 6 Section 2. Ownership of Shares 7 Section 3. Investments in the Trust 8 Section 4. Status of Shares and Limitation of Personal Liabili |
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| June 23, 2017 |
INVESTMENT SUB-ADVISORY AGREEMENT INVESTMENT SUB-ADVISORY AGREEMENT This Investment Sub-advisory Agreement ("Agreement") is made and entered into as of [], 2016 by and among Spinnaker ETF Trust, a Delaware Statutory Trust ("Trust"), OBP Capital, LLC, a Delaware Limited Liability Company ("Advisor") and Ancora West Advisors, LLC, dba Universal Value Advisors, a Nevada Limited Liability Company ("Sub-Advisor"). |
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| April 20, 2017 |
As filed with the Securities and Exchange Commission on April 20, 2017 File Nos. 333-215942 and 811-22398 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒ Pre-Effective Amendment No. 1 ☒ Post-Effective Amendment No. ☐ and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 ☒ Amendment No. 1 ☒ (C |
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| April 20, 2017 |
SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 252-972-9922 April 20, 2017 VIA EDGAR ========== Ms. |
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| February 10, 2017 |
SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 February 10, 2017 SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 252-972-9922 February 10, 2017 VIA EDGAR U. |
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| February 9, 2017 |
SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 February 9, 2017 SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 252-972-9922 February 9, 2017 VIA EDGAR U. |
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| February 9, 2017 |
SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 February 9, 2017 SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 252-972-9922 February 9, 2017 VIA EDGAR U. |
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| February 8, 2017 |
As filed with the Securities and Exchange Commission on February 8, 2017 File Nos. |
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| February 8, 2017 |
SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, North Carolina 27804 252-972-9922 February 8, 2017 VIA EDGAR U. |
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| February 7, 2017 |
SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 February 7, 2017 SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 252-972-9922 February 7, 2017 VIA EDGAR U. |
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| February 7, 2017 |
SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 February 7, 2017 SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 252-972-9922 February 7, 2017 VIA EDGAR U. |
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| February 3, 2017 | ||
| February 3, 2017 |
As filed with the Securities and Exchange Commission on February 3, 2017 File Nos. |
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| January 24, 2017 |
As filed with the Securities and Exchange Commission on January 24, 2017 File Nos. |
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| January 24, 2017 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS that the undersigned officer and/or trustee of the Spinnaker ETF Trust (the "Trust"), a Delaware statutory trust, hereby revokes all previous appointments and appoints Matthew J. |
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| January 24, 2017 |
SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 January 24, 2017 SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 252-972-9922 January 24, 2017 VIA EDGAR U. |
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| May 26, 2010 |
SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 May 26, 2010 SPINNAKER ETF TRUST 116 South Franklin Street Rocky Mount, NC 27804 252-972-9922 May 26, 2010 VIA EDGAR U. |
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| March 25, 2010 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and in connection with such notific |
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| March 25, 2010 |
As filed with the Securities and Exchange Commission on March 25, 2010 File Nos. 333-***** and 811-22398 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. [ ] Post-Effective Amendment No. [ ] and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X] Amendment No. [ |
