Securities Registration (section 12(b)) (8-a12b)
December 23 2019 - 5:00PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on December 23, 2019
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURTIES 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 charter)
Delaware
(State of incorporation or organization)
See List Below
(I.R.S. Employer Identification Number)
c/o U.S. Bancorp Fund Services, LLC
615 East Michigan Street
Milwaukee, WI 53202
(Address of registrant’s principal executive offices)
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Title of each class of securities
to be registered
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Name of each exchange on which each class is to be registered
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Source Dividend Opportunity ETF
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Listed on Cboe BZX Exchange, Inc.
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If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), check the following box.
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If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following box.
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Securities Act Registration file number to which this form relates: 333-215588
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Securities to be registered pursuant to Section 12(g) of the Act: Not applicable.
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Item 1.
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Description of Registrant’s Securities to be Registered.
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Reference is made to Post-Effective Amendment No. 30 to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-215588 and 811-23226), as filed with the U.S. Securities and Exchange Commission (“SEC”) via EDGAR (Accession No. 0000894189-19-008635) on December 23, 2019, which is incorporated herein by reference.
The Trust currently consists of 11 separate series. The series to which this filing relates and its IRS Employer Identification Number is as follows:
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Title of Each Class of Securities to be Registered
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IRS Employer ID Number
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Source Dividend Opportunity ETF
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84-3339240
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A.
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Registrant’s Certificate of Trust dated August 26, 2016 is incorporated herein by reference to Exhibit (a)(i) to the Trust’s initial Registration Statement on Form N-1A (File Nos. 333-215588; 811-23226), as filed with the SEC via EDGAR on April 26, 2019 (Accession Number: 0000894189-19-002369).
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B.
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Registrant’s Certificate of Amendment to the Certificate of Trust effective December 31, 2018 is incorporated herein by reference to Exhibit (a)(ii) to the Trust’s Registration Statement on Form N-1A (file Nos. File Nos. 333-215588; 811-23226), as filed with the SEC via EDGAR on April 26, 2019 (Accession Number: 0000894189-19-002369).
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C.
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Registrant’s Amended and Restated Declaration of Trust dated March 19, 2019 is incorporated herein by reference to Exhibit (a)(iii) to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-215588; 811-23226), as filed with the SEC via EDGAR on April 26, 2019 (Accession No. 0000894189-19-002369).
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D..
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Registrant’s Amended and Restated By-Laws dated March 19, 2019 are incorporated herein by reference to Exhibit (b) to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-215588; 811-23226), as filed with the SEC via EDGAR on April 26, 2019 (Accession No. 0000894189-19-002369).
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SIGNATURES
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized.
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Listed Funds Trust
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December 23, 2019
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/s/ Kent P. Barnes
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Kent P. Barnes
Secretary
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