Part IV

 

Item 15. Exhibits and Financial Statement Schedules.

 

1. See Index to Financial Statements on page 98.

2. No financial statement schedules are filed herewith because (i) such schedules are not required or (ii) the information required has been presented in the aforementioned financial statements.

3. Exhibits required to be filed by Item 601 of Regulation S-K.

 

Exhibit Index

 

Listed below are the exhibits which are filed or furnished as part of this Amendment No. 1 to the Annual Report on Form 10-K/A (according to the number assigned to them in Item 601 of Regulation S-K):

 

Exhibit    
Number   Description of Document
3.1(1)    Certificate of Statutory Trust of the Registrant.
3.2(2)    Fourth Amended and Restated Declaration of Trust and Trust Agreement.
3.3(5)    Sixth Amended and Restated Limited Liability Company Agreement of the Sponsor.
4.1(9)   Description of Securities.
10.1(7)    Form of Authorized Participant Agreement.
10.2(3)    Marketing Agent Agreement.
10.3(4)    Amendment Agreement to Marketing Agent Agreement.
10.4(6)   Form of Custody Agreement with The Bank of New York Mellon.
10.5(6)   Form of Transfer Agency and Service Agreement with The Bank of New York Mellon.
10.6(6)   Form of Fund Administration and Accounting Agreement with Administrative Agency Agreement with The Bank of New York Mellon.
10.7(8)   Amended and Restated Licensing Agreement.
10.8(8)    Amended and Restated Advisory Agreement.
23.1(9)    Consent of Independent Registered Public Accounting Firm.
31.1(10)   Certification of Principal Executive Officer Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934.
31.2(10)   Certification of Principal Financial Officer Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934.
32.1(10)   Certification of Principal Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (18 U. S. C. 1350).
32.2(10)   Certification of Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (18 U. S. C. 1350).
101.INS    XBRL Instance Document.
101.SCH    XBRL Taxonomy Extension Schema.
101.CAL    XBRL Taxonomy Extension Calculation Linkbase.
101.DEF    XBRL Taxonomy Extension Definition Linkbase.
101.LAB    XBRL Taxonomy Extension Label Linkbase.
101.PRE    XBRL Taxonomy Extension Presentation Linkbase.

 

(1) Incorporated by reference to the initial Registration Statement on Form S-1 (File No. 333-164024) filed on December 24, 2009.

(2) Incorporated by reference to Registrant’s Current Report on Form 8-K, filed on December 15, 2017.

(3) Incorporated by reference to Amendment No. 5 to the Registrant’s Registration Statement on Form S-1/A (File No. 333-164024) filed on July 23, 2010.

(4) Incorporated by reference to Amendment No. 1 to the Registrant’s Registration Statement on Form S-1/A (File No. 333-170844) filed on August 31, 2011.

(5) Incorporated by reference to Registrant’s Annual Report on Form 10-K for the year ended December 31, 2015, filed on March 11, 2016.

(6) Incorporated by reference to Registrant’s Current Report on Form 8-K, filed on March 30, 2020.

(7) Incorporated by reference to Registrant’s Post-Effective Amendment No. 2 to Form S-1 (File No. 333-195018) filed on March 31, 2016.

(8) Incorporated by reference to Registrant’s Current Report on Form 8-K, filed on April 24, 2018.

(9) Incorporated by reference to Registrant’s Annual Report on Form 10-K for the year ended December 31, 2019, filed on March 13, 2020.

(10) Filed herewith.

 

 

 

SIGNATURES

 

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

United States Commodity Index Funds Trust (Registrant)

By: United States Commodity Funds LLC, as Sponsor

 

By: /s/ John P. Love  
  John P. Love  
  President and Chief Executive Officer  
  (Principal executive officer)  
     
  Date: March 8, 2021  

 

By: /s/ Stuart P. Crumbaugh  
  Stuart P. Crumbaugh  
  Chief Financial Officer  
  (Principal financial and accounting officer)  
     
  Date: March 8, 2021  

 

 

 

Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant in the capacities* and on the dates indicated.

 

Signature   Title (Capacity)   Date
         
/s/ John P. Love   Chief Executive Officer of   March 8, 2021
John P. Love   United States Commodity Funds, LLC    
    (Principal Executive Officer)    
         
/s/ Stuart P. Crumbaugh   Chief Financial Officer of   March 8, 2021
Stuart P. Crumbaugh   United States Commodity Funds, LLC    
    (Principal Financial Officer)    

 

* The Registrant is a trust and the persons are signing in their capacities as officers of United States Commodity Funds LLC, the Sponsor of the Registrant.