REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 |
☒ |
Pre-Effective Amendment No. |
☐ |
Post-Effective Amendment No. 1 |
☒ |
and/or |
|
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 |
☒ |
Amendment No. 2 |
☒ |
(Check appropriate box or boxes) |
|
100 Pearl Street, 27th Floor, New York, New York |
10004 |
(Address of Principal Executive Offices) |
(Zip Code) |
Tina Payne, Esq. Fred Alger Management, LLC 100 Pearl Street, 27th Floor New York, NY 10004 (Name and Address of Agent for Service) |
Copy to: Nicole M. Runyan, Esq. Proskauer Rose LLP 11 Times Square New York, NY 10036 |
☐ |
immediately upon filing pursuant to paragraph (b) |
☒ |
on April 30, 2022 pursuant to paragraph (b) |
☐ |
60 days after filing pursuant to paragraph (a) |
☐ |
on (date) pursuant to paragraph (a) |
☐ |
75 days after filing pursuant to paragraph (a)(2) |
☐ |
on (date) pursuant to paragraph (a)(2) of rule 485 |
☐ |
This post-effective amendment designates a new effective date for a previously filed post-effective amendment. |
|
Ticker Symbol |
Listing Exchange |
Alger Mid Cap 40 ETF |
FRTY |
NYSE Arca, Inc. |
Alger 35 ETF |
ATFV |
NYSE Arca, Inc. |
|
Alger Mid Cap 40 ETF |
|
|
|
Alger Mid Cap 40 ETF |
Management Fees |
|
Distribution and/or Service (12b-1) Fees* |
|
Other Expenses |
|
Total Annual Fund Operating Expenses |
|
Fee Waiver and/or Expense Reimbursement** |
( |
Total Annual Fund Operating Expenses After Fee Waiver and/or Expense Reimbursement |
|
|
1 Year |
3 Years |
5 Years |
10 Years |
Alger Mid Cap 40 ETF |
$ |
$ |
$ |
$ |
Investment Manager |
Portfolio Manager Primarily Responsible for Day-to-Day Management of the Fund |
Fred Alger Management, LLC |
Amy Y. Zhang, CFA Executive Vice President and Portfolio Manager Since Inception (February 2021) |
|
Alger 35 ETF |
|
|
|
Alger 35 ETF |
Management Fees |
|
Distribution and/or Service (12b-1) Fees* |
|
Other Expenses |
|
Total Annual Fund Operating Expenses |
|
Fee Waiver and/or Expense Reimbursement** |
( |
Total Annual Fund Operating Expenses After Fee Waiver and/or Expense Reimbursement |
|
|
1 Year |
3 Years |
5 Years |
10 Years |
Alger 35 ETF |
$ |
$ |
$ |
$ |
Investment Manager |
Portfolio Manager Primarily Responsible for Day-to-Day Management of the Fund |
Fred Alger Management, LLC |
Dan C. Chung, CFA Chief Executive Officer, Chief Investment Officer and Portfolio Manager Since Inception (May 2021) |
Fund |
Annual Fee as a Percentage of Average Daily Net Assets |
Actual Rate |
Alger Mid Cap 40 ETF |
.50% |
.50% |
Alger 35 ETF |
.45% |
.45% |
Fund |
Portfolio Managers |
Since |
Alger Mid Cap 40 ETF |
Amy Y. Zhang, CFA |
Inception (February 2021) |
Alger 35 ETF |
Dan C. Chung, CFA |
Inception (May 2021) |
|
Year 1 |
Year 2 |
Year 3 |
Year 4 |
Year 5 |
Year 6 |
Year 7 |
Year 8 |
Year 9 |
Year 10 |
Expense Ratio |
0.60% |
0.60% |
1.23% |
1.23% |
1.23% |
1.23% |
1.23% |
1.23% |
1.23% |
1.23% |
Cumulative Gross Return |
5.00% |
10.25% |
15.76% |
21.55% |
27.63% |
34.01% |
40.71% |
47.75% |
55.13% |
62.89% |
Cumulative Net Return |
4.40% |
8.99% |
13.10% |
17.37% |
21.79% |
26.38% |
31.15% |
36.09% |
41.22% |
46.55% |
End Investment Balance |
$10,440 |
$10,899 |
$11,310 |
$11,737 |
$12,179 |
$12,638 |
$13,115 |
$13,609 |
$14,122 |
$14,655 |
Annual Expense |
$61 |
$64 |
$137 |
$142 |
$147 |
$153 |
$158 |
$164 |
$171 |
$177 |
|
Year 1 |
Year 2 |
Year 3 |
Year 4 |
Year 5 |
Year 6 |
Year 7 |
Year 8 |
Year 9 |
Year 10 |
Expense Ratio |
0.55% |
0.55% |
1.85% |
1.85% |
1.85% |
1.85% |
1.85% |
1.85% |
1.85% |
1.85% |
Cumulative Gross Return |
5.00% |
10.25% |
15.76% |
21.55% |
27.63% |
34.01% |
40.71% |
47.75% |
55.13% |
62.89% |
Cumulative Net Return |
4.45% |
9.10% |
12.53% |
16.08% |
19.74% |
23.51% |
27.40% |
31.41% |
35.55% |
39.82% |
End Investment Balance |
$10,445 |
$10,910 |
$11,253 |
$11,608 |
$11,974 |
$12,351 |
$12,740 |
$13,141 |
$13,555 |
$13,982 |
Annual Expense |
$56 |
$59 |
$205 |
$211 |
$218 |
$225 |
$232 |
$239 |
$247 |
$255 |
Alger Mid Cap 40 ETF |
From 2/26/21 (commencement of operations) to 12/31/21 (i) |
Net asset value, beginning of period |
$20.00 |
Income from Investment Operations: |
|
Net investment loss (ii) |
(0.08) |
Net realized and unrealized gain on investments |
1.15 |
Total from investment operations |
1.07 |
Distributions from net realized gains |
(1.07) |
Net asset value, end of period |
$20.00 |
Net asset value, Total return |
5.62% |
Ratios/Supplemental Data: |
|
Net assets, end of period (000’s omitted) |
$38,750 |
Ratio of gross expenses to average net assets |
1.23% |
Ratio of expense reimbursements to average net assets |
(0.63)% |
Ratio of net expenses to average net assets |
0.60% |
Ratio of net investment loss to average net assets |
(0.43)% |
Portfolio turnover rate (iii) |
417.06% |
Alger 35 ETF |
From 5/3/21 (commencement of operations) to 12/31/21 (i) |
Net asset value, beginning of period |
$20.00 |
Income from Investment Operations: |
|
Net investment loss (ii) |
(0.04) |
Net realized and unrealized gain on investments |
0.44 |
Total from investment operations |
0.40 |
Net asset value, end of period |
$20.40 |
Net asset value, Total return |
2.00% |
Ratios/Supplemental Data: |
|
Net assets, end of period (000’s omitted) |
$13,517 |
Ratio of gross expenses to average net assets |
1.85% |
Ratio of expense reimbursements to average net assets |
(1.30)% |
Ratio of net expenses to average net assets |
0.55% |
Ratio of net investment loss to average net assets |
(0.28)% |
Portfolio turnover rate (iii) |
99.20% |
By Telephone: |
(800) 223-3810 |
By Mail: |
Alger Family of Funds c/o Brown Brothers Harriman & Co. 50 Post Office Square Boston, Massachusetts 02110 |
Online |
Text versions of Fund documents can be downloaded from the following sources: |
|
• The Funds: www.alger.com |
|
• SEC (EDGAR data base): www.sec.gov |
|
Ticker Symbol |
Listing Exchange |
Alger Mid Cap 40 ETF (“Alger Mid Cap 40”) |
FRTY |
NYSE Arca, Inc. |
Alger 35 ETF (“Alger 35”) |
ATFV |
NYSE Arca, Inc. |
|
Broker Commissions Paid for 2021 |
| ||||
|
|
Paid to Alger LLC |
Soft Dollar Transactions | |||
|
Total Paid by the Fund |
Dollar Amount Paid to Alger LLC |
% of Brokerage Commissions Paid to Alger LLC |
% of Dollar Amount of Transactions Effected through Alger LLC |
Value of Transactions |
Commissions |
Alger 35 ETF |
$10,630 |
$1,730 |
16% |
10% |
$1,078,671 |
$749 |
Alger Mid Cap 40 ETF |
105,485 |
14,817 |
14% |
14% |
11,902,349 |
6,569 |
|
$116,115 |
$16,547 |
14% |
14% |
$12,981,020 |
$7,318 |
Fund |
Shares Per Creation Unit |
Alger Mid Cap 40 ETF |
12,500 |
Alger 35 ETF |
12,500 |
Fund |
Standard Creation Transaction Fee* |
Maximum Additional Charge for Creations |
Alger Mid Cap 40 ETF |
$160 |
3% |
Alger 35 ETF |
$100 |
3% |
Fund |
Standard Redemption Transaction Fee |
Maximum Charge for Redemptions* |
Alger Mid Cap 40 ETF |
$160 |
2% |
Alger 35 ETF |
$100 |
2% |
Name, (Year of Birth), and Address(1) |
Position(s) Held with the Trust and Length of Time Served |
Principal Occupation(s) During Past Five Years |
Number of Funds in the Alger Fund Complex(3) which are Overseen by Trustee |
Other Directorships Held by Trustee During Past Five Years |
Interested Trustee(2): |
|
|
|
|
Hilary M. Alger (1961) |
Trustee since 2020 |
Non-profit Fundraising Consultant since 2015, Schultz & Williams; Non-profit Fundraising Consultant since 2014, Hilary Alger Consulting; Emeritus Trustee since 2020 and Trustee from 2013 to 2020, Philadelphia Ballet; School Committee Member since 2017, Germantown Friends School. |
29 |
Board of Directors, Alger Associates, Inc.; Director of Target Margin Theater |
Non-Interested Trustees: |
|
|
|
|
Charles F. Baird, Jr. (1953) |
Trustee since 2020 |
Managing Partner of North Castle Partners (private equity securities group). |
29 |
|
Roger P. Cheever (1945) |
Trustee since 2020 |
Retired; Associate Vice President for Development Strategy from 2020 to 2021 and Associate Vice President for Principal Gifts from 2008 to 2020, Harvard University. |
29 |
Board of Directors, Alger SICAV Fund |
Stephen E. O’Neil (1932) |
Trustee since 2020 |
Retired. |
29 |
|
David Rosenberg (1962) |
Trustee since 2020 |
Associate Professor of Law since August 2000, Zicklin School of Business, Baruch College, City University of New York. |
29 |
|
Nathan E. Saint-Amand M.D. (1938) |
Trustee since 2020 |
Medical doctor in private practice since 1970; Member of the Board of the Manhattan Institute (non-profit policy research) since 1988. |
29 |
|
Name (Year of Birth), Position with Trust and Address(1) |
Principal Occupations |
Officer Since |
Officers(2): |
|
|
Hal Liebes (1964) President, Principal Executive Officer |
Executive Vice President, Chief Operating Officer (“COO”) and Secretary, Alger Management; Managing Member, Alger LLC; COO and Secretary, Alger Associates, Inc. and Alger Alternative Holdings, LLC; Director, Alger SICAV, Alger International Holdings, and Alger Dynamic Return Offshore Fund; Vice President, COO, Managing Member, and Secretary, Alger Capital, LLC and Alger Group Holdings, LLC; Executive Director and Chairman, Alger Management, Ltd.; Manager and Secretary, Weatherbie Capital, LLC and Alger Apple Real Estate LLC; Manager, Alger Partners Investors I LLC, Alger Partners Investors II LLC, and Alger Partners Investors KEIGF; Secretary, Alger-Weatherbie Holdings, LLC and Alger Boulder I LLC; and Director and Secretary, The Foundation for Alger Families. |
2020 |
Tina Payne (1974) Secretary, Chief Compliance Officer, Chief Legal Officer |
Since 2017, Senior Vice President, General Counsel, and Chief Compliance Officer (“CCO”), Alger Management; Senior Vice President, General Counsel, and Secretary, Alger LLC; CCO, Alger Management, Ltd.; Vice President and Assistant Secretary, Alger Group Holdings, LLC; Assistant Secretary, Weatherbie Capital, LLC and Alger Alternative Holdings, LLC; and since 2019, Assistant Secretary, Alger-Weatherbie Holdings, LLC. Formerly, Senior Vice President and Associate General Counsel, Cohen & Steers Capital Management, from 2007 to 2017. |
2020 |
Michael D. Martins (1965) Treasurer, Principal Financial Officer |
Senior Vice President, Alger Management. |
2020 |
Anthony S. Caputo (1955) Assistant Treasurer |
Vice President, Alger Management. |
2020 |
Sergio M. Pavone (1961) Assistant Treasurer |
Vice President, Alger Management. |
2020 |
Mia G. Pillinger (1989) Assistant Secretary |
Vice President, Associate Counsel of Alger Management since 2020. Formerly, Associate at Willkie Farr & Gallagher, LLP, from 2016 to 2020. |
2020 |
Sushmita Sahu (1981) AML Compliance Officer |
Vice President, Alger Management. |
2021 |
Name of Person |
Aggregate Compensation from The Alger ETF Trust |
Total Compensation Paid to Trustee from The Alger Fund Complex |
Charles F. Baird, Jr |
$145 |
$155,000 |
Roger P. Cheever |
$151 |
$162,000 |
Stephen E. O’Neil |
$145 |
$155,000 |
David Rosenberg |
$132 |
$142,000 |
Nathan E. Saint-Amand |
$144 |
$155,000 |
Name of Trustee |
Alger Mid Cap 40 |
Alger 35 |
Aggregate Equity Securities of Funds in Alger Fund Complex Overseen by Trustee |
Interested Trustee: |
|
|
|
Hilary M. Alger |
E |
E |
E |
Independent Trustees: |
|
|
|
Charles F. Baird, Jr. |
A |
D |
E |
Roger P. Cheever |
A |
A |
E |
Stephen E. O’Neil |
A |
A |
B |
David Rosenberg |
A |
A |
C |
Nathan E. Saint-Amand |
A |
A |
E |
Fund |
2021 |
Alger Mid Cap 40 ETF |
$125,313 |
Alger 35 ETF |
$38,979 |
Fund |
2021 |
Alger Mid Cap 40 ETF |
$157,177 |
Alger 35 ETF |
$112,999 |
|
Registered Investment Companies |
Other Pooled Investment Vehicles |
Other Accounts | |||
Dan Chung*x^ |
14 |
$19,362,370,890 |
9 |
$2,165,005,627 |
51 |
$3,380,128,482 |
Amy Zhang± |
5 |
$8,313,734,622 |
2 |
$797,663,239 |
6 |
$373,244,972 |
Portfolio Manager |
Fund |
Range |
Dan C. Chung |
Alger 35 |
G |
Amy Y. Zhang |
Alger Mid Cap 40 |
E |
Name |
Percentage of Total Shares Held |
Brown Brothers Harriman Trust Company, NA 140 Broadway New York, NY 10005 |
74.8% |
JPMorgan Chase Bank, NA 4 Chase Metrotech Center Brooklyn, NY 11245 |
7.6% |
BofA Securities, Inc. One Bryant Park New York, NY 10036 |
6.6% |
Name |
Percentage of Total Shares Held |
Brown Brothers Harriman Trust Company, NA 140 Broadway New York, NY 10005 |
21.7% |
FMN Capital Corporation 26041 Acero Mission Viejo, CA 92691 |
13.9% |
Charles Schwab & Co., Inc. 211 Main St San Francisco, CA 94105 |
12.0% |
United Planners’ Financial Services of America 4317 Bonney Rd Virginia Beach, VA 23452 |
10.9% |
Cambridge Investment Research, Inc. 5909 Peachtree Dunwoody Rd Atlanta, GA 30328 |
5.4% |
Exhibit No. |
Description of Exhibit |
(a) |
Articles of Incorporation: |
(a-1) |
Agreement and Declaration of Trust, dated March 24, 2020 (Incorporated by reference to the Registrant’s Registration Statement on Form N-1A (the “Registration Statement”), filed with the SEC on August 18, 2020) |
(a-2) |
Certificate of Designation, dated March 24, 2020 (Incorporated by reference to the Registrant’s |
(a-3) |
Certificate of Designation (Alger Mid Cap 40 ETF), dated August 13, 2020 (Incorporated by reference to |
(a-4) |
Certificate of Designation (Alger 25 ETF), dated August 13, 2020 (Incorporated by reference to the |
(a-5) |
Certificate of Termination (Alger Focus Fund) (Incorporated by reference to Pre-Effective Amendment No. |
(a-6) |
Certificate of Amendment (Alger 35 ETF), dated February 11, 2021 (Incorporated by reference to Pre- |
(b) |
By-laws: Amended and Restated By-laws of The Alger ETF Trust (the “Registrant”) (Incorporated by |
(c) |
Instruments Defining Rights of Security Holders: See Exhibits (a) and (b) |
(d) |
Investment Advisory Contracts: |
(d-1) |
Amended & Restated Investment Management Agreement for Registrant, dated February 11, 2021 |
(d-2) |
Contract to Support Fee Waiver/Expense Reimbursement, dated February 11, 2021 (Incorporated by |
(e) |
Underwriting Contracts: Amended & Restated Distribution Agreement, dated February 11, 2021 |
(f) |
Bonus or Profit Sharing Contracts: Not applicable. |
(g) |
Custodian Agreements: |
(g-1) |
Custodian Agreement between Registrant and Brown Brothers Harriman & Co. (“BBH”), dated February |
(g-2) |
Amendment to Custodian Agreement, dated January 6, 2017 (Incorporated by reference to Pre-Effective |
(g-3) |
Amendment to Custodian Agreement, dated December 20, 2017 (Incorporated by reference to Pre-Effective |
(g-4) |
Amendment to Custodian Agreement, dated October 15, 2018 (Incorporated by reference to Pre-Effective |
(g-5) |
Amendment to Custodian Agreement, dated January 4, 2021 (Incorporated by reference to Pre-Effective |
(g-6) |
|
(h) |
Other Material Contracts: |
(h-1) |
Transfer and Administrative Agency Agreement Between Registrant and BBH, dated January 4, 2021 |
Exhibit No. |
Description of Exhibit |
(h-2) |
Form of Authorized Participant Agreement (Incorporated by reference to Pre-Effective Amendment No. 1 |
(h-3) |
Form of Authorized Participant Representative Agreement (Incorporated by reference to Pre-Effective |
(h-4) |
Form of Authorized Participant Representative Agreement (Clearing Broker) (Incorporated by reference to |
(i) |
Legal Opinion: Opinion of Sullivan & Worcester (Incorporated by reference to Pre-Effective Amendment |
(j) |
|
(k) |
Omitted Financial Statements: Not applicable. |
(l) |
Initial Capital Agreements: Purchase Agreement for the Registrant, dated January 5, 2021 (Incorporated by |
(m) |
Rule 12b-1 Plan, dated February 11, 2021 (Incorporated by reference to Pre-Effective Amendment No. 1 to |
(n) |
Rule 18f-3 Plan: Not applicable. |
(o) |
Reserved. |
(p) |
Codes of Ethics: Code of Ethics (Incorporated by reference to Pre-Effective Amendment No. 1 to the |
(q) |
Powers of Attorney executed by Hal Liebes, Michael D. Martins, Hilary M. Alger, Charles F. Baird, Jr., Roger P. Cheever, Stephen E. O’Neil, David Rosenberg and Nathan E. Saint-Amand, M.D, dated December |
NAME AND POSITION WITH ALGER MANAGEMENT |
OTHER SUBSTANTIAL BUSINESS, PROFESSION OR VOCATION |
Daniel C. Chung Chairman, President and Chief Executive Officer |
President and Chief Executive Officer, Alger Associates, Inc., Alger Capital, LLC, Alger Group Holdings, LLC, Alger Apple Real Estate, LLC and Alger Boulder I LLC; Manager, Weatherbie Capital, LLC; Director, Alger Management, Ltd. and Alger SICAV; Director and Chairman, Alger International Holdings; President, Chief Executive Officer and Manager, Alger Alternative Holdings, LLC; Chairman, President and Manager, Alger- Weatherbie Holdings, LLC; President and Director, The Foundation for Alger Families |
Robert Kincel Chief Financial Officer, Senior Vice President and Treasurer |
Chief Financial Officer and Treasurer, Alger Associates, Inc.; Chief Financial Officer, Treasurer and Senior Vice President, Fred Alger & Company, LLC; Treasurer and Manager, Weatherbie Capital, LLC and Alger-Weatherbie Holdings, LLC; Director, Alger International Holdings; Chief Financial Officer, Treasurer and Manager, Alger Alternative Holdings, LLC; Chief Financial Officer, Treasurer and Vice President, Alger Capital, LLC and Alger Group Holdings, LLC; Treasurer, Alger Apple Real Estate, LLC and Alger Boulder I LLC; Treasurer and Director, The Foundation for Alger Families; Authorized Signer, Alger Management, Ltd. |
Hal Liebes Executive Vice President, Chief Operating Officer and Secretary |
Chief Operating Officer and Secretary, Alger Associates, Inc.; Chief Operating Officer, Secretary and Manager, Alger Alternative Holdings, LLC; Director, Alger SICAV, Alger International Holdings, and Alger Dynamic Return Offshore Fund; Vice President, Chief Operating Officer, Managing Member, and Secretary, Alger Capital, LLC and Alger Group Holdings, LLC; Executive Director and Chairman, Alger Management, Ltd.; Manager and Secretary, Weatherbie Capital, LLC and Alger Apple Real Estate LLC; Manager, Alger Partners Investors I, LLC, Alger-Weatherbie Holdings, LLC and Alger Partners Investors KEIGF; Secretary, Alger Boulder I LLC; Director and Secretary, The Foundation for Alger Families; Managing Member, Fred Alger & Company, LLC |
Tina Payne Senior Vice President, General Counsel, Chief Compliance Officer |
Senior Vice President, General Counsel, and Secretary, Fred Alger & Company, LLC; Chief Compliance Officer, Alger Management, Ltd.; Assistant Secretary, Weatherbie Capital, LLC, Alger Alternative Holdings, LLC and Alger- Weatherbie Holdings, LLC; Vice President and Assistant Secretary, Alger Group Holdings, LLC |
(a) |
Fred Alger & Company, LLC (“Alger LLC”) acts as principal underwriter for Registrant, The Alger Funds, The Alger Institutional Funds, The Alger Portfolios, The Alger Funds II, and Alger Global Focus Fund. |
(b) |
Alger LLC is a Delaware limited liability company located at 100 Pearl Street, 27th Floor, New York, New York 10004. The following is a list of the directors and officers of Alger LLC: |
NAME |
POSITION(s) AND OFFICE(S) WITH ALGER LLC |
POSITION(s) AND OFFICE(S) WITH REGISTRANT |
Darryl Ah Now |
Senior Vice President |
None |
Antoine Allen |
Assistant Vice President |
None |
Scott Anderson |
Senior Vice President |
None |
Alex Bernstein |
Senior Vice President |
None |
Donald Best Jr. |
Vice President |
None |
Anthony Caputo |
Vice President |
Assistant Treasurer |
John Carbone |
Senior Vice President |
None |
Natalie Cardona |
Assistant Vice President |
None |
Josephine Carey |
Vice President |
None |
Claire Chamberlin |
Vice President |
None |
Peter Chang |
Senior Vice President |
None |
Joo Chia |
Assistant Vice President |
None |
Kevin Collins |
Senior Vice President |
None |
Jeffrey Condit |
Assistant Vice President |
None |
Brian Costello |
Senior Vice President |
None |
Ryan Craig |
Vice President |
None |
John Dashtara |
Senior Vice President |
None |
Jessica Davis |
Vice President |
None |
Ryan DeLissio |
Assistant Vice President |
None |
Tommy Ding |
Assistant Vice President |
None |
Edward Doyle |
Senior Vice President |
None |
Joanne Dwyer |
Assistant Vice President |
None |
John Fennessy |
Vice President |
None |
Elizabeth Flanders |
Vice President |
None |
Jonathan Foster |
Senior Vice President |
None |
Victor Frazier |
Vice President |
None |
David Friedman |
Senior Vice President |
None |
Matthew Galvin |
Vice President |
None |
Nicholas Generale |
Vice President |
None |
Daniel Giblin |
Assistant Vice President |
None |
Matthew Goldberg |
Senior Vice President |
None |
Rona Hakaj |
Assistant Vice President |
None |
Chad Harding |
Vice President |
None |
Andrew Harrington |
Vice President |
None |
Ivana Hayblum |
Vice President |
None |
Dennis Hearns |
Senior Vice President |
None |
Christopher Hine |
Assistant Vice President |
None |
William Huang |
Vice President |
None |
NAME |
POSITION(s) AND OFFICE(S) WITH ALGER LLC |
POSITION(s) AND OFFICE(S) WITH REGISTRANT |
Frank Iacovano |
Vice President |
None |
Stacia Ikpe |
Vice President |
None |
Sean Jacobus |
Vice President |
None |
Robert Kerr |
Vice President |
None |
Daniel Kilpatrick |
Vice President |
None |
Robert Kincel |
Senior Vice President |
None |
Alan Kirby |
Senior Vice President |
None |
Jennifer Lecowitch |
Vice President |
None |
Aaron Lee |
Vice President |
None |
Thomas Leswing |
Assistant Vice President |
None |
David Lewis |
Vice President |
None |
Hal Liebes |
Executive Vice President |
President, Principal Executive Officer |
Jacob Lilie |
Senior Vice President |
None |
Chris Lin |
Vice President |
None |
Chad Mackelprang |
Assistant Vice President |
None |
Barbara Mackey |
Assistant Vice President |
None |
Roman Magiera |
Assistant Vice President |
None |
Sharudh Majid |
Assistant Vice President |
None |
Robert Marks |
Vice President |
None |
Michael Martins |
Senior Vice President |
Treasurer, Principal Financial Officer |
Edwin Peter Moor |
Vice President |
None |
Nicholas Morrello |
Assistant Vice President |
None |
Michael Nelson |
Vice President |
None |
Brad Neuman |
Senior Vice President |
None |
Arthur Nowak |
Vice President |
None |
Udoka Nwogugu |
Vice President |
None |
Shannon O'Connor |
Senior Vice President |
None |
Robert O'Dell |
Vice President |
None |
Sergio Pavone |
Vice President |
Assistant Treasurer |
Tina Payne |
Senior Vice President |
Secretary, Chief Compliance Officer, Chief Legal Officer |
Mia Pillinger |
Vice President |
Assistant Secretary |
May Poon |
Senior Vice President |
None |
Jessie Quick |
Vice President |
None |
Margaret Revell |
Assistant Vice President |
None |
Jacquelyn Rizzo |
Assistant Vice President |
None |
Ryan Rodgers |
Vice President |
None |
Tyler Rosenthal |
Assistant Vice President |
None |
Sushmita Sahu |
Vice President |
AML Compliance Officer |
Shannon Sara |
Assistant Vice President |
None |
Matthew Scanlon |
Vice President |
None |
NAME |
POSITION(s) AND OFFICE(S) WITH ALGER LLC |
POSITION(s) AND OFFICE(S) WITH REGISTRANT |
Katharine Schupp |
Senior Vice President |
None |
Jeanne Sdroulas |
Senior Vice President |
None |
Jason Smilowitz |
Vice President |
None |
Joseph Spano |
Vice President |
None |
Zenon Staniek |
Assistant Vice President |
None |
Joseph Stein |
Vice President |
None |
John Strouse |
Vice President |
None |
Stephanie Thumm |
Assistant Vice President |
None |
Christie Tully |
Senior Vice President |
None |
Louise Ulitto |
Assistant Vice President |
None |
Jeffrey Vigilante |
Vice President |
None |
Mark Werner |
Vice President |
None |
Nathaniel Young |
Assistant Vice President |
None |
David Zappone |
Vice President |
None |
(c) |
Not applicable. |
|
THE ALGER ETF TRUST | |
|
By: |
/s/ Hal Liebes |
|
|
Hal Liebes, President |
ATTEST: |
/s/ Tina Payne |
|
|
Tina Payne, Secretary |
|
Signature |
Title |
Date |
/s/ Hal Liebes |
President (Principal Executive Officer) |
April 27, 2022 |
Hal Liebes | ||
/s/ Michael D. Martins |
Treasurer (Principal Financial Officer) |
April 27, 2022 |
Michael D. Martins | ||
* |
Trustee |
April 27, 2022 |
Charles F. Baird | ||
* |
Trustee |
April 27, 2022 |
Roger P. Cheever | ||
* |
Trustee |
April 27, 2022 |
Hilary M. Alger | ||
* |
Trustee |
April 27, 2022 |
David Rosenberg | ||
* |
Trustee |
April 27, 2022 |
Nathan E. Saint-Amand | ||
* |
Trustee |
April 27, 2022 |
Stephen E. O’Neil |
*By: |
/s/ Hal Liebes |
|
|
Hal Liebes Attorney-In-Fact |
|