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Name | Symbol | Market | Type |
---|---|---|---|
SPDR S&P MIDCAP 400 | AMEX:MDY | AMEX | Exchange Traded Fund |
Price Change | % Change | Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 535.08 | 0 | 11:47:30 |
A.
|
Exact name of Trust:
|
SPDR S&P MIDCAP 400 ETF TRUST
|
|
(formerly known as MIDCAP SPDR TRUST SERIES 1 prior to January 27, 2010)
|
|
B.
|
Name of Depositor:
|
PDR SERVICES LLC
|
|
C.
|
Complete address of Depositor’s principal executive office:
|
PDR SERVICES LLC
|
|
c/o NYSE Euronext
|
|
11 Wall Street
|
|
New York, New York 10005
|
|
D.
|
Name and complete address of agent for service:
|
Marija Willen, Esq.
|
|
PDR SERVICES LLC
|
|
c/o NYSE Euronext
|
|
11 Wall Street
|
|
New York, New York 10005
|
|
Copy to:
|
|
Nora M. Jordan, Esq.
|
|
Davis Polk & Wardwell LLP
|
|
450 Lexington Avenue
|
|
New York, New York 10017
|
|
It is proposed that this filing will become effective:
|
|
[X] 60 days after filing pursuant to paragraph (a)(1) of Rule 485.
|
|
E.
|
Title of securities being registered:
|
An indefinite number of Units pursuant to Rule 24f-2 under the Investment Company Act of 1940.
|
|
F.
|
Approximate date of proposed public offering:
|
AS SOON AS PRACTICABLE AFTER THE EFFECTIVE DATE OF THE REGISTRATION STATEMENT.
|
|
*
|
Not applicable, answer negative or not required.
|
*
|
Not applicable, answer negative or not required.
|
*
|
Not applicable, answer negative or not required.
|
*
|
Not applicable, answer negative or not required.
|
|
Summary
|
1
|
Investment Objective
|
1
|
Fees and Expenses of the Trust
|
1
|
The Trust’s Investments and Portfolio Turnover
|
1
|
Dividends
|
2
|
Redemption of Units
|
2
|
Voting Rights; Book-Entry-Only-System
|
2
|
Amendments to the Trust Agreement
|
2
|
Principal Risks of Investing in the Trust
|
2
|
Trust Performance
|
3
|
Purchase and Sale Information
|
4
|
Tax Information
|
4
|
The S&P MidCap 400 Index
|
4
|
Dividends and Distributions
|
5
|
Dividends and Capital Gains
|
5
|
Dividend Reinvestment Service
|
6
|
Federal Income Taxes
|
7
|
Taxation of the Trust
|
7
|
Tax Consequences to U.S. Holders
|
9
|
Tax Consequences to Non-U.S. Holders
|
11
|
Report of Independent Registered Public Accounting Firm
|
12
|
Statement of Assets and Liabilities
|
13
|
Statements of Operations
|
14
|
Statements of Changes in Net Assets
|
15
|
Financial Highlights
|
16
|
Notes to Financial Statements
|
17
|
Schedule of Investments
|
23
|
Organization of the Trust
|
32
|
Purchases and Redemptions of Creation Units
|
32
|
Purchase (Creation)
|
32
|
Redemption
|
35
|
Book-Entry-Only System
|
37
|
Portfolio Adjustments
|
38
|
Adjustments to the Portfolio Deposit
|
40
|
Exchange Listing and Trading
|
41
|
Secondary Trading on Exchanges
|
42
|
Trading Prices of Units
|
42
|
Continuous Offering of Units
|
42
|
Expenses of the Trust
|
43
|
Trustee Fee Scale
|
45
|
Determination of NAV
|
45
|
Additional Risk Information
|
45
|
Additional Information Regarding Dividends and Distributions
|
46
|
General Policies
|
46
|
Investments by Investment Companies
|
48
|
Annual Reports
|
48
|
Benefit Plan Investor Considerations
|
48
|
Index License
|
49
|
Sponsor
|
50
|
Trustee
|
51
|
Depository
|
52
|
Distributor
|
52
|
Trust Agreement
|
52
|
Amendments to the Trust Agreement
|
52
|
Termination of the Trust Agreement
|
52
|
Legal Opinion
|
53
|
Independent Registered Public Accounting Firm and Financial Statements
|
53
|
Code of Ethics
|
53
|
Information and Comparisons Relating to Secondary Market Trading and Performance
|
54
|
Unitholder Fees
:
|
None
|
(fees paid directly from your investment)
|
Current Estimated Annual Trust Ordinary
Operating Expenses
|
As a % of Trust Average
Net Assets
|
|
Trustee’s Fee
|
[____]%
|
|
S&P License Fee
|
[____]%
|
|
Marketing
|
[____]%
|
|
Other Operating Expenses
|
[____]%
|
|
Total
|
[____]%
|
(1)
|
Past performance is not necessarily an indication of how the Trust will perform in the future.
|
(2)
|
Effective as of September 30, 1997, the Trust’s fiscal year end changed from December 31 to September 30.
|
|
[BAR CHART TO BE PROVIDED]
|
|
Past
One Year
|
Past
Five Years
|
Past
Ten Years
|
Trust
|
|||
Return Before Taxes
|
[___]%
|
[___]%
|
[___]%
|
Return After Taxes on Distributions
|
[___]%
|
[___]%
|
[___]%
|
Return After Taxes on Distributions and Redemption of Creation Units
|
[___]%
|
[___]%
|
[___]%
|
Index (reflects no deduction for fees, expenses or taxes)
|
[___]%
|
[___]%
|
[___]%
|
Year
|
Calendar
Year-End Index Value* December 31, 1990 = 100
|
Change in
Index for
Calendar Year
|
Calendar
Year-End Yield**
|
|||||||||
1990
|
100.00 | — | % | 3.16 | % | |||||||
1991
|
146.59 | +46.59 | 2.03 | |||||||||
1992
|
160.56 | +9.53 | 1.96 | |||||||||
1993
|
179.33 | +11.72 | 1.85 | |||||||||
1994
|
169.44 | -5.54 | 2.10 | |||||||||
1995
|
217.84 | +28.56 | 1.65 | |||||||||
1996
|
255.58 | +17.32 | 1.62 | |||||||||
1997
|
333.37 | +30.44 | 1.38 | |||||||||
1998
|
392.31 | +17.68 | 1.22 | |||||||||
1999
|
444.67 | +13.35 | 1.07 | |||||||||
2000
|
516.76 | +16.21 | 0.99 | |||||||||
2001
|
508.31 | -1.64 | 1.05 | |||||||||
2002
|
429.79 | -15.45 | 1.21 | |||||||||
2003
|
576.01 | +34.02 | 1.08 | |||||||||
2004
|
663.31 | +15.16 | 1.08 | |||||||||
2005
|
738.05 | +11.27 | 1.14 | |||||||||
2006
|
804.37 | +8.99 | 1.24 | |||||||||
2007
|
858.20 | +6.69 | 1.21 | |||||||||
2008
|
538.28 | -37.28 | 2.18 | |||||||||
2009
|
726.67 | +35.00 | 1.45 | |||||||||
2010
|
907.25 | +24.85 | 1.33 | |||||||||
2011
|
879.16 | -3.10 | 1.52 | |||||||||
2012
|
[__________]
|
[___________]
|
[___________]
|
*
|
Source: S&P. Reflects no deduction for fees, expenses or taxes.
|
**
|
Source: S&P. Yields are obtained by dividing the aggregate cash dividends by the aggregate market value of the stocks in the Index.
|
*
|
It is difficult to estimate the annual dollar amount of brokerage commissions that might be incurred in connection with the Dividend Reinvestment Service during any fiscal year. The Trustee estimates that during fiscal year 2012, the approximate amount of brokerage commissions incurred in implementing the Dividend Reinvestment Service was less than $[_____] per Unit.
|
|
•
|
certain financial institutions;
|
|
•
|
regulated investment companies;
|
|
•
|
real estate investment trusts;
|
|
•
|
dealers or traders in securities that use a mark-to-market method of tax accounting;
|
|
•
|
persons holding Units as part of a hedging transaction, straddle, wash sale, conversion transaction or integrated transaction or persons entering into a constructive sale with respect to the Units;
|
|
•
|
U.S. Holders (as defined below) whose functional currency for U.S. federal income tax purposes is not the U.S. dollar;
|
|
•
|
entities classified as partnerships or otherwise treated as pass-through entities for U.S. federal income tax purposes;
|
|
•
|
former U.S. citizens and residents and certain expatriated entities;
|
|
•
|
tax-exempt entities, including an “individual retirement account” or “Roth IRA”; or
|
|
•
|
insurance companies.
|
[Assets:]
|
|
[Investments in securities, at value (cost $[___________])]
|
$[___________]
|
[Cash]
|
[___________]
|
[Receivable from Units created]
|
[___________]
|
[Dividends receivable]
|
[___________]
|
[Receivable from securities sold]
|
[___________]
|
[Total Assets]
|
$
[___________]
|
[Liabilities:
|
|
[Payable for Units redeemed]
|
$[___________]
|
[Payable for securities purchased]
|
[___________]
|
[Distribution payable]
|
[___________]
|
[Payable to Sponsor]
|
[___________]
|
[License fee payable]
|
[___________]
|
[Accrued Trustee fees]
|
[___________]
|
[Other accrued expenses]
|
[___________]
|
[Total Liabilities]
|
[___________]
|
[Net Assets]
|
$
[___________]
|
[Net assets represented by:]
|
|
[Interest of Unitholders ([__________] units of fractional undivided interest (Units) outstanding; unlimited Units authorized)]
|
|
[Paid in capital]
|
$[___________]
|
[Distributions in excess of net investment income]
|
[___________]
|
[Accumulated net realized loss on investments]
|
[___________]
|
[Unrealized depreciation of investments]
|
[___________]
|
[Net Assets]
|
$
[___________]
|
[Number of Units outstanding]
|
[___________]
|
[Net asset value per Unit]
|
$
[___________]
|
Year Ended
September 30, 2012
|
Year Ended
September 30, 2011
|
Year Ended
September 30, 2010
|
|||
[Investment income]
|
|||||
[Dividend income]
|
$
[________]
|
$
[________]
|
$
[________]
|
||
[Expenses]
|
|||||
[Printing and distribution expenses]
|
[________]
|
[________]
|
[________]
|
||
[Trustee fees and expenses]
|
[________]
|
[________]
|
[________]
|
||
[License fees]
|
[________]
|
[________]
|
[________]
|
||
[Audit fees]
|
[________]
|
[________]
|
[________]
|
||
[Legal fees]
|
[________]
|
[________]
|
[________]
|
||
[Other fees and expenses]
|
[________]
|
[________]
|
[________]
|
||
[Total expenses]
|
[________]
|
[________]
|
[________]
|
||
[Less: voluntary fee reduction by the Trustee (see Note [3])]
|
[________]
|
[________]
|
[________]
|
||
[Net expenses]
|
[________]
|
[________]
|
[________]
|
||
[Net Investment Income]
|
[________]
|
[________]
|
[________]
|
||
[Realized and unrealized gains (losses) on investments]
|
|||||
[Net realized losses]
|
[________]
|
[________]
|
[________]
|
||
[Net realized gains from in-kind redemptions]
|
[________]
|
[________]
|
[________]
|
||
[Net realized gains (losses)]
|
[________]
|
[________]
|
[________]
|
||
[Net increase (decrease) in unrealized appreciation (depreciation) of investments]
|
[________]
|
[________]
|
[________]
|
||
[Net realized and unrealized gains (losses) on investments]
|
[________]
|
[________]
|
[________]
|
||
[NET INCREASE (DECREASE) IN NET ASSETS RESULTING FROM OPERATIONS]
|
$
[________]
|
$
[________]
|
$
[________]
|
Year Ended
September 30, 2012
|
Year Ended
September 30, 2011
|
Year Ended
September 30, 2010
|
|
[Increase (Decrease) in Net Assets From:]
|
|||
[Operations:]
|
|||
[Net investment income]
|
$[___________]
|
$[___________]
|
$[___________]
|
[Net realized gains (losses) on investments and in-kind redemptions]
|
[___________]
|
[___________]
|
[___________]
|
[Net increase (decrease) in unrealized appreciation (depreciation) on investments]
|
[___________]
|
[___________]
|
[___________]
|
[Net increase (decrease) in net assets resulting from operations]
|
[___________]
|
[___________]
|
[___________]
|
[Dividends and Distributions to Unitholders from:]
|
|||
[Net investment income]
|
[___________]
|
[___________]
|
[___________]
|
[Unitholder Transactions:]
|
|||
[Proceeds from subscriptions of Trust Units]
|
[___________]
|
[___________]
|
[___________]
|
[Reinvestment of dividends and distributions]
|
[___________]
|
[___________]
|
[___________]
|
[Less: Redemptions of Trust Units]
|
[___________]
|
[___________]
|
[___________]
|
[Increase (decrease) in net assets due to Unitholder transactions]
|
[___________]
|
[___________]
|
[___________]
|
[Total increase (decrease)]
|
[___________]
|
[___________]
|
[___________]
|
[Net Assets:]
|
|||
[Beginning of year]
|
[___________]
|
[___________]
|
[___________]
|
[End of year]
|
$
[___________]
|
$
[___________]
|
$
[___________]
|
[Distributions in excess of net
investment income]
|
$[___________]
|
$[___________]
|
$[___________]
|
Year Ended
September 30, 2012
|
Year Ended
September 30, 2011
|
Year Ended
September 30, 2010
|
Year Ended
September 30, 2009
|
Year Ended
September 30, 2008
|
|
[Net Asset Value, Beginning of Year]
|
$
[____]
|
$
[____]
|
$
[____]
|
$
[____]
|
$
[____]
|
[Investment Operations:]
|
|||||
[Net investment income*]
|
[___]
|
[___]
|
[___]
|
[___]
|
[___]
|
[Net realized and unrealized gains (losses) on investments]
|
[___]
|
[___]
|
[___]
|
[___]
|
[___]
|
[Total from Investment Operations]
|
[___]
|
[___]
|
[___]
|
[___]
|
[___]
|
[Less Distributions from:]
|
|||||
[Net investment income]
|
[___]
|
[___]
|
[___]
|
[___]
|
[___]
|
[Net Asset Value, End of Year]
|
$
[____]
|
$
[___]
|
$
[___]
|
$
[___]
|
$
[___]
|
[Total Investment Return**]
|
[___]%
|
[___]%
|
[___]%
|
[___]%
|
[___]%
|
[Ratios and Supplemental Data
|
|||||
[Net assets, end of year (000’s)]
|
$
[____]
|
$[_______]
|
$[_______]
|
$[_______]
|
$[_______]
|
[Ratio of expenses to average net assets(1)]
|
[___]%
|
[___]%
|
[___]%
|
[___]%
|
[___]%
|
[Ratio of net investment income to average net assets(1)]
|
[___]%
|
[___]%
|
[___]%
|
[___]%
|
[___]%
|
[Portfolio turnover rate(2)]
|
[___]%
|
[___]%
|
[___]%
|
[___]%
|
[___]%
|
[(1) Net of voluntary fee reduction by the Trustee. Before voluntary fee reduction by the Trustee, the net investment income and expenses to average net assets ratios would have been [___]% and [___]% for the year ended September 30, 2012, [___]% and [___]% for the year ended September 30, 2011, [___]% and [___]% for the year ended September 30, 2010, [___]% and [___]% for the year ended September 30, 2009 and [___]% and [___]% for the year ended September 30, 2008. (See Note 3).]
|
[(2) Portfolio turnover rate excludes securities received or delivered from processing creations or redemptions of Trust Units.]
|
[* Per Unit amounts have been calculated using the average share method.]
|
[** Net asset value total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all dividends and distributions at net asset value during the period, and redemption on the last day of the period.]
|
[Net Asset Value of the Trust]
|
[Fee as a Percentage of
Net Asset Value of the Trust]
|
|
[$0 - $500,000,000*]
|
[0.14% per annum]
|
|
[$500,000,001 - $1,000,000,000*]
|
[0.12% per annum]
|
|
[$1,000,000,001 and above*]
|
[0.10% per annum]
|
*
|
[The fee indicated applies to that portion of the net asset value of the Trust, which falls in the size category indicated.]
|
Year Ended September 30, 2009
|
|||
Units
|
Amount
|
||
[Units sold]
|
[_______]
|
$ [_________]
|
|
[Dividend reinvestment
|
|||
Units issued]
|
[_______]
|
[_________]
|
|
[Units redeemed]
|
[_______]
|
[_________]
|
|
[Net increase]
|
[_______]
|
$
[_________]
|
[Cost of investments for federal income tax purposes]
|
$
[_________]
|
[Gross unrealized appreciation]
|
$
[_________]
|
[Gross unrealized depreciation]
|
[_________]
|
[Net unrealized depreciation]
|
$
[_________]
|
[Distributable earnings, ordinary income]
|
$
[_________]
|
[Capital loss carryforwards expiring:]
|
|
[9/30/12]
|
$
[_________]
|
[9/30/16]
|
[_________]
|
[9/30/17]
|
[_________]
|
[9/30/18]
|
[_________]
|
$
[_________]
|
Common Stock
|
Shares
|
Value
|
||
[___________________]
|
[______]
|
$[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
Common Stock
|
Shares
|
Value
|
[______
|
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
|
[______]
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[________]
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||
[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
|
||
[___________________]
|
[______]
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[________]
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||
[___________________]
|
[______]
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[________]
|
||
[___________________]
|
[______]
|
[________]
|
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[___________________]
|
[______]
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[________]
|
||
[___________________]
|
[______]
|
[________]
|
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[___________________]
|
[______]
|
[________]
|
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[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
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[___________________]
|
[______]
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[________]
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[___________________]
|
[______]
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[________]
|
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[___________________]
|
[______]
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[________]
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[___________________]
|
[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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||
[___________________]
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[______]
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[________]
|
||
[___________________]
|
[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
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[___________________]
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[______]
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[________]
|
||
[___________________]
|
[______]
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[________]
|
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[___________________]
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[______]
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[________]
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[___________________]
|
[______]
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[________]
|
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[___________________]
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[______]
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[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[___________________]
|
[______]
|
[________]
|
||
[Total Investments
(Cost $[__________])]
|
$[________]
|
Industry Classification
|
Value
|
Percentage
|
||
[______]
|
$[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
Industry Classification
|
Value
|
Percentage
|
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[______]
|
[_________]
|
[___]%
|
||
[Total]
|
$[_________]
|
100.00%
|
Level 1
|
Level 2
|
Level 3
|
Total
|
||||
[Investments in Securities]
|
|||||||
[Common Stocks]
|
$ [_______]
|
† |
$ [_______]
|
$ [_______]
|
$ [_______]
|
||
[Total]
|
$ [_______]
|
$ [_______]
|
$ [_______]
|
$ [_______]
|
Net Asset Value of the Trust
|
Fee as a Percentage of Net
Asset Value of the Trust
|
0–$500,000,000
|
0.14% per annum*
|
$500,000,001–$1,000,000,000
|
0.12% per annum*
|
$1,000,000,001 and above
|
0.10% per annum*
|
*
|
[The fee indicated applies to that portion of the NAV of the Trust which falls in the size category indicated.]
|
Intraday High Value
|
Intraday Low Value
|
|||||||||||
Daily % Price Range
|
Above Closing Value
|
Below Closing Value
|
||||||||||
Range
|
Frequency
|
% of Total
|
Frequency
|
% of Total
|
Frequency
|
% of Total
|
||||||
0—0.25%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
0.25—0.5%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
0.5—1.0%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
1.0—1.5%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
1.5—2.0%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
2.0—2.5%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
2.5—3.0%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
3.0—3.5%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
>3.5%
|
[__]
|
[__]
%
|
[__]
|
[__]
%
|
[__]
|
[__]
%
|
||||||
Total
|
[__]
|
100.00
%
|
[__]
|
100.00
%
|
[__]
|
100.00
%
|
Intraday High Value
|
Intraday Low Value
|
|||||||||||
Daily % Price Range
|
Above Closing Value
|
Below Closing Value
|
||||||||||
Range
|
Frequency
|
% of Total
|
Frequency
|
% of Total
|
Frequency
|
% of Total
|
||||||
0—0.25%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
0.25—0.5%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
0.5—1.0%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
1.0—1.5%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
1.5—2.0%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
2.0—2.5%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
2.5—3.0%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
3.0—3.5%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
[__]
|
[__]%
|
||||||
>3.5%
|
[__]
|
[__]
%
|
[__]
|
[__]
%
|
[__]
|
[__]
%
|
||||||
Total
|
[__]
|
100.00
%
|
[__]
|
100.00
%
|
[__]
|
100.00
%
|
*
|
Source: Bloomberg
|
Calendar
|
Calendar
|
Calendar
|
Calendar
|
From | ||||||||||
Quarter
|
Quarter
|
Quarter
|
Quarter
|
Calendar
|
5/4/1995 | |||||||||
Ending
|
Ending
|
Ending
|
Ending
|
Year
|
through | |||||||||
Range
|
3/31/2012
|
6/30/2012
|
9/30/2012
|
12/31/2012
|
2012
|
12/31/2012 | ||||||||
> 200
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
150—200
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
100—150
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
50—100
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
25—50
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
0—25
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Total Days
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
at Premium
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Closing Price
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Equal to NAV
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Total Days
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
at Discount
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
0— -25
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
-25— -50
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
-50— -100
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
-100— -150
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
-150— -200
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
< -200
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
|||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
[__] |
(1)
|
[Source: NYSE Euronext]
|
(2)
|
[Currently, the closing price is the last price on NYSE Arca. Through November 28, 2008, the closing price was the last price on the NYSE Alternext US (formerly the American Stock Exchange and now NYSE MKT).]
|
Calendar
|
Calendar
|
Calendar
|
Calendar
|
|||||||||
Quarter
|
Quarter
|
Quarter
|
Quarter
|
Calendar
|
||||||||
Ending
|
Ending
|
Ending
|
Ending
|
Year
|
||||||||
Range
|
3/31/2012
|
6/30/2012
|
9/30/2012
|
12/31/2012
|
2012
|
|||||||
> 200
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
150—200
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
100—150
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
50—100
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
25—50
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
0—25
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Total Days
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
at Premium
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Closing Price
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Equal to NAV
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Total Days
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
at Discount
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
0— -25
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
-25— -50
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
-50— -100
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
-100— -150
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
-150— -200
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
< -200
|
Days
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
||||||
Basis Points
|
%
|
[__]
|
[__]
|
[__]
|
[__]
|
[__]
|
(1)
|
[Source: NYSE Euronext]
|
(2)
|
[Currently, the bid/ask price is the midpoint of the best bid and best offer prices on NYSE Arca at the time the Trust’s NAV is calculated, ordinarily 4:00 p.m.]
|
|
1 Year
|
5 Year
|
10 Year
|
||
Trust
|
|||||
Return Based on NAV (2)(3)(4)(5)
|
[__]%
|
[__]%
|
[__]%
|
||
Return Based on Bid/Ask Price (2)(3)(4)(5)
|
[__]%
|
[__]%
|
[__]%
|
||
Index
|
[__]%
|
[__]%
|
[__]%
|
|
1 Year
|
5 Year
|
10 Year
|
||
Trust
|
|||||
Return Based on NAV (2)(3)(4)(5)
|
[__]%
|
[__]%
|
[__]%
|
||
Return Based on Bid/Ask Price (2)(3)(4)(5)
|
[__]%
|
[__]%
|
[__]%
|
||
Index
|
[__]%
|
[__]%
|
[__]%
|
(1)
|
[Currently, the bid/ask price is the midpoint of the best bid and best offer prices on NYSE Arca at the time the Trust’s NAV is calculated, ordinarily 4:00 p.m.
Through November 28, 2008, the bid/ask price was the midpoint of the best bid and best offer prices on NYSE Alternext US (formerly the American Stock Exchange and now NYSE MKT) at the close of trading, ordinarily 4:00 p.m.
]
|
(2)
|
Total return figures have been calculated in the manner described above in “Summary—Trust Performance.”
|
(3)
|
Includes all applicable ordinary operating expenses set forth above in “Summary—Fees and Expenses of the Trust.”
|
(4)
|
Does not include the Transaction Fee which is payable to the Trustee only by persons purchasing and redeeming Creation Units as discussed above in “Purchases and Redemptions of Creation Units.” If these amounts were reflected, returns to such persons would be less than those shown.
|
(5)
|
Does not include brokerage commissions and charges incurred only by persons who make purchases and sales of Units in the secondary market as discussed above in “Exchange Listing and Trading—Secondary Trading on Exchanges.” If these amounts were reflected, returns to such persons would be less than those shown.
|
*
|
Source: NYSE Euronext and The Bank of New York Mellon.
|
**
|
Total returns assume that dividends and capital gain distributions have been reinvested in the Trust at the net asset value per Unit.
|
|
•
|
Securities Act of 1933 (File No. 33-89088) and
|
|
•
|
Investment Company Act of 1940 (File No. 811-08972).
|
EX-99.2
|
— Opinion of Counsel as to legality of securities being registered and consent of Counsel (1)
|
EX-99.A1(1)
|
— Standard Terms and Conditions of Trust dated as of April 1, 1995 and effective April 27, 1995, between PDR Services Corporation, as Sponsor and The Bank of New York, as Trustee (2)
|
EX-99.A1(2)
|
— Amendment dated as of January 26, 2006 and effective January 27, 2006 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and effective April 27, 1995, between PDR Services LLC, as Sponsor and The Bank of New York, as Trustee (3)
|
EX-99.A1(3)
|
— Amendment dated as of February 1, 2009 and effective February 13, 2009 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and effective April 27, 1995, as amended, between PDR Services LLC, as Sponsor and The Bank of New York Mellon, as Trustee (4)
|
EX-99.A1(4)
|
— Amendment No. 6 dated as of January 1, 2010 and effective January 27, 2010 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and effective April 27, 1995, as amended, between PDR Services LLC, as Sponsor and The Bank of New York Mellon, as Trustee (5)
|
EX-99.A1(5)
|
— Trust Indenture and Agreement dated and effective April 27, 1995 between PDR Services Corporation, as Sponsor and The Bank of New York, as Trustee (2)
|
EX-99.A1(6)
|
— Amendment dated as of December 29, 1995 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and to the Trust Indenture and Agreement dated April 27, 1995 between PDR Services Corporation, as Sponsor and The Bank of New York, as Trustee (6)
|
EX-99.A1(7)
|
— Amendment dated as of September 1, 1997 and effective September 30, 1997 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and to the Trust Indenture and Agreement dated April 27, 1995 between PDR Services Corporation, as Sponsor and The Bank of New York, as Trustee (7)
|
EX-99.A1(8)
|
— Amendment dated as of January 1, 1999 and effective January 25, 1999 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and to the Trust Indenture and Agreement dated April 27, 1995 between PDR Services LLC, as Sponsor and The Bank of New York, as Trustee (8)
|
EX-99.A3
|
— Distribution Agreement dated and effective November 1, 2011 (9)
|
EX-99.A4(1)
|
— Form of Global Certificates (5)
|
EX-99.A4(2)
|
— Form of Participant Agreement (10)
|
EX-99.A4(3)
|
— Sublicense Agreement entered into as of November 1, 2005 by and among PDR Services LLC, as Sublicensee, State Street Global Markets, LLC, as Licensee, and Standard & Poor’s (11)
|
EX-99.A4(4)
|
— Sublicense Agreement entered into as of November 1, 2005 by and among Bank of New York, as Sublicensee, State Street Global Markets, LLC, as Licensee, and Standard & Poor’s (11)
|
EX-99.A4(5)
|
— License Agreement entered into as of September 19, 1994 by and between Standard & Poor’s, the American Stock Exchange, Inc., and PDR Services Corporation (2)
|
EX-99.A9(1)
|
— Chief Compliance Officer Services Agreement dated and effective October 5, 2004 (12)
|
EX-99.A9(2)
|
— Addendum to Chief Compliance Officer Services Agreements dated and effective September 1, 2006 (12)
|
EX-99.A9(3)
|
— Amendment to Chief Compliance Officer Services Agreement dated October 1, 2009 (12)
|
EX-99.A9(4)
|
— Depository Agreement among The Bank of New York, as Trustee, PDR Services Corporation, as Sponsor and The Depository Trust Company as the Depository, dated April 17, 1995 (2)
|
EX-99.A11
|
— Code of Ethics dated and effective January 26, 2012 (12)
|
EX-99.C1
|
— Consent of Independent Registered Public Accounting Firm (1)
|
1.
|
Statement of Financial Condition of the Trust as shown in the current prospectus for this series herewith.
|
2.
|
Financial Statements of the Depositor:
|
SPDR S&P MIDCAP 400 ETF TRUST
|
|||
(Registrant)
|
|||
By:
|
PDR Services LLC | ||
|
By:
|
/s/ Joe Mecane | |
Name: Joe Mecane | |||
Title: President | |||
Name
|
Title/Office
|
|
/s/ Joe Mecane
|
President of PDR Services LLC*
|
|
Joe Mecane
|
||
/
s/ Laura Morrison
|
Senior Vice President of PDR Services LLC
|
|
Laura Morrison
|
*
|
The President of PDR Services LLC also undertakes all the duties and responsibilities of, and performs all functions of, the principal financial officer of PDR Services LLC.
|
EX-99.2
|
— Opinion of Counsel as to legality of securities being registered and consent of Counsel (1)
|
EX-99.A1(1)
|
— Standard Terms and Conditions of Trust dated as of April 1, 1995 and effective April 27, 1995, between PDR Services Corporation, as Sponsor and The Bank of New York, as Trustee (2)
|
EX-99.A1(2)
|
— Amendment dated as of January 26, 2006 and effective January 27, 2006 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and effective April 27, 1995, between PDR Services LLC, as Sponsor and The Bank of New York, as Trustee (3)
|
EX-99.A1(3)
|
— Amendment dated as of February 1, 2009 and effective February 13, 2009 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and effective April 27, 1995, as amended, between PDR Services LLC, as Sponsor and The Bank of New York Mellon, as Trustee (4)
|
EX-99.A1(4)
|
— Amendment No. 6 dated as of January 1, 2010 and effective January 27, 2010 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and effective April 27, 1995, as amended, between PDR Services LLC, as Sponsor and The Bank of New York Mellon, as Trustee (5)
|
EX-99.A1(5)
|
— Trust Indenture and Agreement dated and effective April 27, 1995 between PDR Services Corporation, as Sponsor and The Bank of New York, as Trustee (2)
|
EX-99.A1(6)
|
— Amendment dated as of December 29, 1995 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and to the Trust Indenture and Agreement dated April 27, 1995 between PDR Services Corporation, as Sponsor and The Bank of New York, as Trustee (6)
|
EX-99.A1(7)
|
— Amendment dated as of September 1, 1997 and effective September 30, 1997 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and to the Trust Indenture and Agreement dated April 27, 1995 between PDR Services Corporation, as Sponsor and The Bank of New York, as Trustee (7)
|
EX-99.A1(8)
|
— Amendment dated as of January 1, 1999 and effective January 25, 1999 to the Standard Terms and Conditions of Trust dated as of April 1, 1995 and to the Trust Indenture and Agreement dated April 27, 1995 between PDR Services LLC, as Sponsor and The Bank of New York, as Trustee (8)
|
EX-99.A3
|
— Distribution Agreement dated and effective November 1, 2011 (9)
|
EX-99.A4(1)
|
— Form of Global Certificates (5)
|
EX-99.A4(2)
|
— Form of Participant Agreement (10)
|
EX-99.A4(3)
|
— Sublicense Agreement entered into as of November 1, 2005 by and among PDR Services LLC, as Sublicensee, State Street Global Markets, LLC, as Licensee, and Standard & Poor’s (11)
|
EX-99.A4(4)
|
— Sublicense Agreement entered into as of November 1, 2005 by and among Bank of New York, as Sublicensee, State Street Global Markets, LLC, as Licensee, and Standard & Poor’s (11)
|
EX-99.A4(5)
|
— License Agreement entered into as of September 19, 1994 by and between Standard & Poor’s, the American Stock Exchange, Inc., and PDR Services Corporation (2)
|
EX-99.A9(1)
|
— Chief Compliance Officer Services Agreement dated and effective October 5, 2004 (12)
|
EX-99.A9(2)
|
— Addendum to Chief Compliance Officer Services Agreements dated and effective September 1, 2006 (12)
|
EX-99.A9(3)
|
— Amendment to Chief Compliance Officer Services Agreement dated October 1, 2009 (12)
|
EX-99.A9(4)
|
— Depository Agreement among The Bank of New York, as Trustee, PDR Services Corporation, as Sponsor and The Depository Trust Company as the Depository, dated April 17, 1995 (2)
|
EX-99.A11
|
— Code of Ethics dated and effective January 26, 2012 (12)
|
EX-99.C1
|
— Consent of Independent Registered Public Accounting Firm (1)
|
1 Year SPDR S&P MIDCAP 400 Chart |
1 Month SPDR S&P MIDCAP 400 Chart |
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