Form SC 13G/A - Statement of Beneficial Ownership by Certain Investors: [Amend]

 

 

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G/A

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(AMENDMENT NO. 1)

 

 

TCW Transform 500 ETF

(Name of Issuer)

Exchange-Traded Fund

(Title of Class of Securities)

29287L106

(CUSIP Number)

September 30, 2024

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☒ Rule 13d-1(b)

☐ Rule 13d-1(c)

☐ Rule 13d-1(d)

 

 

 

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CUSIP No. 29287L106		Page 1 of 7 Pages

 

1)		Names of Reporting Persons  IRS Identification No. Of Above Persons    The PNC Financial Services Group, Inc. 25-1435979
2)		Check the Appropriate Box if a Member of a Group (See Instructions)    a) ☐  b) ☐
3)		SEC USE ONLY
4)		Citizenship or Place of Organization    Pennsylvania

Number of Shares Beneficially  Owned By Each Reporting Person With				5)		Sole Voting Power    812,216
				6)		Shared Voting Power    67
				7)		Sole Dispositive Power    739,121
				8)		Shared Dispositive Power    1,993

9)		Aggregate Amount Beneficially Owned by Each Reporting Person    812,283
10)		Check if the Aggregate Amount in Row (9) Excludes Certain Shares See Instructions    ☐
11)		Percent of Class Represented by Amount in Row (9)    8.06
12)		Type of Reporting Person (See Instructions)    HC

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CUSIP No. 29287L106		Page 2 of 7 Pages

 

1)		Names of Reporting Persons  IRS Identification No. Of Above Persons    PNC Bank, National Association 22-1146430
2)		Check the Appropriate Box if a Member of a Group (See Instructions)    a) ☐  b) ☐
3)		SEC USE ONLY
4)		Citizenship or Place of Organization    United States

Number of Shares Beneficially  Owned By Each Reporting Person With				5)		Sole Voting Power    810,893
				6)		Shared Voting Power    -0-
				7)		Sole Dispositive Power    737,731
				8)		Shared Dispositive Power    -0-

9)		Aggregate Amount Beneficially Owned by Each Reporting Person    810,893
10)		Check if the Aggregate Amount in Row (9) Excludes Certain Shares See Instructions    ☐
11)		Percent of Class Represented by Amount in Row (9)    8.04
12)		Type of Reporting Person (See Instructions)    BK

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CUSIP No. 29287L106		Page 3 of 7 Pages

 

1)		Names of Reporting Persons  IRS Identification No. Of Above Persons    PNC Delaware Trust Company 81-0581990
2)		Check the Appropriate Box if a Member of a Group (See Instructions)    a) ☐  b) ☐
3)		SEC USE ONLY
4)		Citizenship or Place of Organization    Delaware

Number of Shares Beneficially  Owned By Each Reporting Person With				5)		Sole Voting Power    1,323
				6)		Shared Voting Power    -0-
				7)		Sole Dispositive Power    1,323
				8)		Shared Dispositive Power    -0-

9)		Aggregate Amount Beneficially Owned by Each Reporting Person    1,323
10)		Check if the Aggregate Amount in Row (9) Excludes Certain Shares See Instructions    ☐
11)		Percent of Class Represented by Amount in Row (9)    Less than 0.01
12)		Type of Reporting Person (See Instructions)    BK

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CUSIP No. 29287L106		Page 4 of 7 Pages

 

1)		Names of Reporting Persons  IRS Identification No. Of Above Persons    PNC Investments LLC 42-1604685
2)		Check the Appropriate Box if a Member of a Group (See Instructions)    a) ☐  b) ☐
3)		SEC USE ONLY
4)		Citizenship or Place of Organization    Delaware

Number of Shares Beneficially  Owned By Each Reporting Person With				5)		Sole Voting Power    -0-
				6)		Shared Voting Power    67
				7)		Sole Dispositive Power    67
				8)		Shared Dispositive Power    -0-

9)		Aggregate Amount Beneficially Owned by Each Reporting Person    67
10)		Check if the Aggregate Amount in Row (9) Excludes Certain Shares See Instructions    ☐
11)		Percent of Class Represented by Amount in Row (9)    Less than 0.01
12)		Type of Reporting Person (See Instructions)    BD

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		Page 5 of 7 Pages

 

ITEM 1(a) - NAME OF ISSUER:

TCW Transform 500 ETF

ITEM 1(b) - ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES:

c/o TCW ETF Trust

850 New Burton Road, Suite 201

Dover, Delaware 19904

ITEM 2(a) - NAME OF PERSON FILING:

The PNC Financial Services Group, Inc.; PNC Bank, National

Association; PNC Delaware Trust Company; PNC Investments LLC

ITEM 2(b) - ADDRESS OF PRINCIPAL BUSINESS OFFICE:

The PNC Financial Services Group, Inc. - 300 Fifth Avenue, Pittsburgh, PA 15222-2401

PNC Bank, National Association - 300 Fifth Avenue, Pittsburgh, PA 15222-2401

PNC Delaware Trust Company - 222 Delaware Avenue, Wilmington, DE 19801

PNC Investments LLC - 300 Fifth Avenue, Pittsburgh, PA 15222-2401

ITEM 2(c) - CITIZENSHIP:

The PNC Financial Services Group, Inc. - Pennsylvania

PNC Bank, National Association - United States

PNC Delaware Trust Company – Delaware

PNC Investments LLC – Delaware

ITEM 2(d) - TITLE OF CLASS OF SECURITIES:

Exchange-Traded Fund

ITEM 2(e) - CUSIP NUMBER:

29287L106

ITEM 3 - IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A:

 

(a)		☒		Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)		☒		Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)		☐		Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)		☐		Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)		☐		An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)		☐		An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)		☒		A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)		☐		A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)		☐		A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);
(j)		☐		A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
(k)		☐		Group, in accordance with § 240.13d-1(b)(1)(ii)(K).

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		Page 6 of 7 Pages

 

ITEM 4 - OWNERSHIP:

The following information is as of September 30, 2024:

 

(a) Amount Beneficially Owned:		812,283
(b) Percent of Class:		8.06
(c) Number of fund shares to which such person has:
(i) sole power to vote or to direct the vote		812,216
(ii) shared power to vote or to direct the vote		67
(iii) sole power to dispose or to direct the disposition of		739,121
(iv) shared power to dispose or to direct the disposition of		1,993

Of the total fund shares reported herein, 810,893 are held in accounts at PNC Bank, National Association in a fiduciary capacity for clients.

Of the total fund shares reported herein, 1,323 are held in accounts at PNC Delaware Trust Company in a fiduciary capacity for clients.

Of the total fund shares reported herein, 67 are held in accounts at PNC Investments LLC in a fiduciary capacity for clients.

The inclusion of the reporting persons and such securities in this report shall not be deemed an admission of beneficial ownership by the reporting persons for the purposes of Section 13(d) or 13(g) of the Act, or for any other purposes.

ITEM 5 - OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:

Not Applicable.

ITEM 6 - OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:

Not Applicable.

ITEM 7 - IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY:

Included are the following subsidiaries of The PNC Financial Services Group, Inc. - HC:

PNC Bank, National Association - BK

PNC Delaware Trust Company – BK

PNC Investments LLC – BD

ITEM 8 - IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:

Not Applicable.

ITEM 9 - NOTICE OF DISSOLUTION OF GROUP:

Not Applicable.

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		Page 7 of 7 Pages

 

ITEM 10 - CERTIFICATION:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

November 14, 2024				November 14, 2024
Date				Date
By: /s/ Gregory H. Kozich				By: /s/ Joshua Ott
Signature - The PNC Financial Services Group, Inc.				Signature - PNC Delaware Trust Company
Gregory H. Kozich, Senior Vice President & Controller				Joshua Ott, Fiduciary Market Director
Name & Title				Name & Title
November 14, 2024				November 14, 2024
Date				Date
By: /s/ Gregory H. Kozich				By: /s/ Richard R. Guerrini
Signature – PNC Bank, National Association				Signature - PNC Investments LLC
Gregory H. Kozich, Executive Vice President & Controller				Richard R. Guerrini, President & CEO
Name & Title				Name & Title

AN AGREEMENT TO FILE A JOINT STATEMENT WAS PREVIOUSLY FILED

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