UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of report (Date of earliest event reported): October 6, 2011
ALPS ETF TRUST
(Exact name of Registrant as Specified in Its Charter)
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| 26-4830992 | ||
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| 26-1867539 | ||
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| 27-0581183 | ||
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| 27-0581283 | ||
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| 27-0581135 | ||
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| 27-1428802 | ||
Delaware |
| 811-22175 |
| 27-3041076 | ||
(State or Other Jurisdiction of Incorporation) |
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| (IRS Employer Identification No.) | ||
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_1290 BROADWAY, SUITE 1100, DENVER, COLORADO 80203__
(Address of Principal Executive Offices) (Zip Code)
Registrant’s telephone number, including area code: (303) 623-2577
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(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
16747667.2
Item 7.01.
Regulation FD Disclosure
On October 6, 2011, ALPS ETF Trust (the “Trust”) received a public reprimand letter (the “NYSE Letter”) from NYSE Regulation indicating that the Trust failed to comply with NYSE Arca Equities Rule 5.3(i)(1)(i)(H) with respect to providing NYSE Arca, Inc. with at least ten business days prior written notice of the record date for its upcoming special meeting of shareholders to be held on October 14, 2011. The record date for the special meeting of shareholders of the Trust scheduled for October 14, 2011 remains unchanged as August 2, 2011.
16747667.2
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, ALPS ETF Trust has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
ALPS ETF TRUST
Date: October 11, 2011
By:
/s/ Thomas A. Carter
Name:
Thomas A. Carter
Title:
President
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