gigg - SEC · Martha Redding Associate GeneralCounsei Assistant Secretary NYSE N1ewW...
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For Internal Use Only Submit 1 Original MB Approval No.: U SecFile No. 91 - and 9 Copies xpires: Estimated averageburden hours per response: 2.00 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 19b-4(e) Information Required of a Self-Regulatory Organization Listing and Trading a New Derivative Securities Product Pursuant to Rule 19b-4(e) Under the Securities Exchange Act of 1934 READ ALL INSTRUCTIONS PRIOR TO COMPLETING FORM Part I Initial Listing Report 1. Nameof Self-Regulatory Organization Listing New Derivative Securities Product: NYSE Area, Inc. 2. Type of Issuer of New Derivative Securities Product (eg, clearinghouse, broker-dealer, corporation, etc.): Open-end Management Investment Company gigg 3.Class of New Derivative Securities Product: Managed Fund Shares FEB i 9 E9 4. Name of Underlying Instrument: da WabligigtCR ' 5. If Underlying Instrument is an Index, State Whether it is Broad-Based or Narrow-Based: da 5. Ticker Symbol(s) of New Derivative Securities Product: USDY 7. Market or Markets Upon Which Securities Comprising Underlying Instrument Trades: S. Settlement Methodology of New Derivative Securities Product: Regular way trades settle on T+2/Book entry only held in DTC. 9. Position Limits of New Derivative Securities Product (if applicable): Not applicable. Part H Execution the undersigned represents that the governing body of the above-referenced Self-Regulatory Organization has duly approved, or has duly delegated its approval to the undersigned for, the listing and trading of the above-referenced new derivative securities product according to its relevant trading rules, procedures, surveillance programs and listing standards. Nameof Official Responsible for Form: Martha Redding Title: Associate General Counsel and Assistant Secretary 19003886 felephone Number: (212) 656-2938 Nianualjìigapture of Official Responsible for Form: $êÑO& Ëxchange Act of 1934 February 15 19 / hon 196,4 GEC 2449 (41/99) / Public Availability: FEB19 2019
Transcript of gigg - SEC · Martha Redding Associate GeneralCounsei Assistant Secretary NYSE N1ewW...
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For Internal Use Only Submit 1 Original MB Approval No.: USecFile No.91 - and 9 Copies xpires:
Estimated averageburden hours per response:2.00UNITED STATES
SECURITIES AND EXCHANGE COMMISSIONWashington, D.C.20549
FORM 19b-4(e)Information Required of a Self-Regulatory Organization Listing and Trading a New
Derivative Securities Product Pursuant to Rule 19b-4(e) Under the Securities Exchange Act of 1934READ ALL INSTRUCTIONS PRIOR TO COMPLETING FORM
Part I Initial Listing Report1.Nameof Self-Regulatory Organization Listing New Derivative Securities Product:NYSE Area, Inc.
2.Type of Issuer of New Derivative Securities Product (eg, clearinghouse, broker-dealer, corporation, etc.):
Open-end Management Investment Company gigg
3.Classof New Derivative Securities Product:
Managed Fund Shares FEBi 9 E94.Name of Underlying Instrument:da WabligigtCR '
5.If Underlying Instrument is an Index, State Whether it is Broad-Based or Narrow-Based:da
5.Ticker Symbol(s) of New Derivative Securities Product:USDY
7.Market or Markets Upon Which SecuritiesComprising Underlying Instrument Trades:
S.Settlement Methodology of New Derivative Securities Product:Regular way trades settle on T+2/Book entry only held in DTC.
9.Position Limits of New Derivative Securities Product (if applicable):Not applicable.
Part H Execution
the undersigned represents that the governing body of the above-referenced Self-Regulatory Organization hasduly approved, or hasdulydelegated its approval to the undersignedfor, the listing and trading of the above-referenced new derivative securities product according to itsrelevant trading rules, procedures,surveillance programs and listing standards.
Nameof Official Responsible for Form:
Martha ReddingTitle:
Associate General Counsel and Assistant Secretary 19003886felephone Number:
(212) 656-2938Nianualjìigapture of Official Responsible for Form:
$êÑO& Ëxchange Act of 1934
February 15 19 / hon 196,4GEC 2449 (41/99) /
Public
Availability: FEB19 2019
-
Martha ReddingAssociate General CounseiAssistant Secretary
NYSE N1ewW SeteotckExchange, a New York, NY 10005
- - 7 d T + 1 212 656 2938Via Overnight Mail ~ F + 1 212 656 8101
February 15, 2019
Ms.Claudette Ransom SECMaßPf°Ces 9US Securities and Exchange CommissionDivision of Trading and Markets FEB19 2019Station Place - Building I
100 F Street,N.E.- Room 7010 SND9tDR'Washington, DC 20549 ES
Re: 19b-4(e) - Transmittal (NYSE Arca, Inc.)
Dear Ms. Ransom:
Enclosedfor filing pursuant to Section 19(b) of the Securities Exchange Act of 1934 andRule 19b-4 thereunder, please find an original and nine copies of Form 19b-4(e) withrespect to the securities listedbelow.
Pacific Global US Equity income ETF (USDY)
If you have any questions, please do not hesitate to call me at (212) 656-2938.
Sincerely,
Enclosures
