Annual Report (unit Investment Trust) (nsar-u)
February 28 2014 - 2:55PM
Edgar (US Regulatory)
FORM N-SAR
ANNUAL REPORT
FOR REGISTERED INVESTMENT COMPANIES
Report for six month period ending:
or calendar year ending:12/31/13
Is this a transition report?:(Y/N) N
Is this an amendment to a previous filing? (Y/N) N
Those items or sub-items with a box "[/]" after the item
number should be completed only if the answer has changed
from the previous filing form.
1. A. Registrant Name: SPDR S&P 500 ETF Trust
B. File Number: 811-07330
C. Telephone Number: (212)656-4440
2. A. Street: 11 Wall Street
B. City: New York
C. State: New York
D. Zip Code: 10005 Zip Ext:
E. Foreign Country: Foreign Postal Code:
3. Is this the first filing on this form by the Registrant? (Y/N) N
---
4. Is this the last filing on this form by Registrant? (Y/N) N
---
5. Is Registrant a small business investment company (SBIC)? (Y/N)
N
[If answer is Y (Yes) complete only items 89 through 110.] ---
-
6. Is Registrant a unit investment trust (UIT)? (Y/N)
Y
[If answer is Y (Yes) complete only items 111 through 132.] ---
-
7. A. Is Registrant a series or multiple portfolio company? (Y/N)
[If answer is N (No), go to item 8.] ---
-
B. How many separate series or portfolios did Registrant have at
the end of the period?
-
---
UNIT INVESTMENT TRUSTS
111. A. [/] Depositor Name:
___________________________________________________
B. [/] File Number (If any):
_____________________________________________
C. [/] City: _______ State: ____ Zip Code: _____ Zip Ext.: ___
[/] Foreign Country: _______________________ Foreign Postal
Code: _____
111. A. [/] Depositor Name:
___________________________________________________
B. [/] File Number (If any):
_____________________________________________
C. [/] City: ______________ State: ______ Zip Code: _______ Zip
Ext.: ____
[/] Foreign Country: _______________________ Foreign Postal
Code: _____
112. A. [/] Sponsor Name:
_____________________________________________________
B. [/] File Number (If any):
_____________________________________________
C. [/] City: ______ State: ___ Zip Code: _____ Zip Ext.: ____
[/] Foreign Country: _______________________ Foreign Postal
Code: _____
112. A. [/] Sponsor Name:
_____________________________________________________
B. [/] File Number (If any):
_____________________________________________
C. [/] City: ______________ State: ______ Zip Code: _______ Zip
Ext.: ____
[/] Foreign Country: _______________________ Foreign Postal
Code: _____
113. A. [/] Trustee Name:
_____________________________________________________
B. [/] City: _______ State: ____ Zip Code: __ Zip Ext.: ____
[/] Foreign Country: ______________ Foreign Postal Code: _____
113. A. [/] Trustee Name:
_____________________________________________________
B. [/] City: ______________ State: ______ Zip Code: _______ Zip
Ext.: ____
[/] Foreign Country: _______________________ Foreign Postal
Code: _____
114. A. [/] Principal Underwriter Name:
B. [/] File Number:
C. [/] City: Denver_______ State: ____ Zip Code: _____ Zip
Ext.: ____
[/] Foreign Country: _______________________ Foreign Postal
Code: _____
114. A. [/] Principal Underwriter Name:
B. [/] File Number: _____________
C. [/] City: ______________ State: ______ Zip Code: _______ Zip
Ext.: ____
[/] Foreign Country: _______________________ Foreign Postal
Code: _____
115. A. [/] Independent Public Accountant Name: ______________
B. [/] City: ______ State: ___ Zip Code: ______ Zip Ext.: ____
[/] Foreign Country: _________ Foreign Postal Code: _____
115. A. [/] Independent Public Accountant Name:
_______________________________
B. [/] City: ______________ State: ______ Zip Code: _______ Zip
Ext.: ____
[/] Foreign Country: _______________________ Foreign Postal
Code: _____
116. Family of investment companies information:
A. [/] Is Registrant part of a family of investment companies?
(Y/N) ____
B. [/] Identify the family in 10 letters: _ _ _ _ _ _ _ _ _ _
(NOTE: In filing this form, use this identification
consistently for all investment companies in family.
This designation is for purposesof this form only.)
117. A. [/] Is Registrant a separate account of an insurance
company? (Y/N) __
If answer is Y (Yes), are any of the following types of
contracts funded by the Registrant?:
B. [/] Variable annuity contracts? (Y/N)
_________________________________
C. [/] Scheduled premium variable life contracts? (Y/N)
_________________________________
D. [/] Flexible premium variable life contracts? (Y/N)
_________________________________
E. [/] Other types of insurance products registered under the
Securities Act of 1933? (Y/N)
_________________________________
118. [/] State the number of series existing at the end of the
period that had securities registered under the
Securities Act of 1933
__________________________________________
119. [/] State the number of new series for which registration
statements under the Securities Act of 1933 became
effective during the period
__________________________________________
120. [/] State the total value of the portfolio securities on the
date of deposit for the new series included in item 119
($000s omitted) _______________________________________
121. [/] State the number of series for which a current prospectus
was in existence at the end of the period
________________________________
122. [/] State the number of existing series for which additional
units were registered under the Securities Act of 1933
during the current period
_________________________________________________
123. [/] State the total value of the additional units considered in
answering item 122 ($000s omitted) ___________________
124. [/] State the total value of units of prior series that were
placed in the portfolios of subsequent series during the
current period (the value of these units is to be measured
on the date they were placed in the subsequent series)
($000s omitted)_______________________________________
125. [/] State the total dollar amount of sales loads collected
(before reallowances to other brokers or dealers) by
Registrant's principal underwriter and any underwriter
which is an affiliated person of the principal
underwriter during the current period solely from the
sale of units of all series of Registrant
($000s omitted) __________________________
126. Of the amount shown in item 125, state the total dollar amount
sales loads collected from secondary market operations in
Registrant's units (include the sales loads, if any, collected
on units of a prior series placed in the portfolio of a
subsequent series.) ($000s omitted) ______________________
127. List opposite the appropriate description below the number of
series whose portfolios are invested primarily (based upon a
percentage of NAV) in each type of security shown, the
aggregate total assets at market value as of a date at or near
the end of the current period of each such group of series and
the total income distributions made by each such group of
series during the current period (excluding distributions of
realized gains, if any):
Number of Total Assets Total Income
Series ($000s omitted) Distribution
Investing ($000s omitted)
A. U.S. Treasury direct issue
B. U.S. Government agency
C. State and municipal tax-free
D. Public utility debt
E. Brokers or dealers debt or
debt of brokers or dealers
parent
F. All other corporate intermed.
& long-term debt
G. All other corporate short-
Term debt
H. Equity security of brokers
Or dealers or parents of
Brokers or dealers
I. Investment company equity
Securities
J. All other equity securities
1 $177,317,641 $2,923,487
K. Other securities
L. Total assets of all series Of registrant
1 $177,317,641 $2,923,487
128. [/] Is the timely payment of principal and interest on any of
the portfolio securities held by any of Registrants series
at the end of the current period insured or guaranteed by an
entity other than the issuer? (Y/N)
__________________________________________
[If answer is N (No), go to item 131.]
129. [/] Is the issuer of any instrument covered in item 128
delinquent or in default as to payment of principal
or interest at the end of the current period? (Y/N)
___________________________________________
[If answer is N (No), go to item 131.]
130. [/] In computations of NAV or offering price per unit, is any
part of the value attributed to instruments identified in
item 129 derived from insurance or guarantees? (Y/N)
__________________________________________
131. Total expenses incurred by all series of Registrant during the
current reporting period ($000s omitted) __$134,899___________
132.List the "811" (Investment Company Act of 1940) registration
number for all Series of Registrant that are being included in this
filing:
________________________________________________
811-07330
811-
811-
|
SPDR S&P 500 (AMEX:SPY)
Historical Stock Chart
From Jun 2024 to Jul 2024
SPDR S&P 500 (AMEX:SPY)
Historical Stock Chart
From Jul 2023 to Jul 2024