---
schema_version: "secwatch.filing_event.v1"
accession: "0001104659-22-128098"
form_type: "8-K"
ticker: null
cik: "0001501825"
company_name: "Hartford Funds Exchange-Traded Trust"
filed_at: "2022-12-19T23:59:59+00:00"
generated_at: "2026-06-21T02:28:14.830522+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# Cboe notifies Hartford Funds ETF Trust that HEET has fewer than 50 beneficial holders, risk of delisting

## Summary
- On Dec 14, 2022, Cboe Staff notified Trust that Hartford Schroders ESG US Equity ETF (HEET) has fewer than 50 beneficial holders, violating continued listing rule 14.11(l)(4)(B)(i)(c).
- Fund commenced trading Aug 11, 2021; non-compliance determined as of Aug 31, Sep 30, Oct 31, 2022.
- Trust must submit plan to increase shareholders; may receive up to six-month cure period.
- If unable to demonstrate at least 50 beneficial holders by end of cure period, Staff may delist Fund.

## SEC filing metadata
- accession: 0001104659-22-128098
- form_type: 8-K
- cik: 0001501825
- company_name: Hartford Funds Exchange-Traded Trust
- filed_at: 2022-12-19T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 3.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1501825/000110465922128098/0001104659-22-128098-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1501825/000110465922128098/tm2232744d1_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001104659-22-128098
- JSON: https://secwatch.observer/filing/0001104659-22-128098.json
- Plain text: https://secwatch.observer/filing/0001104659-22-128098.txt

## Key facts
- Listing & Compliance Notices
  Hartford Funds Exchange-Traded Trust received a other deficiency notice notice regarding shareholders.
  - Notice: deficiency notice
  - Deficiency: shareholders
  source text: December 14, 2022, the compliance staff (the “Staff”) of Cboe BZX Exchange, Inc. (“Cboe”) provided written notice to Hartford Funds Exchange-Traded Trust (the “Trust”) that it is not in compliance with the continued listing standard set forth in Exchange Rule 14.11(l)(4)(B)(i)(c) of Cboe with respect to one of its series, the Hartford Schroders ESG US Equity ETF (the “Fund”). Exchange Rule 14.11(l)(4)(B)(i)(c) requires that, in order to comply with Cboe continued listing standards, a listed company must maintain no fewer than 50 beneficial holders of series of ETF Shares for 30 or more consecu
  evidence_url: https://www.sec.gov/Archives/edgar/data/1501825/000110465922128098/0001104659-22-128098-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.