secwatch.observer — SEC 8-K summary
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Issuer:     Hartford Funds Exchange-Traded Trust (—)
CIK:        0001501825
Form:       8-K
Filed at:   2022-12-19T23:59:59+00:00
Accession:  0001104659-22-128098
Event type: regulatory
Sentiment:  negative
Materiality: 0.60
Item codes: 3.01
LLM model:  deepseek-v4-flash:cloud@v2

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

Source:
  EDGAR index:    https://www.sec.gov/Archives/edgar/data/1501825/000110465922128098/0001104659-22-128098-index.htm
  Primary doc:    https://www.sec.gov/Archives/edgar/data/1501825/000110465922128098/tm2232744d1_8k.htm
  HTML page:      https://secwatch.observer/filing/0001104659-22-128098

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