04/16/2024 | Press release | Distributed by Public on 04/16/2024 08:02
CHARLES F. MCCAIN, ESQ.
Harbor ETF Trust
111 South Wacker Drive - 34thFloor
Chicago, Illinois 60606
|
CHRISTOPHER P. HARVEY, ESQ.
Dechert LLP
One International Place - 40thFloor
100 Oliver Street
Boston, Massachusetts 02110
|
Fund
|
Exchange
|
Ticker
|
|
||
Harbor Disciplined Bond ETF
|
NYSE Arca, Inc.
|
AGGS
|
Fund Summary
|
|
Harbor Disciplined Bond ETF
|
1
|
Additional Information about
the Fund's Investments
|
|
Investment Objective
|
5
|
Investment Policies
|
5
|
Principal Investments
|
5
|
Non-Principal Investments
|
10
|
Exchange-Traded Fund Structure
|
10
|
Portfolio Turnover
|
11
|
Portfolio Holdings Disclosure Policy
|
11
|
The Advisor
|
|
Harbor Capital Advisors, Inc.
|
12
|
The Subadvisor
|
|
The Subadvisor
|
13
|
Shareholder Information
|
|
Valuing Fund Shares
|
15
|
Buying and Selling Shares
|
15
|
Distribution and Service (12b-1) Fees
|
16
|
Investing Through a Financial Intermediary
|
16
|
Book Entry
|
16
|
Frequent Purchases and Redemptions of Shares
|
16
|
Shareholder Actions
|
16
|
Investments by Registered Investment
Companies
|
17
|
Note to Authorized Participants Regarding
Continuous Offering
|
17
|
Shareholder and Account
Policies
|
|
Dividends, Distributions and Taxes
|
18
|
Taxes on Creations and Redemptions of Creation
Units
|
18
|
Cost Basis
|
19
|
For More Information
|
|
Fund Details
|
20
|
Management Fees
|
0.35%
|
Distribution and Service (12b-1) Fees
|
0.00%
|
Other Expenses1,2
|
0.00%
|
Total Annual Fund Operating Expenses
|
0.35%
|
One
Year
|
Three
Years
|
$36
|
$113
|
|
James E. Gubitosi, CFA
Income Research + Management
|
|
Mike Sheldon, CFA
Income Research + Management
|
|
Bill O'Neill, CFA
Income Research + Management
|
|
Jake Remley, CFA
Income Research + Management
|
|
Matt Walker, CFA
Income Research + Management
|
|
Rachel Campbell, CFA
Income Research + Management
|
|
Actual
Advisory
Fee Paid
|
Contractual
Advisory
Fee
|
Harbor Disciplined Bond ETF
|
N/A
1
|
0.35
%
|
PORTFOLIO MANAGERS
|
SINCE
|
PROFESSIONAL EXPERIENCE
|
James E. Gubitosi, CFA
|
2024
|
Mr. Gubitosi joined IR+M in 2007 and serves as the firm's
Co-Chief Investment Officer and Senior Portfolio Manager. Prior
to joining IR+M, he was a Senior Analyst at Financial Architects
Partners. Mr. Gubitosi began his investment career in 2004.
|
Mike Sheldon, CFA
|
2024
|
Mr. Sheldon joined IR+M in 2007 and serves as the firm's Deputy
Chief Investment Officer. Prior to joining IR+M, Mr. Sheldon
was an Institutional Fixed Income Bond Sales Representative
and Vice President with HSBC. Mr. Sheldon began his investment
career in 1991.
|
Bill O'Neill, CFA
|
2024
|
Mr. O'Neill joined IR+M in 2004 and is a Senior Portfolio
Manager. Prior to joining IR+M, he was a Trader at Investors
Bank and Trust. Mr. O'Neill began his investment career in 2000.
|
Jake Remley, CFA
|
2024
|
Mr. Remley joined IR+M in 2004 and is a Senior Portfolio
Manager. Prior to joining IR+M, he was an associate with Lehman
Brothers Holdings. Mr. Remley began his investment career in
2001.
|
Matt Walker, CFA
|
2024
|
Mr. Walker joined IR+M in 2007 and is a Senior Portfolio
Manager. Prior to joining IR+M, he was a Fixed Income
Operations Representative at State Street Corporation. Mr. Walker
began his investment career in 2003.
|
Rachel Campbell
|
2024
|
Ms. Campbell joined IR+M in 2009 and is a Portfolio Manager
and the Director of Securitized Research. Prior to joining IR+M,
she was a Junior Risk Analyst at Cypress Tree Investment
Management. Ms. Campbell began her investment career in 2006.
|
|
Average Annual Total Returns for the Periods Ended December 31, 2023:
|
|||
|
1 Year
|
3 Years
|
5 Years
|
Since Inception
|
IR+M Composite (net of Fund expenses)
|
6.69
%
|
-2.68
%
|
2.07
%
|
1.74
%
|
IR+M Composite (gross)
|
7.07
%
|
-2.33
%
|
2.42
%
|
2.10
%
|
Bloomberg U.S. Aggregate Bond Index**
|
5.53
%
|
-3.31
%
|
1.10
%
|
0.99
%
|
|
Calendar Year Total Returns for the Periods Ended December 31:
|
|
|||||
|
2017***
|
2018
|
2019
|
2020
|
2021
|
2022
|
2023
|
IR+M Composite (net of Fund expenses)
|
1.19
%
|
-0.31
%
|
9.73
%
|
9.50
%
|
-0.25
%
|
-13.38
%
|
6.69
%
|
IR+M Composite (gross)
|
1.21
%
|
-0.26
%
|
9.79
%
|
9.55
%
|
-0.20
%
|
-13.33
%
|
7.07
%
|
Bloomberg U.S. Aggregate Bond Index**
|
3.54
%
|
0.01
%
|
8.72
%
|
7.51
%
|
-1.54
%
|
-13.01
%
|
5.53
%
|
CUSIP
NUMBER
|
TICKER
SYMBOL
|
|
Harbor Disciplined Bond ETF
|
||
41151J794
|
AGGS
|
|
|
For more information
|
For investors who would like more information about the Fund, the following documents
are available upon request:
|
|
harborcapital.com
|
|
800-422-1050
|
|
Harbor ETF Trust
P.O. Box 804660
Chicago, IL 60680-4108
|
|
sec.gov
|
|
[email protected] (for a fee)
|
Charles F. McCain
Chairman, President & Trustee
Scott M. Amero
Trustee
Donna J. Dean
Trustee
Robert Kasdin
Trustee
Kathryn L. Quirk
Trustee
Douglas J. Skinner
Trustee
Ann M. Spruill
Trustee
Landis Zimmerman
Trustee
Diana R. Podgorny
Chief Legal Officer and
Chief Compliance Officer
|
Richard C. Sarhaddi
Deputy Chief Compliance Officer
and Vice President
John M. Paral
Treasurer
Gregg M. Boland
Vice President and
AML Compliance Officer
Kristof M. Gleich
Vice President
Diane J. Johnson
Vice President
Lora A. Kmieciak
Vice President
Meredyth A. Whitford-Schultz
Secretary
Lana M. Lewandowski
Assistant Secretary
Meredith S. Dykstra
Assistant Secretary
|
Fund
|
Principal U.S.
Listing Exchange
|
Ticker
|
Harbor Disciplined Bond ETF
|
NYSE Arca, Inc.
|
AGGS
|
ADDITIONAL POLICIES AND INVESTMENT TECHNIQUES
|
1
|
Investment Policies
|
2
|
Asset-Backed Securities
|
2
|
Borrowing
|
2
|
Cash Equivalents
|
2
|
Collateralized Debt Obligations
|
3
|
Common Stocks
|
3
|
Convertible Securities
|
4
|
Cybersecurity Risks
|
4
|
Delayed Funding and Revolving Credit Facilities
|
5
|
Derivative Instruments
|
5
|
Duration
|
11
|
Fixed Income Securities
|
11
|
Foreign Currency Transactions
|
11
|
Foreign Securities
|
13
|
Forward Commitments and When-Issued Securities
|
15
|
Illiquid Securities
|
16
|
Inflation-Indexed Bonds
|
16
|
Interfund Lending
|
17
|
Investments in Other Investment Companies
|
18
|
Liquidation of Funds
|
18
|
Loan Originations, Participations and Assignments
|
18
|
Mortgage "Dollar Roll" Transactions
|
20
|
Mortgage-Backed Securities
|
20
|
Municipal Bonds
|
22
|
Partnership Securities
|
23
|
Preferred Stocks
|
24
|
Real Estate Investment Trusts
|
24
|
Regulatory Risk and Other Market Events
|
25
|
Repurchase Agreements
|
25
|
Restricted Securities
|
26
|
Rights and Warrants
|
26
|
Securities Lending
|
26
|
Short Sales
|
26
|
Sovereign Debt Obligations
|
27
|
Structured Products
|
27
|
Trust-Preferred Securities
|
29
|
U.S. Government Securities
|
29
|
Variable and Floating Rate Securities
|
30
|
Exchange Listing and Trading
|
31
|
Investment Restrictions
|
32
|
Fundamental Investment Restrictions
|
32
|
Non-Fundamental Investment Restrictions
|
33
|
Trustees and Officers
|
34
|
The AdvisOr AND SUBADVISOR
|
41
|
The Portfolio Managers
|
43
|
The Distributor
|
45
|
Shareholder Services
|
46
|
Code of Ethics
|
47
|
Portfolio Holdings
|
48
|
Proxy Voting
|
50
|
Portfolio Transactions
|
53
|
Net Asset Value
|
55
|
Creations and Redemptions
|
57
|
Tax Information
|
65
|
Organization and Capitalization
|
70
|
Custodian AND TRANSFER AGENT
|
71
|
Independent Registered Public Accounting Firm and Financial Statements
|
72
|
Appendix a - Proxy Voting
|
73
|
Name (Age)
Position(s) with Fund
|
Term of
Office and
Length of
Time Served1
|
Principal Occupation(s)
During Past Five Years
|
Number of
Portfolios
In Fund
Complex
Overseen By
Trustee
|
Other Directorships
Of Public Companies
and Other Registered
Investment Companies
Held by Trustee During
Past Five Years
|
INDEPENDENT TRUSTEES
|
||||
Scott M. Amero (60)
Trustee
|
Since 2021
|
Chairman (2015-2020) and Trustee (2011-Present), Rare (conservation
nonprofit); Trustee, Root Capital (2022-Present); Trustee, The Nature
Conservancy, Massachusetts Chapter (2018-Present); Trustee, Adventure
Scientists (conservation nonprofit) (2020-Present); Vice Chairman and Global
Chief Investment Officer, Fixed Income (2010), Vice Chairman and Global
Chief Investment Officer, Fixed Income, and Co-Head, Fixed Income Portfolio
Management (2007-2010), BlackRock, Inc. (publicly traded investment
management firm).
|
33
|
None
|
Donna J. Dean (72)
Trustee
|
Since 2021
|
Chief Investment Officer of the Rockefeller Foundation (a private foundation)
(2001-2019).
|
33
|
None
|
Robert Kasdin (65)
Trustee
|
Since 2021
|
Trustee, Barnard College (2023-Present); Senior Vice President and Chief
Operating Officer (2015-2022) and Chief Financial Officer (2018-2022), Johns
Hopkins Medicine; Trustee and Co-Chair of the Finance Committee, National
September 11 Memorial & Museum at the World Trade Center (2005-2019);
Director, Apollo Commercial Real Estate Finance, Inc. (2014-Present); and
Director, The Y in Central Maryland (2018-2022).
|
33
|
Director of Apollo
Commercial Real Estate
Finance, Inc. (2014-
Present).
|
Kathryn L. Quirk (71)
Trustee
|
Since 2021
|
Member, Independent Directors Council, Governing Council (2023-present);
Vice President, Senior Compliance Officer and Head, U.S. Regulatory
Compliance, Goldman Sachs Asset Management (2013-2017); Deputy Chief
Legal Officer, Asset Management, and Vice President and Corporate Counsel,
Prudential Insurance Company of America (2010-2012); Co-Chief Legal Officer,
Prudential Investment Management, Inc., and Chief Legal Officer, Prudential
Investments and Prudential Mutual Funds (2008-2012); Vice President and
Corporate Counsel and Chief Legal Officer, Mutual Funds, Prudential
Insurance Company of America, and Chief Legal Officer, Prudential
Investments (2005-2008); Vice President and Corporate Counsel and Chief
Legal Officer, Mutual Funds, Prudential Insurance Company of America
(2004-2005); Member, Management Committee (2000-2002), General Counsel
and Chief Compliance Officer, Zurich Scudder Investments, Inc. (1997-2002);
and Member, Board of Directors and Co-Chair, Governance Committee, Just
World International Inc. (nonprofit) (2020 - 2023).
|
33
|
None
|
Douglas J. Skinner (62)
Trustee
|
Since 2021
|
Professor of Accounting (2005-Present), Deputy Dean for Faculty (2015-2016,
2017-Present), Interim Dean (2016-2017), University of Chicago Booth School
of Business.
|
33
|
None
|
Ann M. Spruill (70)
Trustee
|
Since 2021
|
Partner (1993-2008), member of Executive Committee (1996-2008), Member
Board of Directors (2002-2008), Grantham, Mayo, Van Otterloo & Co, LLC
(private investment management firm) (with the firm since 1990); Member
Investment Committee and Chair of Global Public Equities, Museum of Fine
Arts, Boston (2000-2020); and Trustee, Financial Accounting Foundation
(2014-2020).
|
33
|
None
|
Landis Zimmerman (65)
Trustee
|
Since 2022
|
Independent, non-fiduciary advisor, Gore Creek Asset Management (2006-
Present); Member, Frederick Gunn School Investment Committee (2023-
Present); Member, Japan Science and Technology Agency Investment
Advisory Committee (2021-2023); Chief Investment Officer of the Howard
Hughes Medical Institute (2004-2021).
|
33
|
None
|
Name (Age)
Position(s) with Fund
|
Term of
Office and
Length of
Time Served1
|
Principal Occupation(s)
During Past Five Years
|
Number of
Portfolios
In Fund
Complex
Overseen By
Trustee
|
Other Directorships
Of Public Companies
and Other Registered
Investment Companies
Held by Trustee During
Past Five Years
|
INTERESTED TRUSTEE
|
||||
Charles F. McCain (54)*
Chairman, Trustee
and President
|
Since 2021
|
Director (2007-Present), Chief Executive Officer (2017-Present), President
and Chief Operating Officer (2017), Executive Vice President and General
Counsel (2004-2017), and Chief Compliance Officer (2004-2014), Harbor Capital
Advisors, Inc.; Director and Chairperson (2019-Present), Harbor Trust
Company, Inc.; Director (2007-Present) and Chief Compliance Officer
(2004-2017), Harbor Services Group, Inc.; Director (2007-Present), Chief
Executive Officer (2017-Present), Chief Compliance Officer (2007-2017;
2023-Present), and Executive Vice President (2007-2017), Harbor Funds
Distributors, Inc.; Chief Compliance Officer, Harbor Funds (2004-2017); and
Chairman, President and Trustee, Harbor ETF Trust (2021-Present).
|
33
|
None
|
Name (Age)
Position(s) with Fund
|
Term of
Office and
Length of
Time Served1
|
Principal Occupation(s)
During Past Five Years
|
FUND OFFICERS NOT LISTED ABOVE**
|
||
Diana R. Podgorny (45)
Chief Legal Officer, Chief
Compliance Officer
|
Since 2023
|
Executive Vice President, General Counsel and Secretary (2023-Present), Senior Vice President and Deputy General
Counsel (2022-2023), Senior Vice President and Assistant General Counsel (2020-2022), and Vice President and Assistant
General Counsel (2017-2020), Harbor Capital Advisors, Inc.; Director, Vice President, and Secretary (2023-Present),
Harbor Services Group, Inc.; Director and Vice President (2020-Present), Harbor Trust Company, Inc.; Chief Legal Officer
and Chief Compliance Officer (2023-Present), Secretary (2017-2024), Harbor Funds; Chief Legal Officer and Chief Compliance
Officer (2023-Present), Secretary (2021-2024), Harbor ETF Trust; and Chief Legal Officer, Chief Compliance Officer and
Secretary (2023-2024), Harbor Funds II.
|
Richard C. Sarhaddi (50)
Deputy Chief Compliance
Officer and Vice President
|
Since 2023
|
Senior Vice President and Chief Compliance Officer (2023-Present), Harbor Capital Advisors, Inc. and Harbor Services
Group, Inc.; Director and Chief Compliance Officer (2023-Present), Harbor Trust Company Inc.; Deputy Chief Compliance
Officer and Vice President (2023-Present), Harbor Funds; Deputy Chief Compliance Officer and Vice President
(2023-present), Harbor ETF Trust; and Deputy Chief Compliance Officer and Vice President (2023-Present), Harbor Funds II.
Chief Compliance Officer (2021-2023), Vanguard Personalized Indexing Management, LLC; Head of U.S. Direct Investor
Advice Compliance, (2018-2023), The Vanguard Group, Inc.; Director & Lead Counsel, Digital Services / Intelligent
Portfolios (2015-2018), Charles Schwab & Co., Inc.
|
John M. Paral (55)
Treasurer
|
Since 2022
|
Senior Vice President - Fund Administration and Analysis (2022-Present), Director of Fund Administration and Analysis
(2017-2022), Vice President (2012-2022) and Financial Reporting Manager (2007-2017), Harbor Capital Advisors, Inc.;
Treasurer (2022-Present) and Assistant Treasurer (2013-2022), Harbor Funds; Treasurer (2022-Present) and Assistant
Treasurer (2021-2022), Harbor ETF Trust; and Treasurer (2023-Present), Harbor Funds II.
|
Gregg M. Boland (60)
Vice President and AML
Compliance Officer
|
Since 2021
|
Executive Vice President (2020-Present), Vice President (2019-2020), Harbor Capital Advisors, Inc.; President (2019-Present),
Senior Vice President - Operations (2016-2019), and Vice President - Operations (2007-2015), Harbor Services Group,
Inc.; Senior Vice President, AML Compliance Officer, and OFAC Officer (2019-Present), Harbor Funds Distributors,
Inc.; Vice President, Harbor Funds (2019-Present) and Vice President (2021-Present), Harbor ETF Trust; and Vice President
and AML Compliance Officer (2023-Present), Harbor Funds II.
|
Kristof M. Gleich (44)
Vice President
|
Since 2021
|
President (2018-Present) and Chief Investment Officer (2020-Present), Harbor Capital Advisors, Inc.; Director, Vice
Chairperson, President (2019-Present) and Chief Investment Officer (2020-Present), Harbor Trust Company, Inc.; Vice
President (2019-Present), Harbor Funds; Vice President (2021-Present), Harbor ETF Trust; Vice President (2023-Present),
Harbor Funds II; and Managing Director, Global Head of Manager Selection (2010-2018), JP Morgan Chase & Co.
|
Diane J. Johnson (58)
Vice President
|
Since 2022
|
Vice President (2022-Present) and Tax Director (2009-Present), Harbor Capital Advisors, Inc.; Vice President (2022-Present),
Harbor Funds; Vice President (2022-Present), Harbor ETF Trust; and Vice President (2023-Present), Harbor Funds II.
|
Lora A. Kmieciak (59)
Vice President
|
Since 2022
|
Executive Vice President and Chief Financial Officer (2022-Present), Senior Vice President - Fund Administration and
Analysis (2017-2022) and Senior Vice President - Business Analysis (2015-2017), Harbor Capital Advisors, Inc.; Vice
President (2020 - Present) and Director (2022-Present), Harbor Trust Company, Inc.; Assistant Treasurer (2017-2022)
and Vice President (2022-Present), Harbor Funds; Assistant Treasurer (2021-2022) and Vice President (2022-Present),
Harbor ETF Trust; and Vice President (2023-Present), Harbor Funds II.
|
Meredyth A. Whitford-Schultz
(43)
Secretary
|
Since 2024
|
Vice President and Associate General Counsel (2023-Present), Harbor Capital Advisors, Inc.; Secretary (2023-Present),
Harbor Trust Company, Inc.; Secretary (2024-Present), Harbor Funds; and Secretary (2024-Present), Harbor ETF Trust;
Senior Counsel (2015-2023), Western & Southern Financial Group, Inc.
|
Meredith S. Dykstra (39)
Assistant Secretary
|
Since 2023
|
Senior Counsel (2022-Present), Vice President (2015-Present) and Legal Counsel (2015-2022), Harbor Capital Advisors,
Inc.; Assistant Secretary (2023-Present), Harbor Trust Company, Inc.; Assistant Secretary (2023-Present), Harbor Funds;
Assistant Secretary (2023-Present), Harbor ETF Trust; and Assistant Secretary (2023-Present), Harbor Funds II.
|
Lana M. Lewandowski (44)
Assistant Secretary
|
Since 2021
|
Vice President and Compliance Director (2022-Present), Legal & Compliance Manager (2016-2022) and Legal Specialist
(2012-2015), Harbor Capital Advisors, Inc.; AML Compliance Officer (2017-2022) and Assistant Secretary (2017-Present),
Harbor Funds; AML Compliance Officer (2021-2022) and Assistant Secretary (2021-Present), Harbor ETF Trust; and
Assistant Secretary (2023-Present), Harbor Funds II.
|
1
|
Each Trustee serves for an indefinite term, until his or her successor is elected. Each Officer is elected annually.
|
*
|
Mr. McCain is deemed an "Interested Trustee" due to his affiliation with the Advisor.
|
**
|
Officers of the Fund are "interested persons" as defined in the Investment Company Act.
|
Name of Person, Position
|
Aggregate
Compensation
From Harbor ETF Trust
|
Pension or
Retirement
Benefits Accrued
As Part of Fund
Expenses
|
Total
Compensation
From Fund Complex*
|
Charles F. McCain, Chairman, President and Trustee
|
-0-
|
-0-
|
-0-
|
Scott M. Amero, Trustee
|
$60,000
|
-0-
|
$300,000
|
Donna J. Dean, Trustee
|
$60,000
|
-0-
|
$300,000
|
Robert Kasdin, Trustee
|
$60,000
|
-0-
|
$300,000
|
Kathryn L. Quirk, Trustee1
|
$70,000
|
-0-
|
$350,000
|
Douglas J. Skinner, Trustee2
|
$65,000
|
-0-
|
$325,000
|
Ann M. Spruill, Trustee
|
$60,000
|
-0-
|
$300,000
|
Landis Zimmerman, Trustee
|
$60,000
|
-0-
|
$300,000
|
Name of Trustee
|
Dollar Range of Ownership in The Fund1
|
Aggregate Dollar Range of
Ownership in all Funds Overseen within Fund Family
|
Independent Trustees
|
||
Scott M. Amero
|
None1
|
Over $100,000
|
Donna J. Dean
|
None1
|
Over $100,000
|
Robert Kasdin
|
None1
|
Over $100,000
|
Kathryn L. Quirk
|
None1
|
Over $100,000
|
Douglas J. Skinner
|
None1
|
Over $100,000
|
Ann M. Spruill
|
None1
|
Over $100,000
|
Landis Zimmerman
|
None1
|
Over $100,000
|
Interested Trustee
|
||
Charles F. McCain
|
None1
|
Over $100,000
|
|
Contractual
Advisory Fee
|
Harbor Disciplined Bond ETF
|
0.35
%
|
|
Other Registered
Investment Companies
|
Other Pooled
Investment Vehicles
|
Other Accounts
|
|||
# of
Accounts
|
Total Assets
(in millions)
|
# of
Accounts
|
Total Assets
(in millions)
|
# of
Accounts
|
Total Assets
(in millions)
|
|
Mike Sheldon, CFA
|
||||||
All Accounts
|
6
|
$4,206
|
24
|
$15,707
|
750
|
$76,973
|
Accounts where advisory fee is based on account
performance (subset of above)
|
0
|
-
|
0
|
-
|
0
|
-
|
James E. Gubitosi, CFA
|
||||||
All Accounts
|
6
|
$4,206
|
24
|
$15,707
|
750
|
$76,973
|
Accounts where advisory fee is based on account
performance (subset of above)
|
0
|
-
|
0
|
-
|
0
|
-
|
Bill O'Neill, CFA
|
||||||
All Accounts
|
6
|
$4,206
|
24
|
$15,707
|
750
|
$76,973
|
Accounts where advisory fee is based on account
performance (subset of above)
|
0
|
-
|
0
|
-
|
0
|
-
|
Jake Remley, CFA
|
||||||
All Accounts
|
6
|
$4,206
|
24
|
$15,707
|
750
|
$76,973
|
Accounts where advisory fee is based on account
performance (subset of above)
|
0
|
-
|
0
|
-
|
0
|
-
|
Matthew Walker, CFA
|
||||||
All Accounts
|
6
|
$4,206
|
24
|
$15,707
|
750
|
$76,973
|
Accounts where advisory fee is based on account
performance (subset of above)
|
0
|
-
|
0
|
-
|
0
|
-
|
Rachel Campbell
|
||||||
All Accounts
|
6
|
$4,206
|
24
|
$15,707
|
750
|
$76,973
|
Accounts where advisory fee is based on account
performance (subset of above)
|
0
|
-
|
0
|
-
|
0
|
-
|
Fund
|
Standard Creation
Transaction Fee*
|
Maximum Variable Charge
for Creations**
|
Harbor Disciplined Bond ETF
|
$250 (in-kind transaction) /
$100 (cash transaction)
|
2.00%
|
Fund
|
Redemption Transaction Fee*
|
Maximum Variable Charge
For Redemptions**
|
Harbor Disciplined Bond ETF
|
$250 (in-kind transaction) /
$100 (cash transaction)
|
2.00%
|
Item 28.
|
Exhibits
|
|
a.
|
(1)
|
|
|
(2)
|
|
|
(3)
|
|
b.
|
|
|
c.
|
|
|
d.
|
(1)
|
|
|
(2)
|
|
|
(3)
|
|
|
(4)
|
|
|
(5)
|
|
|
(6)
|
|
|
(7)
|
|
|
(8)
|
|
|
(9)
|
|
|
(10)
|
|
|
(11)
|
|
|
(12)
|
|
|
(13)
|
|
|
(14)
|
|
(15)
|
|
|
(16)
|
|
|
(17)
|
|
|
(18)
|
|
|
(19)
|
|
|
(20)
|
|
|
(21)
|
|
|
(22)
|
|
|
(23)
|
|
|
(24)
|
|
|
(25)
|
|
|
(26)
|
|
|
(27)
|
|
|
(28)
|
|
|
(29)
|
|
|
(30)
|
Long-Short Equity ETF - filed withPost-Effective Amendment No. 39 on November 3, 2023
|
|
(31)
|
- Harbor Long-Short Equity ETF - filed withPost-Effective Amendment No. 39 on November 3, 2023
|
|
(32)
|
Investment Advisory Agreement between the Registrant and Harbor Capital Advisor, Inc. - Harbor Human
Capital Factor Large Cap Growth ETF - to be filed by amendment
|
|
(33)
|
Investment Advisory Agreement between the Registrant and Harbor Capital Advisor, Inc. - Harbor
Disciplined Bond ETF - filed herewith
|
|
(34)
|
Form of Subadvisory Agreement between the Registrant, Harbor Capital Advisors, Inc. and Income
Research + Management - Harbor Disciplined Bond ETF - filed herewith
|
|
(35)
|
Investment Advisory Agreement between the Registrant and Harbor Capital Advisors, Inc. - Harbor Small
Cap Earners ETF - to be filed by amendment
|
e.
|
(1)
|
|
|
(2)
|
|
|
(3)
|
Amended Schedule to Distribution Agreement between Registrant and Foreside Fund Services, LLC - dated
October 27, 2023 - filed herewith
|
f.
|
|
None
|
g.
|
(1)
|
|
|
(2)
|
Amended Appendix A to Custodian Agreement between the Registrant and State Street Bank and Trust
Company - filed herewith
|
h.
|
(1)
|
|
|
(2)
|
Amended Schedule to Transfer Agency and Service Agreement between the Registrant and State Street
Bank and Trust Company - filed herewith
|
|
(3)
|
|
|
(4)
|
|
|
(5)
|
|
i.
|
|
Legal Opinion of General Counsel - filed herewith
|
j.
|
|
Not applicable
|
k.
|
|
None
|
l.
|
|
|
m.
|
|
|
n.
|
|
Not applicable
|
o.
|
|
|
p.
|
(1)
|
|
|
(2)
|
|
|
(3)
|
|
|
(4)
|
|
|
(5)
|
|
|
(6)
|
|
|
(7)
|
|
|
(8)
|
|
|
(9)
|
|
|
(10)
|
|
|
(11)
|
|
|
(12)
|
|
|
(13)
|
Income Research + Management Code of Ethics - filed herewith
|
File Number
|
Subadviser
|
801-121342
|
4BIO Partners LLP
|
801-121056
|
BlueCove Limited
|
028-16306
|
C WorldWide Asset Management Fondsmaeglerselskab A/S
|
801-77808
|
Disciplined Alpha LLC
|
801-29482
|
Income Research + Management
|
801-5608
|
Jennison Associates LLC
|
801-119089
|
NZS Capital, LLC
|
801-123068
|
Quantix Commodities LP
|
801-64820
|
Sands Capital Management, LLC
|
801-76834
|
Tekne Capital Management, LLC
|
801-69413
|
Westfield Capital Management Company, L.P.
|
Name
|
Business Address
|
Positions and Offices
with Underwriter
|
Positions and Offices with
Registrant
|
Teresa Cowan
|
Three Canal Plaza, Suite 100,
Portland, ME 04101
|
President/Manager
|
None
|
Chris Lanza
|
Three Canal Plaza, Suite 100,
Portland, ME 04101
|
Vice President
|
None
|
Kate Macchia
|
Three Canal Plaza, Suite 100,
Portland, ME 04101
|
Vice President
|
None
|
Nanette K. Chern
|
Three Canal Plaza, Suite 100,
Portland, ME 04101
|
Vice President and Chief
Compliance Officer
|
None
|
Kelly B. Whetstone
|
Three Canal Plaza, Suite 100,
Portland, ME 04101
|
Secretary
|
None
|
Susan L. LaFond
|
Three Canal Plaza, Suite 100,
Portland, ME 04101
|
Treasurer
|
None
|
Weston Sommers
|
Three Canal Plaza, Suite 100,
Portland, ME 04101
|
Financial and Operations
Principal and Chief Financial
Officer
|
None
|
Signatures
|
Title
|
Date
|
/s/ Charles F. McCain
Charles F. McCain
|
President and Trustee
(Principal Executive Officer)
|
April 16, 2024
|
/s/ John M. Paral
John M. Paral
|
Treasurer
|
April 16, 2024
|
/s/ Scott M. Amero*
Scott M. Amero
|
Trustee
|
April 16, 2024
|
/s/ Donna J. Dean*
Donna J. Dean
|
Trustee
|
April 16, 2024
|
/s/ Robert Kasdin*
Robert Kasdin
|
Trustee
|
April 16, 2024
|
/s/ Kathryn L. Quirk*
Kathryn L. Quirk
|
Trustee
|
April 16, 2024
|
/s/ Douglas J. Skinner*
Douglas J. Skinner
|
Trustee
|
April 16, 2024
|
/s/ Ann M. Spruill*
Ann M. Spruill
|
Trustee
|
April 16, 2024
|
/s/ Landis Zimmerman*
Landis Zimmerman
|
Trustee
|
April 16, 2024
|