As filed with the Securities and Exchange Commission on September 16, 2024
Securities Act File No. 333-237048
Investment Company Act File No. 811-23556
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933 | ||
Pre-Effective Amendment No. | ☐ | |
Post-Effective Amendment No. 16 | ☒ | |
and/or | ||
REGISTRATION STATEMENT | ||
UNDER | ||
THE INVESTMENT COMPANY ACT OF 1940 | ||
Amendment No. 21 | ☒ | |
(Check appropriate box or boxes.) |
DATUM ONE SERIES TRUST
(Exact Name of Registrant as Specified in Charter)
50 S. LaSalle Street
Chicago, Illinois 60603
(Address of Principal Executive Offices)
Registrant’s Telephone Number, including Area Code: (866) 494-4270
Name and Address of Agent for Service of Process | With copies to: | |
Barbara J. Nelligan The Northern Trust Company 50 S. LaSalle Street Chicago, Illinois 60603 | Jessica Reece Ropes & Gray LLP 800 Boylston Street Boston, Massachusetts 02199 |
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d) under the Securities Act of 1933, as amended.
This Post-Effective Amendment No. 16 to the Registration Statement on Form N-1A (“Registration Statement) (File Nos. 333-237048 and 811-23556) of Datum One Series Trust® (the “Trust”) is being filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended (the “Securities Act”), solely for the purpose of adding exhibits (d)(v), (h)(vii), (h)(xxii) and (p)(v) to Item 28 of Part C and updating Items 31, 32 and 33 of Part C to the Registration Statement. No changes have been made to Part A, B, or C of the Registration Statement, other than to Item 28, 31, 32 and 33 of Part C, as set forth below. Pursuant to Rule 462(d) under the Securities Act, this Post-Effective Amendment No. 16 shall become effective immediately upon filing with the Securities and Exchange Commission.
PART C
OTHER INFORMATION
Item 28. Exhibits
(a) | Articles of Incorporation. |
(i) |
(ii) |
(iii) |
(iv) |
(b) | By-Laws. |
(i) |
(c) | Instruments Defining Rights of Security Holder. None other than in the Declaration of Trust and By-Laws of the Registrant. |
(i) | Article III (Shares) and Article V (Shareholders’ Voting Powers and Meetings) of the Amended & Restated Agreement and Declaration of Trust |
(ii) | Article 9 (Issuance of Shares and Share Certificates) of the Amended & Restated By-laws |
(d) | Investment Advisory Contracts. |
(i) |
(ii) |
(iii) |
(iv) |
(v) |
(e) | Underwriting Contracts. |
(i) |
(ii) |
(iii) |
(iv) |
(v) |
(vi) |
(vii) |
(viii) |
(ix) |
(f) | Bonus or Profit Sharing Contracts. None. |
(g) | Custodial Agreement. |
(i) |
(ii) |
(iii) |
(iv) |
(v) |
(h) | Other Material Contracts. |
(i) |
(ii) |
(iii) |
(iv) |
(v) |
(vi) |
(vii) |
(viii) |
(ix) |
(x) |
(xi) |
(xii) |
(xiii) |
(xiv) |
(xv) |
(xvi) |
(xvii) |
(xviii) |
(xix) |
(xx) |
(xxi) |
(xxii) |
(xxiii) |
(xxiv) |
(xxv) |
(xxvi) |
(i) | Legal Opinion and Consent. |
(i) |
(ii) |
(iii) |
(iv) |
(j) | Other Opinions. |
(i) | None |
(k) | Omitted Financial Statements. None. |
(l) | Initial Capital Agreements. |
(i) |
(m) | Rule 12b-1 Plan. |
(i) |
(ii) |
(n) | Rule 18f-3 Plan. |
(i) |
(o) | Reserved. |
(p) | Code of Ethics. |
(i) |
(ii) |
(iii) |
(iv) |
(v) | Polar Capital (America) Corporation’s Code of Ethics dated 2024 is filed herewith. |
Item 29. Control Persons. None.
Item 30. Indemnification.
Reference is made to Article VIII of the Registrant’s Agreement and Declaration of Trust. The application of these provisions is limited by the following undertaking set forth in the rules promulgated by the Securities and Exchange Commission:
Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to trustees, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in such Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a trustee, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such trustee, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in such Act and will be governed by the final adjudication of such issue. The Registrant may maintain a standard mutual fund and investment advisory professional and directors and officers’ liability policy. The policy, if maintained, would provide coverage to the Registrant, its Trustees and officers, and could cover its advisers, among others. Coverage under the policy would include losses by reason of any act, error, omission, misstatement, misleading statement, neglect or breach of duty.
Item 31. Business and Other Connections of Investment Adviser.
Polar Capital LLP, 16 Palace Street, London, SW1E 5JD, United Kingdom is registered as an investment adviser. Additional information about the adviser and its officers is incorporated by reference to the Statement of Additional Information filed herewith, and the adviser’s Form ADV, file number 801-64644. Neither the adviser, nor its officers or directors, have engaged in another business of a substantial nature during the last two years.
Brandes Investment Partners, L.P., 4275 Executive Square, 5th Floor, La Jolla, California 92037, is registered as an investment adviser. Additional information about the business, profession, vocation or employment of a substantial nature of Brandes Investment Partners, L.P. and its officers is incorporated by reference to the Statement of Additional Information filed herewith, and the adviser’s Form ADV, file number 801-24896. Neither the adviser, nor its officers or directors, have engaged in another business of a substantial nature during the last two years.
With respect to the investment subadviser, Polar Capital (America) Corporation, 17 Old Kings Highway South, Darien, Connecticut 06820, is registered as an investment adviser. Additional information about the adviser and its officers is incorporated by reference to the Statement of Additional Information filed herewith, and the subadviser’s Form ADV, file number 801-71922. Neither the subadviser, nor its officers or directors, have engaged in another business of a substantial nature during the last two years.
Item 32. Principal Underwriter
Item 32(a) | Foreside Financial Services, LLC (the “Distributor”) serves as principal underwriter for the following investment companies registered under the Investment Company Act of 1940, as amended: |
1. | 13D Activist Fund, Series of Northern Lights Fund Trust |
2. | 2nd Vote Funds |
3. | AAMA Equity Fund, Series of Asset Management Fund |
4. | AAMA Income Fund, Series of Asset Management Fund |
5. | Advisers Investment Trust |
6. | AG Twin Brook Capital Income Fund |
7. | AltShares Trust |
8. | American Beacon AHL Trend ETF, Series of American Beacon Select Funds |
9. | American Beacon GLG Natural Resources ETF, American Beacon Select Funds |
10. | Aristotle Funds Series Trust |
11. | Boston Trust Walden Funds (f/k/a The Boston Trust & Walden Funds) |
12. | Bow River Capital Evergreen Fund |
13. | Constitution Capital Access Fund, LLC |
14. | Datum One Series Trust |
15. | Diamond Hill Funds |
16. | Driehaus Mutual Funds |
17. | FMI Funds, Inc. |
18. | Impax Funds Series Trust I (f/k/a Pax World Funds Series Trust I) |
19. | Impax Funds Series Trust III (f/k/a Pax World Funds Series Trust III) |
20. | Inspire 100 ETF, Series of Northern Lights Fund Trust IV |
21. | Inspire 500 ETF, Series of Northern Lights Fund Trust IV |
22. | Inspire Corporate Bond ETF, Series of Northern Lights Fund Trust IV |
23. | Inspire Fidelis Multi Factor ETF, Series of Northern Lights Fund Trust IV |
24. | Inspire Global Hope ETF, Series of Northern Lights Fund Trust IV |
25. | Inspire International ETF, Series of Northern Lights Fund Trust IV |
26. | Inspire Momentum ETF, Series of Northern Lights Fund Trust IV |
27. | Inspire Small/Mid Cap ETF, Series of Northern Lights Fund Trust IV |
28. | Inspire Tactical Balanced ETF, Series of the Northern Lights Fund Trust IV |
29. | Macquarie Energy Transition ETF, Series of Macquarie ETF Trust |
30. | Macquarie Global Listed Infrastructure ETF, Series of Macquarie ETF Trust |
31. | Macquarie Tax-Free USA Short Term ETF, Series of Macquarie ETF Trust |
32. | Macquarie Focused Large Growth ETF, Series of Macquarie ETF Trust |
33. | Meketa Infrastructure Fund |
34. | Nomura Alternative Income Fund |
35. | PPM Funds |
36. | Praxis Mutual Funds |
37. | Primark Meketa Private Equity Investments Fund |
38. | SA Funds – Investment Trust |
39. | Sequoia Fund, Inc. |
40. | Simplify Exchange Traded Funds |
41. | Siren ETF Trust |
42. | Tactical Dividend and Momentum Fund, Series of Two Roads Shared Trust |
43. | TCW ETF Trust |
44. | Zacks Trust |
Item 32(b) | The following are the Officers and Manager of the Distributor, the Registrant’s underwriter. The Distributor’s main business address is Three Canal Plaza, Suite 100, Portland, Maine 04101. |
Name | Address | Position with Underwriter | Position 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 | |||
Jennifer A. Brunner | 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 |
Item 32(c) | Not applicable. |
Item 33. Location of Accounts and Records
Accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940, as amended and the Rules promulgated thereunder will be maintained by the Registrant at 50 S. LaSalle St., Chicago, IL 60603; the Registrant’s administrator, transfer agent, fund accounting agent, and custodian, The Northern Trust Company, 50 S. LaSalle St., Chicago, IL 60603; the Registrant’s compliance and financial control services service provider, Foreside Fund Officer Services, LLC, Three Canal Plaza, Suite 100, Portland, Maine 04101; the Registrant’s distributor, Foreside Financial Services, LLC, LLC, Three Canal Plaza, Suite 100, Portland, Maine 04101; Polar Capital LLP, 16 Palace Street, London, SW1E 5JD, United Kingdom for certain records of the Funds advised by Polar Capital LLP; Brandes Investment Partners, L.P., 4275 Executive Square, 5th Floor, La Jolla, California 92037 for certain records of the Funds advised by Brandes Investment Partners, L.P; and Polar Capital (America) Corporation, 17 Old Kings Highway South, Darien, Connecticut 06820 for certain records of the Funds subadvised by Polar Capital (America) Corporation.
Item 34. Management Services. Not applicable.
Item 35. Undertakings. None
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it has duly caused this Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City of Chicago, State of Illinois, on the 16th day of September, 2024.
Datum One Series Trust | ||
By: | /s/ Barbara J. Nelligan | |
Barbara J. Nelligan, President |
Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment to the Registration Statement has been signed below by the following persons in the capacities and on the dates indicated.
Signature | Title | Date | ||
/s/ Barbara J. Nelligan Barbara J. Nelligan | President (Principal Executive Officer) | September 16, 2024 | ||
Ryan D. Burns Ryan D. Burns* | Trustee | September 16, 2024 | ||
JoAnn S. Lilek JoAnn S. Lilek* | Trustee | September 16, 2024 | ||
Patricia A. Weiland Patricia A. Weiland* | Trustee | September 16, 2024 | ||
Lloyd A. Wennlund Lloyd A. Wennlund* | Trustee | September 16, 2024 | ||
/s/ Tracy L. Dotolo Tracy L. Dotolo | Treasurer (Principal Financial Officer) | September 16, 2024 |
By: | /s/ Barbara J. Nelligan | |
Barbara J. Nelligan, as Attorney-in-Fact |
* | Pursuant to Power of Attorney |
Exhibit Index