UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-CSR
CERTIFIED SHAREHOLDER REPORT OF REGISTERED
MANAGEMENT INVESTMENT COMPANIES
Investment Company Act file number: 811-08194
FINANCIAL INVESTORS TRUST
(Exact name of Registrant as specified in charter)
1290 Broadway, Suite 1000, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
Karen Gilomen, Esq., Secretary
Financial Investors Trust
1290 Broadway, Suite 1000
Denver, Colorado 80203
(Name and address of agent for service)
Registrant’s telephone number, including area code:303-623-2577
Date of fiscal year end:April 30
Date of reporting period:October 31, 2019
Explanatory Note:
The Registrant is filing this amendment to its Form N-CSR (the “Amendment”) for the period ended October 31, 2019, originally filed with the U.S. Securities and Exchange Commission (the “SEC”) on January 6, 2020 (Accession Number 0001398344-20-000303) (“Original Filing”), to amend Item 13(a)(4). The purpose of the Amendment is to file the representation from Deloitte & Touche LLP (the “Representation”) dated January 6, 2020 as part of Exhibit 13(a)(4). In the Original Filing, the Representation was filed as a Correspondence filing to the SEC. Other than the aforementioned revision, the Amendment does not reflect events occurring after the Original Filing, or modify or update the disclosures therein.
Item 1 through Item 12 to the Amendment are incorporated by reference to the Original Filing.
| (a)(1) | Not applicable to this Report. |
| (a)(2) | The certifications required by Rule 30a-2(a) of the Investment Company Act of 1940, as amended, and Section 302 of the Sarbanes-Oxley Act of 2002 are attached hereto as Exhibit 99.Cert. |
| (a)(3) | Not applicable to the Registrant. |
| (a)(4) | The information regarding the change in the registrant’s independent public accountant pursuant to Item 4 of Form 8-K and Item 304 of Regulation S-K is filed herewith. |
| (b) | The certifications by the Registrant’s principal executive officer and principal financial officer, as required by Rule 30a-2(b) of the Investment Company Act of 1940, as amended, and Section 906 of the Sarbanes-Oxley Act of 2002 are attached hereto as Exhibit 99.906Cert. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| FINANCIAL INVESTORS TRUST | |
| | | |
| By: | /s/ Bradley J. Swenson | |
| | Bradley J. Swenson (Principal Executive Officer) | |
| | President | |
| | | |
| Date: | January 15, 2020 | |
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.
| FINANCIAL INVESTORS TRUST | |
| | | |
| By: | /s/ Bradley J. Swenson | |
| | Bradley J. Swenson (Principal Executive Officer) | |
| | President | |
| | | |
| Date: | January 15, 2020 | |
| | | |
| By: | /s/ Kimberly R. Storms | |
| | Kimberly R. Storms (Principal Financial Officer) | |
| | Treasurer | |
| | | |
| Date: | January 15, 2020 | |
