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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Sprott Funds Trust. - Sprott ESG Gold ETF
SEC Filings (Chronological Order)
På denne siden finner du en fullstendig, kronologisk liste over SEC-arkiveringer, med unntak av eierskaps-arkiveringer som vi leverer andre steder.
| December 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 333-264576 Sprott ESG Gold ETF (Exact name of registrant as specified in its |
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| November 17, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 28, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2023. or ☐Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to . Commission file number: 001-41457 Primary Standar |
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| September 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 20, 2023 Sprott ESG Gold ETF (Exact Name of Registrant as Specified in Its Charter) Delaware 333-264576 86-6647708 (State or Other Jurisdiction of Incorporation or Organizat |
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| September 20, 2023 |
Sprott ESG Gold ETF Supplement dated September 20, 2023 Prospectus dated August 2, 2022 Filed Pursuant to Rule 424(b)(3) File No. 333-264576 Sprott ESG Gold ETF Supplement dated September 20, 2023 to Prospectus dated August 2, 2022 This supplement (the “Supplement”) updates the prospectus of Sprott ESG Gold ETF (the “Trust”), dated August 2, 2022 (the “Prospectus”), with the following information. Capitalized terms used and not defined herein shall have the meanings ascribed to them |
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| September 20, 2023 |
Sprott ESG Gold ETF Exhibit 99.1 Press Release Sprott Asset Management Announces Liquidation of Its ESG Gold ETF TORONTO, Sept. 20, 2023 - Sprott Asset Management LP ("Sprott Asset Management") announced today that it will liquidate and close its Sprott ESG Gold ETF (NYSE Arca: SESG) (the “Fund”) following a review of its fund offerings. The last day the Fund will accept creation and redemption or |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended June 30, 2023. or ☐Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to . Commission file number: 001-41457 Primary Standard Ind |
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| May 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2023. or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to . Commission file number: 001-41457 Primary Standard |
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| March 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒Annual report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 2022. or ☐Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to . Commission file number: 001-41457 Primary Standard Industr |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2022. or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to . Commission file number: 001-41457 Primary Stand |
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| August 2, 2022 |
SPROTT LAUNCHES FIRST ESG GOLD ETF (“SESG”) Key Partners Include Agnico Eagle Mines and Yamana Gold Free Writing Prospectus Filed Pursuant to Rule 433 Registration No. 333-264576 SPROTT LAUNCHES FIRST ESG GOLD ETF (?SESG?) Key Partners Include Agnico Eagle Mines and Yamana Gold TORONTO, August 2, 2022 - Sprott Asset Management LP (?Sprott?), a wholly-owned subsidiary of Sprott Inc. (NYSE/TSX: SII), today announced the launch of the Sprott ESG Gold ETF (NYSE Arca: SESG) (?SESG?), the world?s firs |
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| August 2, 2022 |
Prospectus dated August 2, 2022 SHARES OF SPROTT ESG GOLD ETF Filed pursuant to Rule 424(b)(3) Registration No. 333-264576 Prospectus dated August 2, 2022 SHARES OF SPROTT ESG GOLD ETF The Sprott ESG Gold ETF (the ?Trust?) will issue shares (the ?Shares?) that represent units of fractional undivided beneficial interests in and ownership of the Trust?s net assets. Sprott Asset Management LP (the ?Sponsor?), which has offices in the United States and in Canada |
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| July 27, 2022 |
Sprott ESG Gold ETF 320 Post Road, Suite 230 Darien, CT 06820 Sprott ESG Gold ETF 320 Post Road, Suite 230 Darien, CT 06820 July 27, 2022 VIA EDGAR U. |
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| July 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Sprott ESG Gold ETF (Exact name of registrant as specified in its charter) Delaware 86-6647708 (State or other jurisdiction of incorporation or organization) (IRS Employer Identification No.) 320 P |
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| July 22, 2022 |
File No. 333-264576 As filed with the Securities and Exchange Commission on July 22, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 3 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sprott ESG Gold ETF Sponsored by Sprott Asset Management LP (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction o |
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| July 22, 2022 |
Exhibit 10.9 IOPV CALCULATION AGREEMENT - hereinafter referred to as the “Agreement” - between Solactive AG Platz der Einheit 1 60327 Frankfurt, Germany - hereinafter referred to as “Solactive” - and Sprott ESG Gold ETF 320 Post Rd Suite 230 Darien, CT 06820 - hereinafter referred to as the “Partner” - dated 25 May 2022 (the “Agreement Date”) Solactive and the Partner are hereinafter also referred |
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| July 22, 2022 |
Trading and Unallocated Gold Custody Agreement EX-10.2 7 d9565889ex10-2.htm Exhibit 10.2 Trading and Unallocated Gold Custody Agreement entered into as of the 10th day of June, 2022. BETWEEN: ROYAL CANADIAN MINT, Ottawa, Ontario, Canada, a Crown corporation established by the Royal Canadian Mint Act (Canada) (hereinafter referred to as the “Mint”) AND: SPROTT ESG GOLD ETF (the “Trust” or the “Customer”) and SPROTT ASSET MANAGEMENT LP, a limite |
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| July 22, 2022 |
Seward & Kissel LLP 901 K Street, NW Suite 800 Washington, DC 20001 Telephone: (202) 737-9833 Facsimile: (202) 737-5184 www. |
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| July 22, 2022 |
Allocated Gold Storage and Custody Agreement Exhibit 10.1 ALLOCATED GOLD STORAGE AND CUSTODY AGREEMENT entered into as of the 10th day of June, 2022. BETWEEN: ROYAL CANADIAN MINT, Ottawa, Ontario, Canada, a Crown corporation established by the Royal Canadian Mint Act (Canada) (hereinafter referred to as the “Mint”) AND: SPROTT ESG GOLD ETF (the “Trust” or the “Customer”) and SPROTT ASSET MANAGEMENT LP, a limited partnership formed under the |
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| July 22, 2022 |
Transfer Agency and Service Agreement Exhibit 10.5 Execution Copy TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is initially made as of the 11th day of May, 2021, as amended and restated as of the 29th day of June 2022, by and between SPROTT ESG GOLD ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at 320 Post Road, Suite 230, Darien, Connecti |
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| July 22, 2022 |
Amended and Restated Trust Agreement Exhibit 4.1 SPROTT ASSET MANAGEMENT LP, as Sponsor and DELAWARE TRUST COMPANY, as Delaware Trustee AMENDED AND RESTATED TRUST AGREEMENT SPROTT ESG GOLD ETF Dated as of June 2, 2022 TABLE OF CONTENTS ARTICLE I DEFINITIONS AND RULES OF CONSTRUCTION Section 1.1 Definitions 1 Section 1.2 Rules of Construction 6 ARTICLE II CREATION AND DECLARATION OF TRUST Section 2.1 Creation and Declaration of Trust; |
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| July 22, 2022 |
Form of Authorized Participant Agreement Exhibit 1.1 SPROTT ESG GOLD ETF FORM OF AUTHORIZED PARTICIPANT AGREEMENT This Authorized Participant Agreement (the “Agreement”), dated as of , 20 is entered into by and among (the “Authorized Participant”), Sprott ESG Gold ETF (the “Trust”), and Sprott Asset Management LP, as sponsor of the Trust (the “Sponsor”). SUMMARY As provided in the Amended and Restated Declaration of Trust, as it may be a |
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| July 22, 2022 |
Trust Administration and Accounting Agreement Exhibit 10.4 Execution Copy FUND ADMINISTRATION AND ACCOUNTING AGREEMENT THIS AGREEMENT is initially made as of May 11, 2021, as amended and restated as of June 29, 2022 by and between Sprott ESG Gold ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at 320 Post Road, Suite 230, Darien, Connecticut 06820, and The |
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| July 22, 2022 |
Exhibit 10.3 Execution Copy CUSTODY AGREEMENT (U.S. Dollar Only) AGREEMENT, initially dated as of May 11, 2021, as amended and restated as of June 29, 2022 by and between Sprott ESG Gold ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at 320 Post Road, Suite 230, Darien, Connecticut 06820, and The Bank of New Yo |
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| July 22, 2022 |
Exhibit 10.8 MASTER LICENCE AGREEMENT This Licence Agreement, dated as of June 9, 2022 (“the Effective Date”), is made by and between ICE Benchmark Administration Limited of Milton Gate, 60 Chiswell Street, London, EC1Y 4SA (“ICE”) and Sprott ESG Gold ETF (“the Customer”) with an office at 320 Post Rd, St. 230 Darien, CT 06820 BACKGROUND: (A) ICE maintains, administers and publishes benchmark rate |
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| July 22, 2022 |
Side Letter to Master License Agreement EX-10.13 17 d9565889ex10-13.htm Exhibit 10.13 Sprott ESG Gold ETF 320 Post Road, Suite 230 Darien, CT 06820 June 9, 2022 Side Letter to the ICE Benchmark Administration Master Licence Agreement 1. We refer to the master license agreement dated as of June 9th, 2022 between ICE Benchmark Administration Limited ("ICE") and Sprott ESG Gold ETF (the "Customer"), and any Schedules attached thereto, as a |
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| July 22, 2022 |
LBMA Display License Agreement Exhibit 10.11 PUBLIC DISPLAY AGREEMENT between ICE DATA LLP and Sprott ESG Gold ETF THIS AGREEMENT dated as of June 9,2022 BETWEEN: (1) ICE Data LLP the registered office of which is, Milton Gate, 60 Chiswell Street, London, EC 1Y 4SA, United Kingdom (hereinafter called “ICE Data”) and (2) Sprott ESG Gold ETF the registered office of which is situated at 320 Post Road, Ste 230, Darien CT 06820 ……… |
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| July 22, 2022 |
Exhibit 10.12 SPROTT ESG GOLD TRUST INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT is made this 15th day of July, 2022 by and among SPROTT ESG GOLD TRUST, a Delaware Statutory Trust (the “Trust”), SPROTT ASSET MANAGEMENT LP, a limited partnership formed under the laws of the Province of Ontario, Canada (the “Sponsor”) and SPROTT ASSET MANAGEMENT USA INC., a California corporation (the “Investment Ad |
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| July 22, 2022 |
Exhibit 10.10 SPONSOR AGREEMENT THIS SPONSOR AGREEMENT (the “Agreement”), dated as of July 15, 2022, is made by and between Sprott Asset Management LP, a limited partnership formed under the laws of the Province of Ontario, Canada, pursuant to the Limited Partnerships Act (Ontario) (the “Sponsor”), with offices in the United States and Canada, and Sprott ESG Gold ETF, a statutory trust formed unde |
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| July 22, 2022 |
Exhibit 10.7 LICENSE AGREEMENT THIS LICENSE AGREEMENT (this “Agreement”) is initially entered into effective as of the 11th day of May 2021, as amended and restated as of the 29th day of June 2022 (the "Effective Date"), by and between The Bank of New York Mellon, a New York banking corporation ("Licensor"), and Sprott Asset Management LP, the Sponsor to the Sprott ESG Gold ETF ("Licensee"). WHERE |
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| June 22, 2022 |
File No. 333-264576 As filed with the Securities and Exchange Commission on June 22, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sprott ESG Gold ETF Sponsored by Sprott Asset Management LP (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction o |
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| June 22, 2022 |
Exhibit 10.12 SPROTT ESG GOLD TRUST INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT is made this [] day of June, 2022 by and among SPROTT ESG GOLD TRUST, a Delaware Statutory Trust (the “Trust”), SPROTT ASSET MANAGEMENT LP, a limited partnership formed under the laws of the Province of Ontario, Canada (the “Sponsor”) and SPROTT ASSET MANAGEMENT USA INC., a California corporation (the “Investment Advi |
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| June 22, 2022 |
Exhitbit 10.10 SPONSOR AGREEMENT THIS SPONSOR AGREEMENT (the “Agreement”), dated as of June [], 2022, is made by and between Sprott Asset Management LP, a limited partnership formed under the laws of the Province of Ontario, Canada, pursuant to the Limited Partnerships Act (Ontario) (the “Sponsor”), with offices in the United States and Canada, and Sprott ESG Gold ETF, a statutory trust formed und |
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| June 22, 2022 |
Exhibit 10.6 MARKETING AGENT AGREEMENT THIS AGREEMENT is made and entered into as of this 7th day of June, 2022 by and among Sprott ESG Gold ETF, a Delaware statutory trust (the “Trust”), which is sponsored by Sprott Asset Management LP, a Canadian limited partnership with offices in the United States and Canada (the “Sponsor”), and Sprott Global Resource Investments Ltd., a California limited par |
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| June 22, 2022 |
File No. 333-264576 As filed with the Securities and Exchange Commission on June 122[], 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sprott ESG Gold ETF Sponsored by Sprott Asset Management LP (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdictio |
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| June 1, 2022 |
COVER 11 filename11.htm Seward & Kissel LLP 901 K Street, NW Suite 800 Washington, DC 20001 Telephone: (202) 737-9833 Facsimile: (202) 737-5184 www.sewkis.com June 1, 2022 VIA EDGAR CORRESPONDENCE Ms. Sonia Bednarowski Division of Corporation Finance Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Sprott ESG Gold ETF Registration Statement on Form S-1 Filed April 29, 2 |
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| June 1, 2022 |
Form of Trading and Unallocated Gold Custody Agreement Exhibit 10.2 Trading and Unallocated Gold Custody Agreement entered into as of the ■ day of ■, 2022. B E T W E E N: ROYAL CANADIAN MINT, Ottawa, Ontario, Canada, a Crown corporation established by the Royal Canadian Mint Act (Canada) (hereinafter referred to as the “Mint”) A N D: SPROTT ESG GOLD ETF (the “Trust” or the “Customer”) and SPROTT ASSET MANAGEMENT LP, a limited partnership formed under |
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| June 1, 2022 |
File No. 333-264576 As filed with the Securities and Exchange Commission on June 1, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sprott ESG Gold ETF Sponsored by Sprott Asset Management LP (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation or O |
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| June 1, 2022 |
Form of IOPV Calculation Agreement Exhibit 10.9 IOPV CALCULATION AGREEMENT - hereinafter referred to as the “Agreement” - between Solactive AG Platz der Einheit 1 60327 Frankfurt, Germany - hereinafter referred to as “Solactive” - and Sprott ESG Gold ETF Royal Bank Plaza, South Tower 200 Bay Street, Suite 2600 Toronto, Ontario, Canada M5J 2J1 - hereinafter referred to as the “Partner” - dated [] (the “Agreement Date”) Solactive and |
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| April 29, 2022 |
Exhibit 4.3 TRUST AGREEMENT OF 123 SPROTT TRUST THIS TRUST AGREEMENT (this “Agreement”) is made as of February 10, 2021, by and between Sprott Asset Management LP, as sponsor (the “Sponsor”), and DELAWARE TRUST COMPANY, as trustee (the “Trustee”). The parties hereto hereby agree as follows: 1. The trust created hereby shall be known as “123 Sprott Trust” (the “Trust”), in which name the Trustee or |
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| April 29, 2022 |
Exhibit 10.3 Execution Copy CUSTODY AGREEMENT (U.S. Dollar Only) AGREEMENT, dated as of May 11, 2021 by and between Sprott ESG Gold ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at Royal Bank Plaza, South Tower, 200 Bay Street, Suite 2600, Toronto, Ontario, Canada M5J 2J1, and The Bank of New York Mellon, a Ne |
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| April 29, 2022 |
Calculation of Filing Fee Tables Exhibit 107.1 Calculation of Filing Fee Tables S-1 ……………… (Form Type) Sprott ESG Gold ETF ………………………………………………….. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amou |
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| April 29, 2022 |
Certificate of Amendment to Certificate of Trust Exhibit 4.4 CERTIFICATE OF AMENDMENT TO CERTIFICATE OF TRUST OF 123 SPROTT TRUST THIS Certificate of Amendment to the Certificate of Trust of 123 SPROTT TRUST (the “Trust”) is being duly executed and filed on behalf of the Trust by the undersigned, as trustee, to amend the certificate of trust of a statutory trust formed under the Delaware Statutory Trust Act (12 Del. C. § 3801 et seq.) (the “Act” |
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| April 29, 2022 |
Form of Trading and Unallocated Gold Custody Agreement Exhibit 10.2 Trading and Unallocated Gold Custody Agreement entered into as of the ■ day of ■, 2021. B E T W E E N: ROYAL CANADIAN MINT, Ottawa, Ontario, Canada, a Crown corporation established by the Royal Canadian Mint Act (Canada) (hereinafter referred to as the “Mint”) A N D: SPROTT ESG GOLD ETF (the “Trust” or the “Customer”) and SPROTT ASSET MANAGEMENT LP, a limited partnership formed under |
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| April 29, 2022 |
Seward & Kissel LLP 901 K Street, NW Suite 800 Washington, DC 20001 Telephone: (202) 737-9833 Facsimile: (202) 737-5184 www. |
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| April 29, 2022 |
Exhibit 10.7 Execution Copy LICENSE AGREEMENT THIS LICENSE AGREEMENT (this “Agreement”) is entered into effective as of the 14th day of May, 2021 (the "Effective Date"), by and between The Bank of New York Mellon, a New York banking corporation ("Licensor"), and Sprott Asset Management LP, the Sponsor to the Sprott ESG Gold ETF ("Licensee"). WHEREAS, Licensor and Licensee have entered into a fee l |
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| April 29, 2022 |
Form of Authorized Participant Agreement Exhibit 1.1 SPROTT ESG GOLD ETF FORM OF AUTHORIZED PARTICIPANT AGREEMENT This Authorized Participant Agreement (the "Agreement"), dated as of , 20 is entered into by and among (the "Authorized Participant"), Sprott ESG Gold ETF (the "Trust"), and Sprott Asset Management LP, as sponsor of the Trust (the "Sponsor"). SUMMARY As provided in the Amended and Restated Declaration of Trust, as it may be a |
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| April 29, 2022 |
Form of LBMA Master License Agreement Exhibit 10.8 MASTER LICENCE AGREEMENT This Licence Agreement, dated as of (“the Effective Date”), is made by and between ICE Benchmark Administration Limited of Milton Gate, 60 Chiswell Street, London, EC1Y 4SA (“ICE”) and Sprott ESG Gold ETF (“the Customer”) with an office at Royal Bank Plaza, South Tower, 200 Bay Street, Suite 2600, Toronto, Ontario, Canada M5J 2J1. BACKGROUND: (A) ICE maintains |
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| April 29, 2022 |
Form of Marketing Agent Agreement Exhibit 10.6 MARKETING AGENT AGREEMENT THIS AGREEMENT is made and entered into as of this [] day of [], 2021 by and among Sprott ESG Gold ETF, a Delaware statutory trust (the “Trust”), which is sponsored by Sprott Asset Management LP, a Canadian limited partnership (the “Sponsor”), and Sprott Global Resource Investments Ltd., a California limited partnership and an affiliate of the Sponsor (“SGRIL |
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| April 29, 2022 |
File No. 333-[ ] As filed with the Securities and Exchange Commission on April 29, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sprott ESG Gold ETF Sponsored by Sprott Asset Management LP (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation or Or |
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| April 29, 2022 |
Form of Amended and Restated Trust Agreement Exhibit 4.1 SPROTT ASSET MANAGEMENT LP, as Sponsor and DELAWARE TRUST COMPANY, as Delaware Trustee AMENDED AND RESTATED TRUST AGREEMENT SPROTT ESG GOLD ETF Dated as of April [], 2022 TABLE OF CONTENTS ARTICLE I DEFINITIONS AND RULES OF CONSTRUCTION Section 1.1 Definitions 1 Section 1.2 Rules of Construction 6 ARTICLE II CREATION AND DECLARATION OF TRUST Section 2.1 Creation and Declaration of Trus |
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| April 29, 2022 |
Transfer Agency and Service Agreement Exhibit 10.5 Execution Copy TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the 11th day of May, 2021, by and between SPROTT ESG GOLD ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at Royal Bank Plaza, South Tower, 200 Bay Street, Suite 2600, Toronto, Ontario, Canada M5J 2J1, and THE BANK OF |
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| April 29, 2022 |
Trust Administration and Accounting Agreement Exhibit 10.4 Execution Copy FUND ADMINISTRATION AND ACCOUNTING AGREEMENT THIS AGREEMENT is made as of May 11, 2021 by and between Sprott ESG Gold ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at Royal Bank Plaza, South Tower, 200 Bay Street, Suite 2600, Toronto, Ontario, Canada M5J 2J1, and The Bank of New Yor |
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| April 29, 2022 |
Form of Allocated Gold Storage and Custody Agreement Exhibit 10.1 GOLD STORAGE AND CUSTODY AGREEMENT entered into on the ■ day of ■, 2021. B E T W E E N: ROYAL CANADIAN MINT, Ottawa, Ontario, Canada, a Crown corporation established by the Royal Canadian Mint Act (Canada) (hereinafter referred to as the “Mint”) A N D: SPROTT ESG GOLD ETF (the “Trust” or the “Customer”) and SPROTT ASSET MANAGEMENT LP, a limited partnership formed under the laws of the |
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| April 29, 2022 |
Exhibit 4.2 CERTIFICATE OF TRUST OF 123 SPROTT TRUST THIS Certificate of Trust of 123 SPROTT TRUST (the “Trust”) is being duly executed and filed on behalf of the Trust by the undersigned, as trustee, to form a statutory trust under the Delaware Statutory Trust Act (12 Del. C. § 3801 et seq.) (the “Act”). 1. Name. The name of the statutory trust formed by this Certificate of Trust is 123 SPROTT TR |
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| July 2, 2021 |
File No. 333-[ ] As filed with the Securities and Exchange Commission on JuneJuly [], 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sprott ESG Gold ETF Sponsored by Sprott Asset Management LP (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation or |
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| July 2, 2021 |
Seward & Kissel LLP 901 K Street, NW Suite 800 Washington, DC 20001 Telephone: (202) 737-9833 Facsimile: (202) 737-5184 www. |
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| July 2, 2021 |
DRS/A 1 filename1.htm File No. 333-[ ] As filed with the Securities and Exchange Commission on July [], 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sprott ESG Gold ETF Sponsored by Sprott Asset Management LP (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction o |
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| June 11, 2021 |
TRANSFER AGENCY AND SERVICE AGREEMENT EX-10.4 8 filename8.htm Exhibit 10.4 Execution Copy TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the 11th day of May, 2021, by and between SPROTT ESG GOLD ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at Royal Bank Plaza, South Tower, 200 Bay Street, Suite 2600, Toronto, Ontario, Canada M |
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| June 11, 2021 |
EX-10.5 9 filename9.htm Exhibit 10.5 MARKETING AGENT AGREEMENT THIS AGREEMENT is made and entered into as of this [] day of [], 2021 by and among Sprott ESG Gold ETF, a Delaware statutory trust (the “Trust”), which is sponsored by Sprott Asset Management LP, a Canadian limited partnership (the “Sponsor”), and Sprott Global Resource Investments Ltd., a California limited partnership and an affiliat |
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| June 11, 2021 |
CUSTODY AGREEMENT (U.S. Dollar Only) EX-10.2 6 filename6.htm Exhibit 10.2 Execution Copy CUSTODY AGREEMENT (U.S. Dollar Only) AGREEMENT, dated as of May 11, 2021 by and between Sprott ESG Gold ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at Royal Bank Plaza, South Tower, 200 Bay Street, Suite 2600, Toronto, Ontario, Canada M5J 2J1, and The Bank |
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| June 11, 2021 |
EX-10.6 10 filename10.htm Exhibit 10.6 Execution Copy LICENSE AGREEMENT THIS LICENSE AGREEMENT (this “Agreement”) is entered into effective as of the 14th day of May, 2021 (the "Effective Date"), by and between The Bank of New York Mellon, a New York banking corporation ("Licensor"), and Sprott Asset Management LP, the Sponsor to the Sprott ESG Gold ETF ("Licensee"). WHEREAS, Licensor and Licensee |
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| June 11, 2021 |
FUND ADMINISTRATION AND ACCOUNTING AGREEMENT EX-10.3 7 filename7.htm Exhibit 10.3 Execution Copy FUND ADMINISTRATION AND ACCOUNTING AGREEMENT THIS AGREEMENT is made as of May 11, 2021 by and between Sprott ESG Gold ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at Royal Bank Plaza, South Tower, 200 Bay Street, Suite 2600, Toronto, Ontario, Canada M5J 2J1, |
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| June 11, 2021 |
Seward & Kissel LLP 901 K Street, NW Suite 800 Washington, DC 20001 Telephone: (202) 737-8833 Facsimile: (202) 737-5184 www. |
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| June 11, 2021 |
SPROTT ESG GOLD ETF FORM OF AUTHORIZED PARTICIPANT AGREEMENT EX-1.1 2 filename2.htm Exhibit 1.1 SPROTT ESG GOLD ETF FORM OF AUTHORIZED PARTICIPANT AGREEMENT This Authorized Participant Agreement (the “Agreement”), dated as of , 20 is entered into by and among (the “Authorized Participant”), Sprott ESG Gold ETF (the “Trust”), and Sprott Asset Management LP, as sponsor of the Trust (the “Sponsor”). SUMMARY As provided in the Amended and Restated Declaration o |
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| June 11, 2021 |
DRS/A 1 filename1.htm File No. 333-[ ] As filed with the Securities and Exchange Commission on June [], 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sprott ESG Gold ETF Sponsored by Sprott Asset Management LP (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction o |
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| June 11, 2021 |
EX-4.1 3 filename3.htm Exhibit 4.1 SPROTT ASSET MANAGEMENT LP, as Sponsor and DELAWARE TRUST COMPANY, as Delaware Trustee AMENDED AND RESTATED TRUST AGREEMENT SPROTT ESG GOLD ETF Dated as of June [], 2021 TABLE OF CONTENTS ARTICLE I DEFINITIONS AND RULES OF CONSTRUCTION Section 1.1 Definitions 1 Section 1.2 Rules of Construction 6 ARTICLE II CREATION AND DECLARATION OF TRUST Section 2.1 Creation a |
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| June 7, 2021 |
6/4/2021 S&K Draft Seward & Kissel LLP 901 K Street, NW Suite 800 Washington, DC 20001 Telephone: (202) 737-8833 Facsimile: (202) 737-5184 www. |
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| April 9, 2021 |
Seward & Kissel llp ONE BATTERY PARK PLAZA NEW YORK, NEW YORK 10004 Seward & Kissel llp ONE BATTERY PARK PLAZA NEW YORK, NEW YORK 10004 TELEPHONE: (212) 574-1200 FACSIMILE: (212) 480-8421 WWW. |
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| April 9, 2021 |
Delaware (State or Other Jurisdiction of Incorporation or Organization) DRS/A 1 filename1.htm File No. 333-[ ] As filed with the Securities and Exchange Commission on April 9, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sprott ESG Gold ETF Sponsored by Sprott Asset Management LP (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction o |
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| April 9, 2021 |
TRANSFER AGENCY AND SERVICE AGREEMENT Exhibit 10.4 Filing Copy TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the day of , 2021, by and between SPROTT ESG GOLD ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at Royal Bank Plaza, South Tower, 200 Bay Street, Suite 2600, Toronto, Ontario, Canada M5J 2J1, and THE BANK OF NEW YORK ME |
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| April 9, 2021 |
FUND ADMINISTRATION AND ACCOUNTING AGREEMENT EX-10.3 3 filename3.htm Exhibit 10.3 Filing Copy FUND ADMINISTRATION AND ACCOUNTING AGREEMENT THIS AGREEMENT is made as of , 20- by and between Sprott ESG Gold ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at Royal Bank Plaza, South Tower, 200 Bay Street, Suite 2600, Toronto, Ontario, Canada M5J 2J1, and The B |
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| April 9, 2021 |
CUSTODY AGREEMENT (U.S. Dollar Only) Exhibit 10.2 Filing Copy CUSTODY AGREEMENT (U.S. Dollar Only) AGREEMENT, dated as of , 2021 by and between Sprott ESG Gold ETF, a statutory trust formed under the laws of the State of Delaware (the “Trust”), having its principal office and place of business at Royal Bank Plaza, South Tower, 200 Bay Street, Suite 2600, Toronto, Ontario, Canada M5J 2J1, and The Bank of New York Mellon, a New York co |
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| February 11, 2021 |
Seward & Kissel llp 901 K STREET, NW WASHINGTON, D.C. 20001 COVER 5 filename5.htm Seward & Kissel llp 901 K STREET, NW WASHINGTON, D.C. 20001 ANTHONY TU-SEKINE (202)-661-7150 [email protected] TELEPHONE: (202) 737-8833 FACSIMILE: (202) 737-5184 WWW.SEWKIS.COM ONE BATTERY PARK PLAZA NEW YORK, NEW YORK 10004 TELEPHONE: (212) 574-1200 FACSIMILE: (212) 480-8421 February 11, 2021 U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 205 |
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| February 11, 2021 |
File No. 333-[ ] As filed with the Securities and Exchange Commission on February 11, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sprott ESG Gold ETF Sponsored by Sprott Asset Management LP (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation or |
