Annual Report for Registered Investment Companies (n-cen)
10 März 2023 - 7:26PM
Edgar (US Regulatory)
schemaVersion:
X0404
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.
|
schemaVersion:
N-CEN:Series/Class (Contract) Information
| Series ID Record | Series ID | Class ID |
|---|
|
#1 | S000046947 | 1. C000146764
|
N-CEN:Part A: General Information
Item A.1. Reporting period covered.
|
a. Report for period ending:
| 2022-12-31 |
|
b. Does this report cover a period of less than 12 months?
| ☒ Yes
☐ No
|
N-CEN:Part B: Information About the Registrant
Item B.1. Background information.
|
a. Full name of Registrant
| Eaton Vance NextShares Trust |
b. Investment Company Act file number
( e.g., 811-)
| 811-22982 |
|
c. CIK
| 0001573035 |
|
d. LEI
| 549300QVLF4RVQVAI073 |
Item B.2. Address and telephone number of Registrant.
|
a. Street 1
| TWO INTERNATIONAL PLACE |
|
Street 2
| |
|
b. City
| BOSTON |
|
c. State, if applicable
|
MASSACHUSETTS
|
|
d. Foreign country, if applicable
|
UNITED STATES OF AMERICA
|
|
e. Zip code and zip code extension, or foreign postal code
| 02110 |
|
f. Telephone number (including country code if foreign)
| 617-482-8260 |
|
g. Public Website, if any
| www.eatonvance.com |
Item B.3. Location of books and records.
| Instruction.
Provide the requested information for each person maintaining
physical possession of each account, book, or other document
required to be maintained by section 31(a) of the Act (15 U.S.C.
80a-30(a)) and the rules under that section.
|
| Location books Record |
Name of person
(e.g., a custodian of records)
| Telephone | Address | Briefly describe books and records kept at this location |
|---|
|
#1 | State Street Bank and Trust Company | 617-786-3000 | 1 Lincoln Street
Boston,
MASSACHUSETTS
02111
UNITED STATES OF AMERICA
| Custody and Accounting Records. |
Item B.4. Initial of final filings.
| Instruction.
Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form.
|
|
a. Is this the first filing on this form by the Registrant?
| ☐ Yes
☒ No
|
|
b. Is this the last filing on this form by the Registrant?
| ☒ Yes
☐ No
|
Item B.5. Family of investment companies.
| Instruction.
"Family of investment companies" means, except for insurance company
separate accounts, any two or more registered investment companies
that (i) share the same investment adviser or principal underwriter;
and (ii) hold themselves out to investors as related companies for
purposes of investment and investor services. In responding to this
item, all Registrants in the family of investment companies should
report the name of the family of investment companies identically.
|
|
Insurance company separate accounts that may not hold themselves
out to investors as related companies (products) for
purposes of investment and investor services should consider
themselves part of the same family if the operational or accounting
or control systems under which these entities function are
substantially similar.
|
|
a. Is the Registrant part of a family of investment companies?
| ☒ Yes
☐ No
|
|
i. Full name of family of investment companies
| EatonVance |
Item B.6. Organization.
| Instruction.
For Item B.6.a.i., the Registrant should include all Series that
have been established by the Registrant and have shares outstanding
(other than shares issued in connection with an initial investment
to satisfy section 14(a) of the Act).
|
|
a. Indicate the classification of the Registrant by checking the applicable item
| ☒
a. Open-end management investment company registered under the Act on Form N-1A
☐
b. Closed-end management investment company registered under the Act on Form N-2
☐
c. Separate account offering variable annuity contracts which
is registered under the Act as a management investment company on Form N-3
☐
d. Separate account offering variable annuity contracts which
is registered under the Act as a unit investment trust on Form N-4
☐
e. Small business investment company registered under the Act on Form N-5
☐
f. Separate account offering variable insurance contracts
which is registered under the Act as a unit investment trust on Form N-6
☐
g. Unit investment trust registered under the Act on Form N-8B-2
|
|
i. Total number of Series of the Registrant
| 0 |
|
ii. If a Series of the Registrant with a fiscal year end covered by the report
was terminated during the reporting period, provide the following information:
| |
| Terminated Organization Record | Name of the Series | Series identification number | Date of termination (month/year) |
|---|
|
#1 | Eaton Vance Stock NextShares | S000046947 | 12/2022 |
Item B.7. Securities Act registration.
|
a. Is the Registrant the issuer of a class of securities
registered under the Securities Act of 1933 ("Securities Act")?
| ☒ Yes
☐ No
|
Item B.8. Directors.
|
a. Provide the information requested below about each person serving as director of the Registrant (management investment companies only):
| |
| Director Record | Full Name | CRD number, if any | Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-): |
|---|
|
#1 | Cynthia E. Frost | 000000000 |
No
| 811-02589 811-09013 811-08464 811-21735 811-10065 811-22424 811-10067 811-23145 811-09157 811-08876 811-21142 811-21563 811-01545 811-21400 811-22896 811-21614 811-22983 811-02258 811-21470 811-21973 811-21676 811-04409 811-08134 811-22049 811-21745 811-21148 811-21670 811-08342 811-22777 811-07409 811-21519 811-10387 811-23240 811-10389 811-22048 811-01241 811-21147 811-21323 811-09833 811-08340 811-09837 811-09987 811-04015 811-22714 811-21574 811-23803 811-22336 811-04443 811-23151 811-22350 811-22044 811-22380 811-21411 811-22269 811-09141 811-21832 |
|
#2 | Scott E. Wennerholm | 002398744 |
No
| 811-22380 811-21142 811-09157 811-10065 811-22896 811-22350 811-04443 811-01241 811-08340 811-21519 811-21470 811-09141 811-10067 811-10387 811-22424 811-08134 811-09837 811-22049 811-22048 811-02589 811-21670 811-04409 811-08464 811-09013 811-23240 811-21563 811-22269 811-22044 811-21574 811-23151 811-22336 811-23803 811-21147 811-21411 811-22777 811-23145 811-07409 811-21745 811-21676 811-04015 811-21735 811-02258 811-08342 811-21323 811-09987 811-08876 811-09833 811-21832 811-22983 811-21148 811-01545 811-21400 811-21973 811-22714 811-10389 811-21614 |
|
#3 | George J. Gorman | 000000000 |
No
| 811-21574 811-22350 811-10067 811-22380 811-21735 811-21614 811-08876 811-09157 811-22983 811-08134 811-08464 811-22777 811-21676 811-21670 811-21832 811-21148 811-23803 811-21400 811-02258 811-01241 811-22714 811-22269 811-08340 811-23240 811-22044 811-21973 811-21519 811-21745 811-09833 811-04443 811-23145 811-09987 811-22424 811-09837 811-08342 811-22896 811-04015 811-10389 811-23151 811-22336 811-21563 811-21470 811-04409 811-21142 811-09013 811-10387 811-02589 811-07409 811-09141 811-21147 811-21323 811-21411 811-10065 811-22049 811-22048 811-01545 |
|
#4 | Alan C. Bowser | N/A |
No
| 811-21574 811-21323 811-10067 811-21735 811-10387 811-09157 811-04015 811-21148 811-21614 811-22048 811-02258 811-22896 811-10389 811-22983 811-21147 811-23803 811-02589 811-09013 811-08340 811-01545 811-22714 811-21142 811-22350 811-09987 811-22424 811-22044 811-07409 811-22336 811-08342 811-10065 811-21411 811-22049 811-21973 811-09141 811-09833 811-21519 811-21563 811-22380 811-21676 811-23145 811-22777 811-21670 811-23240 811-08134 811-21832 811-09837 811-23151 811-21745 811-21400 811-21470 811-08876 811-22269 811-04443 811-08464 811-01241 811-04409 |
|
#5 | Mark R. Fetting | 000733409 |
No
| 811-09987 811-23151 811-22777 811-02589 811-01545 811-09013 811-21745 811-10389 811-21470 811-21973 811-07409 811-04015 811-23145 811-22350 811-02258 811-21574 811-21670 811-21676 811-21400 811-09141 811-22048 811-21735 811-10067 811-21519 811-08876 811-22044 811-22424 811-22336 811-22983 811-21563 811-21614 811-08342 811-22049 811-21411 811-08134 811-23240 811-10387 811-09837 811-22896 811-22714 811-08464 811-21832 811-23803 811-21142 811-10065 811-22269 811-04409 811-09157 811-04443 811-21323 811-21147 811-09833 811-22380 811-21148 811-01241 811-08340 |
|
#6 | Thomas E. Faust Jr. | 002843249 |
Yes
| 811-04015 811-22380 811-02258 811-10389 811-21142 811-22269 811-09013 811-21735 811-09837 811-23145 811-22714 811-21323 811-21411 811-09833 811-22336 811-08134 811-21519 811-21614 811-10067 811-23151 811-09987 811-22424 811-21832 811-10387 811-01545 811-21470 811-21676 811-07409 811-04443 811-10065 811-21745 811-09157 811-08342 811-02589 811-21400 811-09141 811-22896 811-23240 811-22983 811-21147 811-04409 811-22049 811-21148 811-08464 811-21563 811-21670 811-21973 811-08876 811-01241 811-08340 811-21574 811-22048 811-22044 811-23803 811-22350 811-22777 |
|
#7 | Nancy A. Wiser | N/A |
No
| 811-22048 811-10389 811-04015 811-22714 811-22269 811-21745 811-09837 811-02589 811-08342 811-21147 811-22044 811-09157 811-09833 811-21670 811-22896 811-21148 811-07409 811-09013 811-08340 811-22350 811-22424 811-04409 811-22336 811-22983 811-09987 811-08134 811-22049 811-23145 811-23803 811-22777 811-21411 811-10067 811-10387 811-21323 811-10065 811-08876 811-22380 811-01241 811-21563 811-21973 811-23240 811-21735 811-21470 811-01545 811-21676 811-02258 811-04443 811-21519 811-08464 811-09141 811-21142 811-23151 811-21400 811-21614 811-21832 811-21574 |
|
#8 | Keith Quinton | 000000000 |
No
| 811-22269 811-21676 811-10067 811-02589 811-21411 811-22896 811-08876 811-08464 811-21574 811-22714 811-01545 811-21470 811-07409 811-08134 811-21563 811-21323 811-21148 811-21614 811-08342 811-04443 811-23803 811-21147 811-10387 811-22777 811-09141 811-04015 811-22336 811-04409 811-09837 811-21745 811-10389 811-02258 811-09013 811-22380 811-22350 811-09157 811-21142 811-21670 811-21832 811-22424 811-10065 811-09833 811-22983 811-23240 811-23151 811-08340 811-22048 811-22044 811-01241 811-23145 811-21519 811-22049 811-21400 811-09987 811-21973 811-21735 |
|
#9 | Valerie A. Mosley | 000000000 |
No
| 811-23240 811-08876 811-21745 811-22714 811-08134 811-02258 811-21142 811-22777 811-22896 811-21563 811-09837 811-09141 811-08342 811-21411 811-21973 811-01545 811-01241 811-07409 811-21147 811-21519 811-09987 811-22350 811-08464 811-10067 811-02589 811-22424 811-04409 811-21148 811-22269 811-04443 811-21574 811-10065 811-21676 811-09013 811-10387 811-21614 811-21670 811-10389 811-09157 811-22049 811-23803 811-21323 811-09833 811-22336 811-21470 811-23145 811-08340 811-22380 811-21400 811-22044 811-21735 811-22983 811-22048 811-04015 811-23151 811-21832 |
|
#10 | Susan J. Sutherland | 000000000 |
No
| 811-22424 811-22983 811-21614 811-21148 811-01241 811-10389 811-08464 811-22896 811-04015 811-22049 811-21323 811-09837 811-09157 811-21400 811-09013 811-08340 811-10067 811-04443 811-09987 811-21470 811-22777 811-23240 811-21411 811-07409 811-02589 811-22380 811-09833 811-01545 811-22044 811-23151 811-21563 811-08876 811-22350 811-21670 811-21745 811-23145 811-22269 811-21574 811-08342 811-10387 811-21973 811-21142 811-21832 811-21519 811-23803 811-10065 811-04409 811-08134 811-22714 811-21147 811-22336 811-21676 811-02258 811-21735 811-09141 811-22048 |
|
#11 | Marcus L. Smith | 000000000 |
No
| 811-04409 811-09987 811-10065 811-09141 811-04015 811-21400 811-10387 811-22777 811-22983 811-21745 811-23151 811-08134 811-01241 811-01545 811-22896 811-22350 811-10067 811-21147 811-21470 811-21973 811-23803 811-08342 811-21148 811-10389 811-21574 811-22269 811-22424 811-08464 811-09833 811-09157 811-21142 811-21323 811-21519 811-09013 811-08876 811-02589 811-22714 811-07409 811-21670 811-22336 811-22049 811-21614 811-22048 811-02258 811-21411 811-22044 811-21676 811-21735 811-23145 811-08340 811-23240 811-04443 811-21832 811-22380 811-09837 811-21563 |
Item B.9. Chief compliance officer.
|
a. Provide the information requested below about each person serving as chief compliance officer (CCO) of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1):
| |
| Chief compliance officer Record | Full Name | CRD Number, if any | Telephone | Address | Has the CCO changed since the last filing? | If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide: |
|---|
|
#1 | Richard F. Froio | 002214598 | XXXXXX | Two International Place
Boston,
MASSACHUSETTS
02110
UNITED STATES OF AMERICA
|
No
| - Name of the person: N/A
IRS Employer Identification Number: N/A
|
Item B.10. Matters for security holder vote.
| Instruction.
Registrants registered on Forms N-3, N-4 or N-6, should respond "yes"
to this Item only if security holder votes were solicited on contract-level matters.
|
|
a. Were any matters submitted by the Registrant for its security holders' vote during the reporting period?
| ☐ Yes
☒ No
|
Item B.11. Legal proceeding.
| Instruction.
For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities.
|
|
a. Have there been any material legal proceedings, other
than routine litigation incidental to the business, to which the
Registrant or any of its subsidiaries was a party or of which any of
their property was the subject during the reporting period?
| ☐ Yes
☒ No
|
|
b. Has any proceeding previously reported been terminated?
| ☐ Yes
☒ No
|
Item B.12. Fidelity bond and insurance (management investment companies only).
|
a. Were any claims with respect to the Registrant filed
under a fidelity bond (including, but not limited to, the fidelity
insuring agreement of the bond) during the reporting period?
| ☐ Yes
☒ No
|
|
Item B.13. Directors and officers/errors and omissions insurance (management investment companies only).
|
a. Are the Registrant's officers or directors covered in their capacities
as officers or directors under any directors and officers/errors and
omissions insurance policy owned by the Registrant or anyone else?
| ☒ Yes
☐ No
|
|
i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant?
| ☐ Yes
☒ No
|
Item B.14. Provision of financial support.
| Instruction.
For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio.
|
|
a. Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period?
| ☐ Yes
☒ No
|
Item B.15. Exemptive orders.
|
a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act?
| ☒ Yes
☐ No
|
|
i. If yes, provide the release number for each order:
| - IC-31361
- IC-29591
- IC-20671
- 34-77240
|
Item B.16. Principal underwriters.
|
a. Provide the information requested below about each principal underwriter:
| |
| Principal underwriter Record | Full Name | SEC file number (e.g., 8-) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? |
|---|
|
#1 | Foreside Fund Services, LLC | 8-51293 | 000046106 | N/A |
MAINE
|
UNITED STATES OF AMERICA
|
No
|
|
b. Have any principal underwriters been hired or terminated during the reporting period?
| ☐ Yes
☒ No
|
Item B.17. Independent public accountant.
|
a. Provide the following information about each independent public accountant:
| |
| Public accountant Record | Full Name | PCAOB Number | LEI, if any | State, if applicable | Foreign country, if applicable |
|---|
|
#1 | Deloitte & Touche LLP | 34 | N/A |
MASSACHUSETTS
|
UNITED STATES OF AMERICA
|
|
b. Has the independent public accountant changed since the last filing?
| ☐ Yes
☒ No
|
Item B.18. Report on internal control (management investment companies only).
| Instruction.
Small business investment companies are not required to respond to this item.
|
|
a. For the reporting period, did an independent public accountant's report on internal control note any material weaknesses?
| ☐ Yes
☒ No
|
Item B.19. Audit opinion.
|
a. For the reporting period, did an independent public accountant issue
an opinion other than an unqualified opinion with respect to its audit
of the Registrant's financial statements?
| ☐ Yes
☒ No
|
Item B.20. Change in valuation methods.
| Instruction.
Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category.
|
|
a. Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period?
| ☐ Yes
☒ No
|
Item B.21. Change in accounting principles and practices.
|
a. Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported?
| ☐ Yes
☒ No
|
Item B.22. Net asset value error corrections (open-end management investment companies only).
|
a. During the reporting period, were any payments made to shareholders
or shareholder accounts reprocessed as a result of an error
in calculating the Registrant's net asset value (or net asset value per share)?
| ☐ Yes
☒ No
|
Item B.23. Rule 19a-1 notice (management investment companies only).
|
a. During the reporting period, did the Registrant pay any dividend or make
any distribution in the nature of a dividend payment, required to be accompanied
by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a))
and rule 19a-1 thereunder (17 CFR 270.19a-1)?
| ☐ Yes
☒ No
|
N-CEN:Part C: Additional Questions for Management Investment Companies
N-CEN:Part G: Attachments
Item G.1a. Attachments.
|
a. Attachments applicable to all Registrants. All
Registrants shall file the following attachments, as applicable,
with the current report. Indicate the attachments filed with the
current report by checking the applicable items below:
| ☐
i. Legal proceedings
☐
ii. Provision of financial support
☐
iii. Independent public accountant's report on internal
control (management investment companies other than small business
investment companies only)
☐
iv. Change in accounting principles and practices
☐
v. Information required to be filed pursuant to
exemptive orders
☐
vi. Other information required to be included
as an attachment pursuant to Commission rules and regulations
|
Instructions.
1. Item G.1.a.i. Legal proceedings.
(a) If the Registrant responded "YES" to Item B.11.a., provide a
brief description of the proceedings. As part of the description,
provide the case or docket number (if any), and the full names of
the principal parties to the proceeding.
(b) If the Registrant responded "YES" to Item B.11.b., identify the
proceeding and give its date of termination.
2. Item G.1.a.ii. Provision of financial support. If the Registrant
responded "YES" to Item B.14., provide the following information
(unless the Registrant is a Money Market Fund):
(a) Description of nature of support.
(b) Person providing support.
(c) Brief description of relationship between the person providing
support and the Registrant.
(d) Date support provided.
(e) Amount of support.
(f) Security supported (if applicable). Disclose the full name of
the issuer, the title of the issue (including coupon or yield, if
applicable) and at least two identifiers, if available (e.g., CIK,
CUSIP, ISIN, LEI).
(g) Value of security supported on date support was initiated (if
applicable).
(h) Brief description of reason for support.
(i) Term of support.
(j) Brief description of any contractual restrictions relating to
support.
3. Item G.1.a.iii. Independent public accountant's report on
internal control (management investment companies other than small
business investment companies only). Each management investment
company shall furnish a report of its independent public accountant
on the company's system of internal accounting controls. The
accountant's report shall be based on the review, study and
evaluation of the accounting system, internal accounting controls,
and procedures for safeguarding securities made during the audit of
the financial statements for the reporting period. The report
should disclose any material weaknesses in: (a) the accounting
system; (b) system of internal accounting control; or (c)
procedures for safeguarding securities which exist as of the end of
the Registrant's fiscal year.
The accountant's report shall be furnished as an exhibit to the
form and shall: (1) be addressed to the Registrant's shareholders
and board of directors; (2) be dated; (3) be signed manually; and
(4) indicate the city and state where issued.
Attachments that include a report that discloses a material
weakness should include an indication by the Registrant of any
corrective action taken or proposed.
The fact that an accountant's report is attached to this form shall
not be regarded as acknowledging any review of this form by the
independent public accountant.
4. Item G.1.a.iv. Change in accounting principles and practices. If
the Registrant responded "YES" to Item B.21, provide an attachment
that describes the change in accounting principles or practices, or
the change in the method of applying any such accounting principles
or practices. State the date of the change and the reasons
therefor. A letter from the Registrant's independent accountants,
approving or otherwise commenting on the change, shall accompany
the description.
5. Item G.1.a.v. Information required to be filed pursuant to
exemptive orders. File as an attachment any information required to
be reported on Form N-CEN or any predecessor form to Form N-CEN
(e.g., Form N-SAR) pursuant to exemptive orders issued by the
Commission and relied on by the Registrant.
6. Item G.1.a.vi. Other information required to be included as an
attachment pursuant to Commission rules and regulations. File as an
attachment any other information required to be included as an
attachment pursuant to Commission rules and regulations.
|
N-CEN: Signature
|
Pursuant to the requirements of the Investment Company Act of 1940, the
Registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
|
|
Registrant
| Eaton Vance NextShares Trust |
|
Date
| 2023-03-02 |
|
Signature
| James Kirchner |
|
Title
| Treasurer |
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