ALPS SERIES TRUST - Polen DDJ Opportunistic High Yield Fund

LEI: 549300XSCSUWJ1UHXQ21

Entity

Legal Name

Language Code

Other Entity Names

Other Entity Name 1

Name

ALPS Series Trust - DDJ Opportunistic High Yield Fund

Type

PREVIOUS_LEGAL_NAME

Language Code

Legal Address (English)

C/O THE CORPORATION TRUST COMPANY WILMINGTON, Delaware (US-DE), 19801 UNITED STATES

Headquarters Address (English)

c/o POLEN CAPITAL CREDIT, LLC 163 Madison Avenue, Suite 600 Morristown, New Jersey (US-NJ), 07960 UNITED STATES

Legal Jurisdiction Country

UNITED STATES (US)

Registration Authority

Registration Authority ID

Securities and Exchange Commission (RA000665)

Registration Authority Entity ID

S000050179

Entity Legal Form Code

Other (8888)

Other Legal Form

FUND

Entity Category

FUND

Entity Status

ACTIVE

Entity Creation Date

2015-05-13 00:00:00

Legal Entity Events

Legal Entity Event 1

Event Type

CHANGE_LEGAL_NAME

Effective Date

2022-02-08 00:00:00

Recorded Date

2022-04-19 06:15:34

Validation Documents

REGULATORY_FILING

Event Status

COMPLETED

Relationships

Direct Parent

Parent Information Not Provided

Non-Disclosure Reason 1

Reason

NO_KNOWN_PERSON

Ultimate Parent

Parent Information Not Provided

Non-Disclosure Reason 1

Reason

NO_KNOWN_PERSON

Managing Fund Parent

Parent LEI

549300ZLX14T3RGX6L55

Relationship Periods

Relationship Period 1

Start Date

2015-05-14 00:00:00

Period Type

RELATIONSHIP_PERIOD

Relationship Period 2

Start Date

2022-01-28 00:00:00

Period Type

DOCUMENT_FILING_PERIOD

Relationship Status

ACTIVE

Relationship Registration

Initial Registration Date

2013-12-12 03:06:00

Last Update Date

2024-09-27 12:19:19

Registration Status

LAPSED

Validation Sources

FULLY_CORROBORATED

Validation Documents

REGULATORY_FILING

Validation Reference

https://www.ddjcap.com/wp-content/uploads/DDJ-Opportunistic-High-Yield-Fund-Prospectus-1.28.2022-Amended-2.7.22-1.pdf

Umbrella Fund Parent

Parent LEI

5493000QN25IZZPUSL66

Relationship Periods

Relationship Period 1

Start Date

2015-05-14 00:00:00

Period Type

RELATIONSHIP_PERIOD

Relationship Period 2

Start Date

2022-01-28 00:00:00

Period Type

DOCUMENT_FILING_PERIOD

Relationship Status

ACTIVE

Relationship Registration

Initial Registration Date

2018-04-09 15:32:00

Last Update Date

2024-09-27 12:19:19

Registration Status

LAPSED

Validation Sources

FULLY_CORROBORATED

Validation Documents

SUPPORTING_DOCUMENTS

Validation Reference

https://www.sec.gov/cgi-bin/series?company=Polen+DDJ+Opportunistic+High+Yield+Fund

Registration

Initial Registration Date

2015-05-14 01:40:00

Last Update Date

2024-09-27 12:19:19

Next Renewal Date

2023-09-14 00:00:00

Registration Status

LAPSED

Managing LOU

5493001KJTIIGC8Y1R12

Validation Sources

FULLY_CORROBORATED

Validation Authority

Validation Authority ID

Securities and Exchange Commission (RA000665)

Validation Authority Entity ID

S000050179