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): December 19 6, ~~2022 (December 14, 2022)~~2023

Hartford Funds Exchange-Traded Trust

(Exact name of registrant as specified in its charter)


Delaware	811-23222	86-3860707
(State or other jurisdiction	(Commission	(IRS Employer
of incorporation)	File Number)	Identification No.)

690 Lee Road

Wayne, Pennsylvania 19087

(Address of principal executive offices, including zip code)

Registrant’s telephone number, including area code: (610) 386-4068

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class Trading Symbol(s) Name of each exchange on which registered Hartford ~~Schroders~~Short ~~ESG~~Duration ~~US Equity~~ ETF ~~HEET~~HSRT Cboe BZX Exchange, Inc.

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ~~Emerging growth company ¨~~

IfEmerging ~~an emerging~~ growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨☐

~~Item~~If ~~3.01~~an ~~Notice~~emerging ofgrowth ~~Delisting~~company, orindicate ~~Failure~~by check mark if the registrant has elected not to ~~Satisfy~~use athe ~~Continued~~extended ~~Listing~~transition ~~Rule~~period for complying with any new or ~~Standard;~~revised ~~Transfer~~financial accounting standards provided pursuant to Section 13(a) of ~~Listing~~the Exchange Act. ☐

~~On December 14, 2022, the compliance staff (the “Staff”) of Cboe BZX Exchange, Inc~~Item 8.01 ~~(“Cboe”)~~– ~~provided~~Other ~~written~~Events notice to Hartford Funds Exchange-Traded Trust (the “Trust”) that it is not in compliance with the continued listing standard set forth in Exchange Rule 14.11(l)(4)(B)(i)(c) of Cboe with respect to one of its series, the Hartford Schroders ESG US Equity ETF (the “Fund”). Exchange Rule 14.11(l)(4)(B)(i)(c) requires that, in order to comply with Cboe continued listing standards, a listed company must maintain no fewer than 50 beneficial holders of series of ETF Shares for 30 or more consecutive trading days following the initial twelve-month period after the commencement of trading on the exchange of a series of ETF Shares. The Fund, which commenced trading on Cboe as of August 11, 2021, was determined to have fewer than 50 beneficial shareholders as of August 31, 2022, September 30, 2022 and October 31, 2022.

InEffective ~~accordance~~on ~~with~~or ~~Cboe~~about ~~procedures~~February 12, 2024, the ~~Trust~~name, ~~must~~investment ~~submit~~objective, aprincipal ~~written response~~investment tostrategy, ~~the~~portfolio ~~Staff~~management team, performance benchmark and management fee rate of ~~Cboe~~Hartford ~~outlining~~Short Duration ETF (the ~~Trust~~“Fund”) will change. Specifically: (i) the Fund’s ~~plan~~name will change to ~~increase~~Hartford AAA CLO ETF; (ii) the ~~number~~Fund’s ofinvestment ~~shareholders~~objective ofwill be to seek to provide capital preservation and current income; (iii) the Fund’s ~~and~~principal ~~regain~~investment ~~compliance with~~strategy ~~Rule~~will ~~14.11~~be to invest primarily (lat least 80% of its net assets under normal circumstances) in collateralized loan obligations (4“CLOs”)~~(B)(i)(c).~~ ~~The~~that, ~~Trust~~at ~~intends~~the totime ~~submit~~of ~~such~~purchase, aare ~~response~~rated inAAA aby ~~timely~~one ~~manner. If~~or ~~the~~more ~~Staff~~nationally ~~accepts~~recognized ~~the~~statistical ~~Trust’s plan~~rating toorganizations, ~~regain~~or ~~compliance~~if unrated, ~~the~~determined ~~Staff~~to ~~will~~be ~~provide~~of upcomparable tocredit aquality ~~six~~by the sub-~~month~~adviser, ~~“cure~~Wellington ~~period”~~Management ~~beginning~~Company onLLP; (iv) the ~~date~~Fund’s ofbenchmark will be the ~~Staff~~JP Morgan CLOIE AAA Index; (v) the Fund’s ~~notification.~~ ~~The~~portfolio ~~Staff~~managers will ~~make~~be ~~available~~Alyssa aA. ~~list~~Irving ofand ~~issues~~Cory ~~that~~D. ~~are~~Perry, ~~non-compliant~~CFA; ~~with~~and ~~continued~~(vi) the ~~listing~~Fund’s ~~standards.~~management Infee ~~order~~rate ~~for~~will be 0.24% of the Fund’s toaverage ~~regain~~daily ~~compliance~~net ~~during~~assets. As a result of the ~~“cure~~changes ~~period~~to the Fund’s principal investment strategy,” the ~~Trust~~Fund will be ~~required~~subject to ~~demonstrate~~the ~~that~~principal ~~the~~risks ~~Fund~~associated ~~has~~with ~~had~~CLO atinvestments ~~least 50~~– ~~beneficial~~including ~~shareholders.~~Collateralized IfLoan ~~the~~Obligations ~~Trust~~Risk, isCLO ~~unable~~Manager toRisk, ~~demonstrate~~Extended ~~that~~Settlement ~~the~~Risk ~~Fund~~and ~~has~~Sector atRisk ~~least~~– 50and ~~beneficial~~will ~~holders~~not bybe ~~the~~subject ~~end~~to of“High ~~the~~Yield Investments Risk,” “~~cure period~~Derivatives Risk,” ~~the~~“Leverage ~~Staff~~Risk,” ~~may~~“Futures ~~delist~~and ~~the~~Options ~~Fund~~Risk,” Swaps Risk,” and “Foreign Investments Risk” among its principal risks.

~~Forward~~This report contains forward-~~Looking~~looking ~~Statements~~statements within the meaning of the Securities Act of 1933, as amended, and the Securities Exchange Act of 1934, as amended. These statements may include words such as “anticipate,” “believe,” “may” and other words and terms of similar meaning, including in connection with any discussion of the timing or nature of future financial performance or other events. Such forward-looking statements are subject to certain risks and uncertainties, including whether the Fund will be able to successfully implement the new objective and strategy discussed above. As a result of these factors, the Fund’s actual results may differ materially from those indicated or implied by such forward-looking statements. Except as required by law, Hartford Funds Exchange-Traded Trust disclaims any obligation to publicly update such statements.

This report contains forward-looking statements within the meaning of the Securities Act of 1933, as amended, and the Securities Exchange Act of 1934, as amended. These statements may include words such as “anticipate,” “believe,” “may” and other words and terms of similar meaning, including in connection with any discussion of the timing or nature of future financial performance or other events. Such forward-looking statements are subject to certain risks and uncertainties, including whether the Trust is able to regain compliance with Cboe continued listing standards, whether the Fund is able to avoid potential delisting from Cboe, and other factors disclosed by the Trust from time to time in its filings with the Securities and Exchange Commission. As a result of these factors, the Trust’s actual results may differ materially from those indicated or implied by such forward-looking statements. Except as required by law, the Trust disclaims any obligation to publicly update such statements.

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

		~~Hartford Funds Exchange-Traded Trust~~	Hartford Funds Exchange-Traded Trust
Date:	December 19, 2022	By:		/s/ Alice A. Pellegrino
Date: December 6, 2023			By:		/s/ Alice A. Pellegrino
		~~Name:~~	Name:	~~Alice A. Pellegrino~~	Alice A. Pellegrino
		~~Title:~~	Title:	~~Vice President and Assistant Secretary~~	Vice President and Assistant Secretary

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