GLD 10-K Annual Report Sept. 30, 2019 | Alphaminr

GLD 10-K Fiscal year ended Sept. 30, 2019

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DEF 14A
Filed on June 19, 2014
TABLE OF CONTENTS
Part IItem 1. BusinessItem 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesItem 3. Legal ProceedingsItem 4. Mine Safety DisclosuresPart IIItem 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6. Selected Financial DataItem 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 7A. Quantitative and Qualitative Disclosures About Market RiskItem 8. Financial Statements and Supplementary DataItem 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem 9A. Controls and ProceduresItem 9B. Other Information Not Applicable. 44Item 9B. Other InformationPart IIIItem 10. Directors, Executive Officers and Corporate GovernanceItem 11. Executive CompensationItem 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder MattersItem 13. Certain Relationships and Related Transactions and Director IndependenceItem 14. Principal Accounting Fees and ServicesPart IVItem 15. Exhibits and Financial Statements SchedulesItem 16. Form 10-k Summary

Exhibits

4.1 Trust Indenture dated November12, 2004. 10-K 4.1 9/30/07 4.1.1 Amendment No.1 to Trust Indenture dated November26, 2007. 8-K 4.1 12/13/07 4.1.2 Amendment No.2 to Trust Indenture dated May20, 2008. 10-K 4.1.2 9/30/08 4.1.3 Amendment No.3 to Trust Indenture dated June1, 2011. 8-K 4.1 6/1/11 4.1.4 Amendment No.4 to Trust Indenture dated June18, 2014. 8-K 4.1 6/19/14 4.1.5 Amendment No.5 to Trust Indenture dated March20, 2015. 8-K 4.1.5 3/20/15 4.1.6 Amendment No.6 to Trust Indenture dated April14, 2015. 8-K 4.1.6 7/14/15 4.1.7 Amendment No.7 to Trust Indenture dated September5, 2017. 8-K 4.1.7 9/11/17 4.2 Form of Participant Agreement. S-1 4.2 11/8/04 4.2.1 Amendment No.1 to Participant Agreements. 8-K 4.2 12/13/07 4.2.2 Amendment No.2 to Participant Agreements dated May20, 2008. 10-K 4.2.2 9/30/08 4.2.3 Amendment No.3 to Participant Agreements dated July18, 2014. 8-K 4.2.3 7/22/14 4.2.4 Amendment No.4 to Participant Agreements dated September5, 2017. 10-K 4.2.4 9/30/17 4.3 Sponsor Payment and Reimbursement Agreement dated November12, 2004. 10-K 4.3 9/30/07 4.4* Description of the Securities Registered under Section12 of the Securities Exchange Act of 1934 10.1 Second Amended and Restated Allocated Bullion Account Agreement dated July17, 2015. 8-K 10.1 7/17/15 10.2 Second Amended and Restated Unallocated Bullion Account Agreement dated July17, 2015. 8-K 10.2 7/17/15 10.3 Form of Participant Unallocated Bullion Account Agreement. S-1 4.2(AttachmentB) 11/8/04 10.3.1 Form of Amendment to Participant Unallocated Bullion Account Agreement dated November26, 2007. 10-K 10.3.1 9/30/08 10.3.2 Form of Amendment No.2 to Participant Unallocated Bullion Account Agreement effective May20, 2008. S-3 10.3.1 5/20/08 10.4 Depository Agreement dated November11, 2004. 10-K 10.4 9/30/07 10.5 License Agreement S-1 10.5 9/26/03 10.6 Amended and Restated Marketing Agent Agreement dated July17, 2015. 8-K 10.6 7/17/15 10.6.1 First Amendment to the Amended and Restated Marketing Agent Agreement dated May4, 2018. 10-Q 10.6.1 8/7/18 10.8 WGC/WGTS License Agreement dated November16, 2004. 10-K 10.8 9/30/07 10.8.1 Amendment No.1 to WGC/WGTS License Agreement dated May20, 2008. 10-K 10.8.1 9/30/08 10.10 Marketing Agent Reimbursement Agreement dated November16, 2004. 10-K 10.10 9/30/07 10.12 SPDR Sublicense Agreement dated May20, 2008. 10-K 10.12 9/30/08 10.13 Novation Agreement dated June4, 2014. 8-K 10.13 11/21/14 23.1* Consent of KPMG LLP. 23.2* Consent of Carter Ledyard& Milburn LLP. 31.1* Certification of Principal Executive Officer Pursuant to Rule 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as amended. 31.2* Certification of Chief Financial Officer Pursuant to Rule 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as amended. 32.1* Certification of Principal Executive Officer Pursuant to Section1350 of the Sarbanes-Oxley Act of 2002. 32.2* Certification of Chief Financial Officer Pursuant to Section1350 of the Sarbanes-Oxley Act of 2002.