# EDGAR Filing Document

**Accession Number:** 0000936958
**File Stem:** 0001752724-23-051797
**Filing Date:** 2023-3
**Character Count:** 11680
**Document Hash:** ec4e27de1983c2eabff53ab9c2b6b929
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-051797.hdr.sgml**: 20230310

**ACCESSION NUMBER**: 0001752724-23-051797

**CONFORMED SUBMISSION TYPE**: N-CEN

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230310

**DATE AS OF CHANGE**: 20230310

**EFFECTIVENESS DATE**: 20230310

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SPDR S&P MIDCAP 400 ETF TRUST
- **CENTRAL INDEX KEY:** 0000936958
- **IRS NUMBER:** 137077797
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** N-CEN
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-08972
- **FILM NUMBER:** 23723063

**BUSINESS ADDRESS:**
- **STREET 1:** PDR SERVICES LLC C/O NYSE EURONEXT
- **STREET 2:** 11 WALL STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10005
- **BUSINESS PHONE:** 212-656-4440

**MAIL ADDRESS:**
- **STREET 1:** PDR SERVICES LLC C/O NYSE EURONEXT
- **STREET 2:** 11 WALL STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10005

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MIDCAP SPDR TRUST SERIES 1
- **DATE OF NAME CHANGE:** 19950207

# Form N-CEN: Annual Report for Registered Investment Companies

## N-CEN: Filer Information
**Submission Type:** N-CEN
**CIK:** 0000936958

## N-CEN: Series/Class (Contract) Information

### N-CEN: Part A: General Information

**Item A.1.a - Report for period ending:** 2022-12-31

**Item A.1.b - Does this report cover a period of less than 12 months?:** No

## N-CEN: Part B: Information About the Registrant

- **Item B.1.a - Full name of Registrant:** SPDR S&P MIDCAP 400 ETF TRUST

- **Item B.1.b - Investment Company Act file number:** 811-08972

- **Item B.1.c - CIK:** 0000936958

- **Item B.1.d - LEI:** 5493003TT35P3SIWJJ72

- **Item B.2.a - Street 1:** 11 Wall Street

- **Item B.2.b - City:** New York

- **Item B.2.c - State:** NY

- **Item B.2.e - Zip Code:** 10005

- **Item B.2.f - Telephone:** 212-656-4440

- **Item B.2.g - Public Website:** https://ssga.com/us/en/insitutional/etfs

### Item B.3 - Location of books and records

**Location books Record: 1**

- **a. Name of person (e.g., a custodian of records):** The Bank of New York Mellon

- **b. Street 1:** 240 Greenwich Street

- **c. City:** New York

- **d. State, if applicable:** NY

- **e. Foreign country, if applicable:** US

- **f. Zip code and zip code extension, or foreign postal code:** 10286

- **g. Telephone number:** 1-212-495-1784

- **h. Briefly describe the books and records kept at this location:** Records related to its functions as custodian, transfer agent, administrator and accounting records.

- **Item B.4.a - Is this the first filing by the Registrant?:** No

- **Item B.4.b - Is this the last filing by the Registrant?:** No

### Item B.6 - Organization

- [ ] 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

- **Item B.6.i - Total number of Series:** —

- **Item B.7 - Is the Registrant the issuer of a class of securities registered under the Securities Act?:** Yes

### Item B.9. Chief compliance officer.

**Chief compliance officer Record: 1**

- **a. Full Name:** Lucas Foss

- **b. CRD Number, if any:** N/A

- **c. Street Address 1:** 1290 Broadway

- **   Street Address 2:** Suite 1000

- **d. City:** Denver

- **e. State, if applicable:** CO

- **f. Foreign country, if applicable:** US

- **g. Zip code:** 80203

- **h. Telephone number:** XXXXXX

- **i. Has the chief compliance officer changed since the last filing?:** No

If the chief compliance officer is compensated or employed by any person other than the Registrant, provide:

**CCO employer Record: 1**

- **i. Name of the person:** —

- **ii. Person’s IRS Employer Identification Number:** —

### Item B.10. Matters for security holder vote.

- **Were any matters submitted by the Registrant for its security holders’ vote during the reporting period?** No

- **Item B.11.a - Have there been any material legal proceedings?:** No

- **Item B.11.b - Has any proceeding previously reported been terminated?:** No

- **Item B.12.a - Were any claims with respect to the Registrant filed under a fidelity bond?:** No

- **Item B.13.a - Are the Registrant's officers or directors covered under any insurance policy?:** Yes

- **Item B.13.a.i - If yes, were any claims filed under the policy during the reporting period?:** No

- **Item B.14 - Did an affiliated person provide any form of financial support to the Registrant?:** No

- **Item B.15.a.i - Release numbers:**
  - IC-26419
  - IC-20797

### Item B.16. Principal underwriters.

**Principal underwriter Record: 1**

- **i. Full name:** ALPS Distributors, Inc.

- **ii. SEC file number:** 008-34626

- **iii. CRD number:** 000016853

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** CO

- **vi. Foreign country, if applicable:** US

- **vii. Is the principal underwriter an affiliated person...?:** No

- **b. Have any principal underwriters been hired or terminated during the reporting period?** No

### Item B.17. Independent public accountant.

**Public accountant Record: 1**

- **a. Full Name:** PricewaterhouseCoopers LLP

- **b. PCAOB Number:** 238

- **c. LEI, if any:** 5493002GVO7EO8RNNS37

- **d. State, if applicable:** MA

- **e. Foreign country, if applicable:** US

- **f. Has the independent public accountant changed since the last filing?** No

- **Item B.19 - Did an independent public accountant issue an opinion other than an unqualified opinion?:** No

- **Item B.20 - Have there been material changes in the method of valuation?:** No

- **Item B.21 - Have there been any changes in accounting principles or practices?:** No

- **Item B.22.a - Were any payments made to shareholders as a result of an error in calculating NAV?:** No

- **Item B.23 - Did the Registrant pay any dividend or make any distribution required to be accompanied by a written statement?:** No

## Part E: Additional Questions for ETFs and ETMFs

### —

**Item E.1 - Exchange**

- **Exchange:** ARCX

- **Ticker:** MDY

**Item E.2 - Authorized Participants**

| Name                                                          | Purchase Value    | Redeem Value      |
|:---|:---|:---|
| J.P. Morgan Securities LLC                                    | $0.00             | $58,082,129.51    |
| UBS Securities LLC                                            | $0.00             | $0.00             |
| ABN AMRO Clearing Chicago LLC                                 | $1,219,944,003.17 | $1,318,426,201.87 |
| Wells Fargo Securities, LLC                                   | $69,489,520.61    | $20,655,036.78    |
| ING Financial Markets LLC                                     | $0.00             | $0.00             |
| Merrill Lynch Professional Clearing Corp.                     | $1,819,660,476.82 | $2,587,262,475.01 |
| National Bank of Canada Financial Inc.                        | $0.00             | $0.00             |
| Citigroup Global Markets, Inc.                                | $21,417,382.87    | $56,691,550.23    |
| Cowen and Company, LLC                                        | $0.00             | $0.00             |
| Goldman Sachs & Co. LLC                                       | $5,173,849,993.26 | $2,846,825,344.83 |
| Mirae Asset Securities (USA) Inc.                             | $0.00             | $0.00             |
| Deutsche Bank Securities Inc.                                 | $0.00             | $0.00             |
| Nomura Securities International, Inc.                         | $0.00             | $0.00             |
| Virtu Americas LLC                                            | $136,472,740.72   | $0.00             |
| National Financial Services LLC                               | $0.00             | $0.00             |
| Jefferies LLC                                                 | $0.00             | $0.00             |
| Jane Street Capital LLC                                       | $0.00             | $0.00             |
| TD Prime Services LLC                                         | $0.00             | $0.00             |
| Interactive Brokers LLC                                       | $0.00             | $0.00             |
| Mizuho Securities USA LLC                                     | $24,631,602.34    | $23,915,703.42    |
| RBC Capital Markets, LLC                                      | $77,458,359.99    | $1,251,180,494.10 |
| Morgan Stanley & Co. LLC                                      | $239,001,496.53   | $558,711,124.05   |
| BNP Paribas Securities Corp (FKA BNP Paribas Prime Brokerage) | $154,438,491.31   | $45,827,887.96    |
| Citadel Securities LLC                                        | $1,216,802,942.09 | $1,905,766,238.82 |
| Barclays Capital Inc.                                         | $681,123,407.76   | $240,410,373.48   |
| BMO Capital Markets Corp.                                     | $0.00             | $0.00             |
| Credit Suisse Securities (USA) LLC                            | $60,100,785.85    | $107,545,472.68   |
| Natixis Securities Americas LLC                               | $0.00             | $0.00             |
| SG Americas Securities, LLC                                   | $3,952,571,595.67 | $4,247,067,854.14 |
| IBKR Securities Service LLC                                   | $0.00             | $0.00             |

**Item E.3 - Creation Units**

- **a. Number of Fund shares required to form a creation unit:** 25,000.00

- **b.i. Average percentage of value composed of cash (purchased):** 0.23%

- **c.i. Average percentage of value composed of cash (redeemed):** 0.24%

- **d.i.2. Average transaction fee (dollars for one or more units, purchased):** $3,000.00

- **d.i.3. Average transaction fee (percentage of value, purchased):** 0.00%

- **Item E.5 - Is the Fund an 'In-Kind Exchange-Traded Fund'?** Yes

## N-CEN: Part G: Attachments

**Item G.1a. Attachments.**

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

## N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to a be signed on its behalf by the undersigned hereunto duly authorized.

**Registrant:** SPDR S&P MIDCAP 400 ETF TRUST

**Date:** 2023-03-10

**Signature:** Mel Kong

**Title:** Director of ETF Fund Administration of BNY Mellon Asset Servicing