false 0001222333 0001222333 2023-09-12 2023-09-12
 


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): September 12, 2023
 

 
SPDR® GOLD TRUST
SPONSORED BY WORLD GOLD TRUST SERVICES, LLC
(Exact name of registrant as specified in its charter)
 

 
 
New York
001-32356
81-6124035
 
 
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
 
 
c/o World Gold Trust Services, LLC
685 Third Avenue, Suite 2702
New York, New York 10017
(Address of principal executive offices; zip code)
 
Registrants telephone number, including area code: (212) 317-3800
(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
 
Name of each exchange on which registered
SPDR® Gold Shares
 
GLD®
 
NYSE Arca, 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  
 
If 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 5.02         Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
 
Effective September 12, 2023, World Gold Trust Services, LLC, the sponsor of SPDR® Gold Trust (the “Sponsor”), appointed James Lam to the Board of Directors and the Audit Committee of the Sponsor.
 
James Lam, age 62, has been President of James Lam & Associates, a risk management consulting firm serving global clients across all major industry sectors since April 2002. In a Euromoney survey, he was nominated by clients and peers as one of the world’s leading risk consultants. Previously, Mr. Lam served as Founder and President of ERisk, Partner of Oliver Wyman, and Chief Risk Officer of Fidelity Investments. In recognition for his leadership in the risk management community, Mr. Lam received the inaugural Risk Manager of the Year Award from the Global Association of Risk Professionals in 1997. Mr. Lam is currently serving as a board director of the FAIR Institute. His previous public and private board experience includes E*TRADE Financial, E*TRADE Bank, RiskLens, Recology, Covarity, and ERisk. Mr. Lam has served in board leadership roles including chairman of the board, vice chairman of the board, risk committee chairman, audit committee chairman, and compliance committee chairman. In recognition for his leadership in the corporate board community, Mr. Lam was named in the National Association of Corporate Directors (NACD) Directorship 100 in 2017 and 2018. Mr. Lam is the author of Enterprise Risk Management (Wiley, 2003; second edition, 2014), which has ranked #1 best-selling among 25,000 risk management titles on Amazon. The book has been translated into Chinese, Indonesian, Japanese, and Korean. His second book, Implementing Enterprise Risk Management, was published by Wiley in 2017. Mr. Lam graduated summa cum laude with a B.B.A. from Baruch College and received an M.B.A. with honors from UCLA.
 
 

 
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 thereunto duly authorized.
 
Date: September 12, 2023
 
SPDR® GOLD TRUST
   
(Registrant)*
     
     
   
By:
World Gold Trust Services, LLC as the Sponsor of the Registrant
       
   
By:
/s/ Joseph R. Cavatoni
     
Name:  Joseph R. Cavatoni
Title:    Principal Executive Officer
 

*
As the Registrant is a trust, this report is being filed on behalf of the Registrant by World Gold Trust Services, LLC, only in its capacity as the sponsor of the Registrant. The identified person signing this report is signing in his capacity as an authorized officer of World Gold Trust Services, LLC.
 
 
v3.23.2
Document And Entity Information
Sep. 12, 2023
Document Information [Line Items]  
Entity, Registrant Name SPDR® GOLD TRUST
Document, Type 8-K
Document, Period End Date Sep. 12, 2023
Entity, Incorporation, State or Country Code NY
Entity, File Number 001-32356
Entity, Tax Identification Number 81-6124035
Entity, Address, Address Line One 685 Third Avenue, Suite 2702
Entity, Address, City or Town New York
Entity, Address, State or Province NY
Entity, Address, Postal Zip Code 10017
City Area Code 212
Local Phone Number 317-3800
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Title of 12(b) Security SPDR® Gold Shares
Trading Symbol GLD®
Security Exchange Name NYSEArca
Entity, Emerging Growth Company false
Amendment Flag false
Entity, Central Index Key 0001222333

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