SEC Form SC 13G filed by Truist Financial Corporation

5/10/23 3:28:09 PM ET

Major Banks

Finance

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SC 13G 1 r13G_OAIB_METALS_ETF_04-23.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TEUCRIUM AILA LONG-SHORT BASE METALS STRATEGY ETF 53656G530 April 30, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 53656G530 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons Truist Financial Corporation as Parent Holding Company for Truist Advisory Services, Inc. an affiliated registered investment advisor. 56-0939887 2. Check the Appropriate Box if a Member of a Group (a) __________ (b) __________ 3. SEC Use Only 4. Citizenship or Place of Organization North Carolina Number of 5. Sole Voting Power 106,666. Shares Beneficially 6. Shared Voting Power 0. Owned by Each 7. Sole Dispositive Power 106,666. Reporting Person With 8. Shared Dispositive Power 0. 9. Aggregate Amount Beneficially Owned by Each Reporting Person 106,666. 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares* 11. Percent of Class Represented by Amount in Row (9) 53.333% 12. Type of Reporting Person* HC / IA UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Item 1. (a) Name of Issuer: LISTED FUNDS TRUST (b) Address of Issuer's Principal Executive Offices: 615 E. Michigan Street Milwaukee, WI 53202 Item 2. (a) Name of Person Filing: Truist Financial Corporation as Parent Holding Company for Truist Advisory Services, Inc. an affiliated Registered Investment advisor. (b) Address of Principal Business Office or, if none, Residence: 214 North Tryon Street Charolotte, NC 28202 (c) Citizenship: Truist Financial Corporation is a North Carolina Corporation; Truist Advisory Services, Inc. is a Delaware Corporation. (d) Title of Class of Securities: Exchange Traded Fund (e) CUSIP Number 53656G530 Item 3. If this statement is filed pursuant to SS240.13d-1(b) or 240.13-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) [X] An investment adviser in accordance with SS240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with SS240.13d-1(b)(1)(ii)(F); (g) [X] A parent holding company or control person in accordance with SS240.13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with SS240.13d-1(b)(1)(ii)(J). Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 106,666. (b) Percent of class: 53.333%. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 106,666. (ii) Shared power to vote or to direct the vote 0. (iii) Sole power to dispose or to direct the disposition of 106,666. (iv) Shared power to dispose or to direct the disposition of 0. Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person Various co-trustees may share the power to direct the receipt of income including dividends as well as the proceeds from sale of securities. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable Item 8. Identification and Classification of Members of the Group Not Applicable Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. May 10, 2023 Date /s/ Robert R Magill Signature Robert R Magill / Vice President Name / Title Truist Financial Corporation 214 North Tryon Street Charlotte, NC 28292 May 10, 2023 Ladies and Gentlemen: There is hereby transmitted for filing pursuant to Section 13(g) of the Securities and Exchange Act of 1934 and Rule 13G thereunder a Schedule 13G relating to beneficial ownership by Truist Financial Corporation and its subsidiaries of shares of First Trust NASDAQ Pharmaceuticals ETF. Please call the undersigned at (252) 246-2190 if you have any questions. Sincerely, /s/ Robert R Magill Vice President

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Date	Price Target	Rating	Analyst
7/9/2025	$48.00	Outperform → Mkt Perform	Keefe Bruyette
7/8/2025	$50.00	Mkt Perform → Outperform	Raymond James
6/26/2025	$55.00	Neutral → Buy	Citigroup
5/15/2025	$44.00	Hold	TD Cowen
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3/5/2025	$48.00 → $52.00	Neutral → Outperform	Robert W. Baird
1/7/2025	$50.00	Hold → Buy	HSBC Securities
8/9/2024		Underperform → Peer Perform	Wolfe Research

More analyst ratings

SEC Form SC 13G filed by Truist Financial Corporation

5/10/23 3:28:09 PM ET

$TFC

Major Banks

Finance

Get the next $TFC alert in real time by email

Recent Analyst Ratings for

$TFC

Date	Price Target	Rating	Analyst
7/9/2025	$48.00	Outperform → Mkt Perform	Keefe Bruyette
7/8/2025	$50.00	Mkt Perform → Outperform	Raymond James
6/26/2025	$55.00	Neutral → Buy	Citigroup
5/15/2025	$44.00	Hold	TD Cowen
4/2/2025		Outperform → Mkt Perform	Raymond James
3/5/2025	$48.00 → $52.00	Neutral → Outperform	Robert W. Baird
1/7/2025	$50.00	Hold → Buy	HSBC Securities
8/9/2024		Underperform → Peer Perform	Wolfe Research

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SEC Form SC 13G filed by Truist Financial Corporation

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Insider Purchases

Chairman & CEO Rogers William H Jr bought $1,659,781 worth of shares (34,180 units at $48.56), increasing direct ownership by 5% to 691,451 units (SEC Form 4)

Chairman & CEO Rogers William H Jr bought $2,518,908 worth of shares (57,300 units at $43.96), increasing direct ownership by 11% to 569,271 units (SEC Form 4)

Rogers William H Jr bought $280,480 worth of shares (10,000 units at $28.05), increasing direct ownership by 2% to 412,924 units (SEC Form 4)

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Insider Trading

SEC Form 4 filed by Chairman & CEO Rogers William H Jr

Chief Risk Officer Bender Bradley D sold $566,689 worth of shares (12,540 units at $45.19), decreasing direct ownership by 96% to 500 units (SEC Form 4)

Director Pruzan Jonathan was granted 2,697 units of Restricted Stock Units (SEC Form 4)

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Analyst Ratings

Truist downgraded by Keefe Bruyette with a new price target

Truist upgraded by Raymond James with a new price target

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Press Releases

Enterprise Financial Services Corp Announces Appointment of Lars C. Anderson to Board of Directors

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SEC Filings

Truist Financial Corporation filed SEC Form 8-K: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

SEC Form 10-Q filed by Truist Financial Corporation

SEC Form 13F-HR filed by Truist Financial Corporation

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Financials

Truist declares common and preferred stock dividends

Truist announces planned capital deployment and stress capital buffer requirement following release of 2025 CCAR results

Truist announces second-quarter 2025 earnings call details

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Large Ownership Changes