Stuart E Fross

20070239584, Oct 11, 2007

Apr 7, 2006

11/401497

Stuart Fross - Concord MA, US
Ian Johnson - Westborough MA, US

G06Q 40/00

70503600R

Selling exchange-traded fund (“ETF”) shares by an investment company receiving a pre-determined group of financial assets from an authorized participant in exchange for a number of ETF shares, the number of ETF shares corresponding to the group of financial assets, and the investment company purchasing a number of shares of an underlying fund, the number of shares corresponding to the group of financial assets. Redeeming ETF shares with an investment company holding a number of shares of an underlying fund by receiving ETF shares from an authorized participant, and redeeming the number of shares of the underlying fund for a first group of financial assets; obtaining a second group of financial assets; and transferring the second group of financial assets to the authorized participant.

20070294161, Dec 20, 2007

Jun 9, 2006

11/449954

Ian P. Johnson - Westborough MA, US
Stuart Evan Fross - Concord MA, US
Ralph Joseph Wolf - Lunenburg MA, US
Brian Walters - Holliston MA, US

G06Q 40/00

705 37

Among other things, receiving public information about an actively managed fund, selecting a group of financial assets, determining a group of weights corresponding to the group of financial assets thereby determining a weighted group of financial assets, the weights being determined based only on the public information, and publishing the contents of the weighted group of financial assets, wherein an expected valuation of the weighted group of financial assets is within a threshold percentage of an expected valuation of the actively managed fund.

20120005123, Jan 5, 2012

Sep 15, 2011

13/233228

Stuart Evan Fross - Boston MA, US
Ian P. Johnson - Westborough MA, US

G06Q 40/00

705 36 T, 705 37

An accounting system allows posting transactions to a general ledger of an Exchange Traded Fund. The accounting system includes a computer-assisted process that nets subscription and redemption orders that occurred over a particular time (e.g., one day) and records a transfer of securities into or out of the fund based on the net of the subscription and redemption orders.

20120143785, Jun 7, 2012

Feb 10, 2012

13/370492

Ian P. Johnson - Westborough MA, US
Stuart Evan Fross - Concord MA, US
Ralph Joseph Wolf - Lunenburg MA, US
Brian Walters - Holliston MA, US

G06Q 40/06
G06Q 40/04

705 36 R

Among other things, receiving public information about an actively managed fund, selecting a group of financial assets, determining a group of weights corresponding to the group of financial assets thereby determining a weighted group of financial assets, the weights being determined based only on the public information, and publishing the contents of the weighted group of financial assets, wherein an expected valuation of the weighted group of financial assets is within a threshold percentage of an expected valuation of the actively managed fund.