Truist Financial (TFC) discloses 16.47% holding — 115,310 shares (CUSIP 00162Q536)

Rhea-AI Filing Summary

Truist Financial Corporation amended a Schedule 13G/A to report beneficial ownership of 115,310 shares of an Exchange Traded Fund issued by ALPS ETF Trust (CUSIP 00162Q536). The filing states Truist holds 16.47% of the class and has sole dispositive power over 115,310 shares; voting power is listed as 0.00. The amendment is signed by Vice President Edward M. Kwiatkowski on 04/20/2026.

Insights

Corporate Governance Analyst

Truist reports a significant passive stake in an ALPS ETF holding substantial dispositive power with no voting authority.

Truist Financial Corporation, acting as parent for Truist Advisory Services, reports beneficial ownership of 115,310 shares representing 16.47% of the ETF class (CUSIP 00162Q536). The filing shows zero sole or shared voting power but full sole dispositive power over those shares, indicating control over sales but not proxy voting.

Key dependencies include whether this position is held for advisory clients or proprietary accounts; subsequent disclosures or amendments would clarify any changes in voting arrangements or percent ownership.

Key Figures

Shares beneficially owned: 115,310 shares Percent of class: 16.47% Sole dispositive power: 115,310 +2 more

5 metrics

Shares beneficially owned 115,310 shares Amount beneficially owned reported on Schedule 13G/A

Percent of class 16.47% Percent of the ETF class reported in Item 4(b)

Sole dispositive power 115,310 Number of shares with sole power to dispose (Item 4(c)(iii))

Sole voting power 0.00 Shares for which filer has sole power to vote (Item 4(c)(i))

Filing signature date 04/20/2026 Date the amendment was signed by the reporting officer

Key Terms

Schedule 13G/A, Beneficially owned, Sole dispositive power, CUSIP

4 terms

Schedule 13G/A regulatory

"Amendment No. 6 and the form type listed (Schedule 13G/A)"

A Schedule 13G/A is an amended public filing with the U.S. securities regulator that updates a previous Schedule 13G, disclosing when an individual or group holds a substantial (typically over 5%) stake in a company and is claiming a passive, non‑controlling intent. Investors monitor these updates because rising or falling holdings can signal changing confidence, potential future moves, or shifts in voting power — like watching a public ledger where large shareholders quietly adjust their positions.

Beneficially owned financial

"Item 4(a) | Amount beneficially owned: 115310"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

Sole dispositive power regulatory

"Item 4(c)(iii) | Sole power to dispose or to direct the disposition of: 115310"

Sole dispositive power is the exclusive legal authority to decide what happens to a security — for example, whether to sell, transfer, or retain shares — without needing anyone else’s permission. Investors care because it signals who truly controls the economic outcome of an investment: like holding the only key to a safe, the holder can realize gains or losses and may trigger regulatory reporting, insider rules, or influence over corporate ownership.

CUSIP market

"CUSIP No.: 00162Q536"

A CUSIP is a nine-character alphanumeric code that uniquely identifies a U.S. or Canadian financial security—such as a stock, bond, or fund share—like a Social Security number for an investment. It matters to investors because brokers, exchanges and record-keepers use the CUSIP to match trades, track ownership, settle transactions and pull accurate records, reducing errors and ensuring money and securities go to the right place.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/20/2026 - 11:14 AM Learn about SEC filing dates

FAQ

What stake does Truist Financial (TFC) report in the ALPS ETF (CUSIP 00162Q536)?

Truist reports beneficial ownership of 115,310 shares, representing 16.47% of the class. The filing lists the CUSIP as 00162Q536 and identifies Truist as the reporting parent holding company.

Does Truist have voting control over the reported ALPS ETF shares?

No. The filing lists 0.00 sole voting power and 0.00 shared voting power. It reports only sole dispositive power of 115,310 shares, indicating authority to direct dispositions but not to vote these shares.

Who filed the Schedule 13G/A amendment for TFC and when was it signed?

The Schedule 13G/A was filed by Truist Financial Corporation as parent for Truist Advisory Services, Inc., and was signed by Edward M. Kwiatkowski, Vice President, on 04/20/2026.

What does "sole dispositive power" mean in this filing?

"Sole dispositive power" means the filer has exclusive authority to decide on the sale or transfer of the reported 115,310 shares. The filing shows disposition authority but lists no voting power for those shares.

Is the reported position likely held for clients or Truist itself?

The filing identifies Truist as the parent holding company for an affiliated Registered Investment Advisor, suggesting the position may relate to advisory activities. The Schedule 13G/A text does not explicitly attribute holdings to client accounts or proprietary assets.

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No. 6)

ALPS ETF Trust

(Name of Issuer)

Exchange Traded Fund

(Title of Class of Securities)

00162Q536

(CUSIP Number)

03/31/2026

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Rule 13d-1(b)

Rule 13d-1(c)

Rule 13d-1(d)

schemaVersion:

SCHEDULE 13G

CUSIP Number(s): 00162Q536

1

Names of Reporting Persons

TRUIST FINANCIAL CORP

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

NORTH CAROLINA

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 0.00
6	Shared Voting Power 0.00
7	Sole Dispositive Power 115,310.00
8	Shared Dispositive Power 0.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

115,310.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

16.5 %

12

Type of Reporting Person (See Instructions)

IA, HC

SCHEDULE 13G

Item 1.
(a)	Name of issuer: ALPS ETF Trust
(b)	Address of issuer's principal executive offices: P.O. Box 328, P.O. Box 328, Denver, COLORADO, 80201-0328.
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 or principal business office or, if none, residence: 214 North Tryon Street Charlotte, 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 No.: 00162Q536
Item 3.	If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-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)	An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)	An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)	A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)	A savings associations 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)	A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
(k)	Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
Item 4.	Ownership
(a)	Amount beneficially owned: 115310
(b)	Percent of class: 16.47 %
(c)	Number of shares as to which the person has:
	(i) Sole power to vote or to direct the vote: 0
	(ii) Shared power to vote or to direct the vote: 0
	(iii) Sole power to dispose or to direct the disposition of: 115310
	(iv) Shared power to dispose or to direct the disposition of: 0
Item 5.	Ownership of 5 Percent or Less of a Class.
	Not Applicable
Item 6.	Ownership of more than 5 Percent on Behalf of Another Person.
	Not Applicable
Item 7.	Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
	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.

Certifications:

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, other than activities solely in connection with a nomination under § 240.14a-11.

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.

TRUIST FINANCIAL CORP

Signature:	Edward M. Kwiatkowski
Name/Title:	Vice President
Date:	04/20/2026