Form 485BXT Engine No. 1 ETF Trust
As filed with the U.S. Securities and Exchange Commission on December 8, 2022
Securities Act File No. 333-249926
Investment Company Act File No. 811-23617
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933 | ☒ | |
Pre-Effective Amendment No. | ||
Post-Effective Amendment No. 11 | ||
AND | ||
THE INVESTMENT COMPANY ACT OF 1940 | ☒ | |
Amendment No. 14 |
Engine No. 1 ETF Trust
(Exact Name of Registrant as Specified in its Charter)
c/o Brown Brothers Harriman & Co.
50 Post Office Square
Boston, MA 02110-1548
(Address of Principal Executive Offices)
Registrant’s Telephone Number, including Area Code: (617) 772-1818
Jennifer Grancio
c/o Cogency Global Inc.
850 New Burton Road, Suite 201
Dover, DE 19904
(Name and address of agent for service)
Copy to:
Brian McCabe
Ropes & Gray LLP
800 Boylston Street
Boston MA 02199
Telephone Number: (617) 951-7000
Approximate Date of Proposed Public Offering: As soon as practicable after the effective date of this Registration Statement.
It is proposed that this filing become effective (check appropriate box)
☐ | immediately upon filing pursuant to paragraph (b) |
☒ | on December 23, 2022 pursuant to paragraph (b) |
☐ | 60 days after filing pursuant to paragraph (a)(1) |
☐ | on [date] pursuant to paragraph (a)(1) |
☐ | 75 days after filing pursuant to paragraph (a)(2) |
☐ | on [date] pursuant to paragraph (a)(2) of rule 485. |
If appropriate check the following box:
☒ | This post-effective amendment designates a new effective date for a previously filed post-effective amendment. |
EXPLANATORY NOTE
Parts A and B to Engine No. 1 ETF Trust’s (the “Registrant”) Post-Effective Amendment No. 3 to the Registration Statement under the Securities Act of 1933, as amended (the “Securities Act”), and Amendment No. 6 to the Registrant’s Registration Statement under the Investment Company Act of 1940, as amended (the “1940 Act”), filed with the Securities and Exchange Commission on June 24, 2022 (the “Post-Effective Amendment”) are incorporated herein by reference.
The Registrant is submitting this post-effective amendment pursuant to Rule 485(b)(1)(v) under the Securities Act and is designating December 23, 2022 as the new effective date for the Post-Effective Amendment filed pursuant to Rule 485(a) under the Securities Act on June 24, 2022, which contains the Prospectus and the Statement of Additional Information (“SAI”) describing Engine No. 1 Transform Supply Chain ETF, a series of the Registrant. The Post-Effective Amendment was scheduled to become effective on December 9, 2022.
This Post-Effective Amendment relates solely to Engine No. 1 Transform Supply Chain ETF. Information contained in the Registrant's Registration Statement relating to any other series of the Registrant is neither amended nor superseded hereby.
PART C: OTHER INFORMATION
Item 28. Exhibits
(b) | Amended and Restated By-Laws of the Registrant dated February 9. 2021 (the “By-Laws”) is incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(c)(1) | Portions of the Declaration relating to shareholders’ rights are incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(c)(2) | Portions of the By-Laws relating to shareholders’ rights are incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(e)(1) | Distribution Agreement between the Registrant and Foreside Financial Services LLC (“Foreside”) is incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(e)(2) | Distribution Services Agreement between the Adviser and Foreside is incorporated by reference to the Registrant’s Registration Statement filed May 28, 2021. |
(f) | Not Applicable. |
(g) | Custody Agreement between the Registrant and Brown Brothers Harriman & Co. (“BBH”) is incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(h)(1) | Administrative and Transfer Agency Agreement between the Registrant and BBH is incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(h)(2) | Form of Authorized Participant Agreement is incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(i) | Opinion and Consent of Counsel, to be filed by amendment. |
(j) | Not Applicable. |
(k) | Not Applicable. |
(l) | Engine No. 1 ETF Initial Capital Agreement dated April 7, 2021 is incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(m) | Not Applicable. |
(n) | Not Applicable. |
(o) | Not Applicable. |
(p)(1) | Code of Ethics of the Registrant is incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(p)(2) | Code of Ethics of the Adviser is incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(p)(3) | Code of Ethics of Foreside is incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(q)(1) | Powers of Attorney for Jennifer Grancio, Jack Gee, and Elaine Orr, each dated April 6, 2021, are incorporated by reference to the Registrant’s Registration Statement filed April 23, 2021. |
(q)(2) | Power of Attorney for Scott Ebner, dated May 26, 2021, is incorporated by reference to the Registrant’s Registration Statement filed May 28, 2021. |
Item 29. Persons Controlled by or Under Common Control with the Fund
Not applicable.
Item 30. Indemnification
Reference is made to the Declaration incorporated by reference to the Registrant’s Registration Statement on Form N-1A (Registration Nos. 333-249926 and 811-23617) filed April 23, 2021.
Nothing contained in the Declaration shall indemnify, hold harmless or protect any officer or trustee from or against any liability to the Trust or any shareholder to which such person to the extent such indemnification is prohibited by applicable federal law.
Item 31. Business and Other Connections of the Investment Adviser
See “Management and Other Service Providers” in the SAI. Information as to the directors and officers of the Adviser is included in its Form ADV filed with the SEC and is incorporated herein by reference thereto.
Item 32. Principal Underwriters
Item 32(a) | Foreside Financial Services, LLC (the “Distributor”) serves as principal underwriter for the following investment companies registered under the 1940 Act: |
1. | 13D Activist Fund, Series of Northern Lights Fund Trust |
2. | 2nd Vote Funds |
3. | A3 Alternative Credit Fund |
4. | AAMA Equity Fund, Series of Asset Management Fund |
5. | AAMA Income Fund, Series of Asset Management Fund |
6. | Advisers Investment Trust |
7. | AltShares Trust |
8. | BMO Funds, Inc. |
9. | BMO LGM Frontier Markets Equity Fund |
10. | Boston Trust Walden Funds (f/k/a The Boston Trust & Walden Funds) |
11. | Bow River Capital Evergreen Fund |
12. | Conversus StepStone Private Markets |
13. | Cook & Bynum Funds Trust |
14. | Datum One Series Trust |
15. | Diamond Hill Funds |
16. | Driehaus Mutual Funds |
17. | Emles Trust |
18. | Engine No. 1 ETF Trust |
19. | FlowStone Opportunity Fund |
20. | Inspire 100 ETF, Series of Northern Lights Fund Trust IV |
21. | Inspire Corporate Bond Impact ETF, Series of Northern Lights Fund Trust IV |
22. | Inspire Faithward Large Cap Momentum ESG ETF, Series of Northern Lights Fund Trust IV |
23. | Inspire Faithward Mid Cap Momentum ESG ETF, Series of Northern Lights Fund Trust IV |
24. | Inspire Global Hope ETF, Series of Northern Lights Fund Trust IV |
25. | Inspire International ESG ETF, Series of Northern Lights Fund Trust IV |
26. | Inspire Small Mid Cap Impact ETF, Series of Northern Lights Fund Trust IV |
27. | Inspire Tactical Balanced ESG ETF, Series of the Northern Lights Fund Trust IV |
28. | Pax World Funds Series Trust |
29. | Pax World Funds Series Trust III |
30. | Praxis Mutual Funds |
31. | Primark Private Equity Investments Fund |
32. | Rimrock Funds Trust |
33. | SA Funds – Investment Trust |
34. | Sequoia Fund, Inc. |
35. | Siren ETF Trust |
36. | Simplify Exchange Traded Funds |
37. | Zacks Trust |
Item 32(b) | The following are the Officers and Manager of the Distributor. The Distributor’s main business address is Three Canal Plaza, Suite 100, Portland, Maine 04101. |
Name | Address | Position with Underwriter | Position with Registrant | |||
Richard J. Berthy | Three Canal Plaza, Suite 100, Portland, ME 04101 | President, Treasurer and Manager | None | |||
Mark A. Fairbanks | Three Canal Plaza, Suite 100, Portland, ME 04101 | Vice President | None | |||
Teresa Cowan | 111 E. Kilbourn Avenue, Suite 2200, Milwaukee, WI 53202 | Vice President | None | |||
Jennifer K. DiValerio | 899 Cassatt Road, 400 Berwyn Park, Suite 110, Berwyn, PA 19312 | Vice President | None | |||
Susan K. Moscaritolo | Three Canal Plaza, Suite 100, Portland, ME 04101 | Vice President and Chief Compliance Officer | None | |||
Jennifer E. Hoopes | Three Canal Plaza, Suite 100, Portland, ME 04101 | Secretary | None |
Item 32(c) | Not applicable. |
Item 33. Location of Accounts and Records
The books, accounts and other documents required by Section 31(a) under the 1940 Act and the rules promulgated thereunder are maintained in the physical possession of Engine No. 1 ETF Trust, located at 710 Sansone Street, San Francisco, CA, 94111 and Brown Brothers Harriman & Co., 50 Post Office Square, Boston, MA 02110-1548. The Distributor will maintain all records relating to its services as distributor of the Registrant at Three Canal Plaza, Suite 100, Portland, ME 04101.
Item 34. Management Services
Not applicable.
Item 35. Undertakings
Not applicable.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets all of the requirements for effectiveness of this Registration Statement under Rule 485(b) under the Securities Act of 1933 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the city of San Francisco and State of California on this 8th day of December, 2022.
Engine No. 1 ETF Trust | |
/s/ Jennifer Grancio | |
Name: Jennifer Grancio | |
Title: President and Principal Executive Officer |
Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed below by the following persons in the capacities and on the dates indicated.
Name | Title | Date | ||
* | Trustee | December 8, 2022 | ||
Jack Gee | ||||
/s/ Jennifer Grancio | Trustee, President and Principal Executive Officer | December 8, 2022 | ||
Jennifer Grancio | ||||
* | Trustee | December 8, 2022 | ||
Elaine Flash | ||||
/s/ Josh Hunter | Chief Financial Officer and Treasurer (Principal Financial Officer) | December 8, 2022 | ||
Josh Hunter | ||||
*By: | ||||
/s/ Jennifer Grancio | ||||
Jennifer Grancio Attorney-in-Fact |
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