As filed with the Securities and Exchange Commission on April 3, 2020 

  

1933 Act Registration No. 333-200933 

1940 Act Registration No. 811-23013 

  

  

  

UNITED STATES 

SECURITIES AND EXCHANGE COMMISSION 

Washington, D.C. 20549  

  

FORM N-1A 

  

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 þ 

  

Pre-Effective Amendment No. _______  q 

Post-Effective Amendment No. 256 þ 

  

and/or 

  

REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 þ 

Amendment No. 259 þ  

(Check appropriate box or boxes) 

  

GOLDMAN SACHS ETF TRUST 

(Exact Name of Registrant as Specified in Charter) 

  

200 West Street 

New York, New York 10282
(Address of Principal Executive Offices) 

  

Registrant’s Telephone Number, including Area Code: (212) 902-1000 

CAROLINE L. KRAUS, ESQ. 

Goldman Sachs & Co. LLC 

200 West Street 

New York, New York 10282 

(Name and Address of Agent for Service) 

  

Copies to: 

STEPHEN H. BIER, ESQ. 

ALLISON M. FUMAI, ESQ. 

Dechert LLP 

1095 Avenue of the Americas 

New York, New York 10036 

  

Approximate Date of Proposed Public Offering:  As soon as practicable after the effective date of the Registration Statement 

  

It is proposed that this filing will become effective (check appropriate box) 

 

oimmediately upon filing pursuant to paragraph (b) 

xon May 1, 2020 pursuant to paragraph (b)  

o60 days after filing pursuant to paragraph (a)(1) 

oon (date) pursuant to paragraph (a)(1) 

o75 days after filing pursuant to paragraph (a)(2) 

oon (date) pursuant to paragraph (a)(2) of rule 485. 

If appropriate, check the following box: 

xthis post-effective amendment designates a new effective date for a previously filed post-effective amendment. 

  

Title of Securities Being Registered:  

  

Shares of the Goldman Sachs Energy Infrastructure Enhanced ETF 

 

 

 

Explanatory Note 

Post-Effective Amendment No. 243 (the “Amendment”) to the Registration Statement of Goldman Sachs ETF Trust was filed pursuant to Rule 485(a) under the Securities Act of 1933 on January 21, 2020 to register shares of Goldman Sachs Energy Infrastructure Enhanced ETF. Pursuant to Rule 485(a), the Amendment would have become effective on April 5, 2020. This Post-Effective Amendment No. 256 is being filed pursuant to Rule 485(b)(1)(iii) for the purpose of designating May 1, 2020 as the new date upon which the Amendment shall become effective. This Post-Effective Amendment No. 256 incorporates by reference the information contained in Parts A and B of the Amendment. Part C is filed herewith. 

  

 

 

 

PART C: OTHER INFORMATION 

Item 28. Exhibits 

(c)

Not applicable. 

(f)

Not applicable. 

  

  

  

  

  

  

  

  

  

  

  

  

(i)

Opinion and Consent of Dechert LLP (to be filed by amendment) 

(j)

Not applicable. 

(k)

Not applicable. 

(n)

Not applicable. 

 

  

Item 29. Persons Controlled by or Under Common Control with the Fund 

Not applicable. 

  

 

Item 30. Indemnification 

Article VII, Section 7.5 of the Amended and Restated Declaration of Trust of the Registrant, a Delaware statutory trust, provides for indemnification of the Trustees, officers and employees of the Registrant by the Registrant, subject to certain limitations. The Declaration of Trust is incorporated by reference to Exhibit (a).  

Section 6 of the Distribution Agreement between the Registrant and Distributor dated March 26, 2015, provides that the Registrant will indemnify Distributor against certain liabilities, subject to certain conditions. A copy of the Distribution Agreement is incorporated by reference as Exhibit (e), to the Registrant’s Registration Statement.  

Fund and trustees and officers liability policies purchased by the Registrant, Goldman Sachs MLP Income Opportunities Fund, Goldman Sachs MLP and Energy Renaissance Fund, Goldman Sachs Credit Income Fund and Goldman Sachs Real Estate Diversified Income Fund insure such persons and their respective trustees, partners, officers and employees, subject to the policies’ coverage limits and exclusions and varying deductibles, against loss resulting from claims by reason of any act, error, omission, misstatement, misleading statement, neglect or breach of duty. 

  

Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers or persons controlling the registrant pursuant to the foregoing provisions, the Registrant has been informed that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is therefore unenforceable. 

  

Item 31. Business and Other Connections of Investment Adviser 

  

Goldman Sachs Asset Management, L.P. (“GSAM”) is an indirect wholly-owned subsidiary of The Goldman Sachs Group, Inc. and serves as investment adviser to the Registrant. GSAM is engaged in the investment advisory business. GSAM is part of The Goldman Sachs Group, Inc., a public company that is a bank holding company, financial holding company and a world-wide, full-service financial services organization. GSAM Holdings LLC is the general partner and principal owner of GSAM. Information about the officers and partners of GSAM is included in their Form ADV filed with the Commission (registration number 801-37591) and is incorporated herein by reference.  

Item 32. Principal Underwriters  

 

(a) ALPS Distributors, Inc. acts as the distributor for the Registrant and the following investment companies: 1WS Credit Income Fund, 1290 Funds, Aberdeen Standard Investments ETFs, ALPS Series Trust, The Arbitrage Funds, AQR Funds, Axonic Alternative Income Fund, Barings Funds Trust, BBH Trust, Bluerock Total Income + Real Estate Fund, Brandes Investment Trust, Bridge Builder Trust, Broadstone Real Estate Access Fund, Brown Advisory Funds, Brown Capital Management Mutual Funds, CC Real Estate Income Fund, Centre Funds, CION Ares Diversified Credit Fund, Columbia ETF Trust, Columbia ETF Trust I, Columbia ETF Trust II, CRM Mutual Fund Trust, CSOP ETF Trust, Cullen Funds Trust, DBX ETF Trust, Flat Rock Opportunity Fund, Financial Investors Trust, Firsthand Funds, FS Credit Income Fund, FS Energy Total Return Fund, FS Series Trust, FS Multi-Alternative Income Fund, Goehring & Rozencwajg Investment Funds, Goldman Sachs ETF Trust, Griffin Institutional Access Credit Fund, Griffin Institutional Access Real Estate Fund, Hartford Funds Exchange-Traded Trust, Hartford Funds NextShares Trust, Heartland Group, Inc., Holland Series Fund, Inc., Index Funds, IndexIQ Active ETF Trust, Index IQ ETF Trust, Infusive US Trust, James Advantage Funds, Janus Detroit Street Trust, Lattice Strategies Trust, Litman Gregory Funds Trust, Longleaf Partners Funds Trust, M3Sixty Funds Trust, Mairs & Power Funds Trust, Meridian Fund, Inc., Natixis ETF Trust, Pax World Series Trust I, Pax World Funds Trust III, Principal Exchange-Traded Funds, Reality Shares ETF Trust, Resource Credit Income Fund, Resource Real Estate Diversified Income Fund, RiverNorth Funds, Sierra Total Return Fund, Smead Funds Trust, SPDR Dow Jones Industrial Average ETF Trust, SPDR S&P 500 ETF Trust, SPDR S&P MidCap 400 ETF Trust, Sprott ETF Trust, Stadion Investment Trust, Stone Harbor Investment Funds, Stone Ridge Trust, Stone Ridge Trust II, Stone Ridge Trust III, Stone Ridge Trust IV, Stone Ridge Trust V, USCF ETF Trust, Wasatch Funds, WesMark Funds, Wilmington Funds and XAI Octagon Credit Trust. 

  

(b) To the best of Registrant’s knowledge, the directors and executive officers of ALPS Distributors, Inc., are as follows: 

  

Name* 

Position with Underwriter 

Positions with Fund 

Bradley J. Swenson 

President, Chief Operating Officer, Director 

None 

Robert J. Szydlowski 

Senior Vice President, Chief Technology Officer 

None 

Eric T. Parsons 

Vice President, Controller and Assistant Treasurer 

None 

Joseph J. Frank** 

Secretary 

None 

Patrick J. Pedonti ** 

Vice President, Treasurer and Assistant Secretary 

None 

Richard C. Noyes 

Senior Vice President, General Counsel, Assistant Secretary 

None 

Steven Price 

Senior Vice President, Chief Compliance Officer 

None 

Liza Orr 

Vice President, Senior Counsel 

None 

Jed Stahl 

Vice President, Senior Counsel 

None 

Josh Eihausen 

Vice President, Associate Senior Counsel 

None 

James Stegall 

Vice President 

None 

Gary Ross 

Senior Vice President 

None 

Kevin Ireland 

Senior Vice President 

None 

Mark Kiniry 

Senior Vice President 

None 

Stephen J. Kyllo 

Vice President, Deputy Chief Compliance Officer 

None 

Hilary Quinn 

Vice President 

None 

Jennifer Craig 

Assistant Vice President 

None 

* Except as otherwise noted, the principal business address for each of the above directors and executive officers is 1290 Broadway, Suite 1100, Denver, Colorado 80203. 

** The principal business address for Messrs. Pedonti and Frank is 333 W. 11th Street, 5th Floor, Kansas City, Missouri 64105. 

(c) Not applicable. 

  

Item 33. Location of Accounts and Records 

  

 

The Declaration of Trust, By-laws and minute books of the Registrant and certain investment adviser records will be in the physical possession of GSAM, 200 West Street, New York, New York 10282. All other accounts, books and other documents required to be maintained under Section 31(a) of the Investment Company Act of 1940 and the rules promulgated thereunder will be in the physical possession of The Bank of New York Mellon, 240 Greenwich Street, New York, New York 10286.  

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 the requirements for effectiveness of this Post-Effective Amendment No. 256 under Rule 485(b) under the Securities Act of 1933 and has duly caused this Post-Effective Amendment No. 256 to its Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City and State of New York on the 3rd day of April, 2020.  

GOLDMAN SACHS ETF TRUST 

(A Delaware statutory trust) 

By:

/s/ Caroline L. Kraus                               

Caroline L. Kraus 

Secretary 

  

Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment to said Registration Statement has been signed below by the following persons in the capacities and on the date indicated. 

  

Name 

Title 

Date 

  

  

  

1James A. McNamara         

President (Chief Executive Officer) and Trustee 

April 3, 2020 

James A. McNamara 

  

  

  

  

  

1Joseph F. DiMaria               

Treasurer, Principal Financial Officer and Principal Accounting Officer 

April 3, 2020 

Joseph F. DiMaria 

  

  

  

  

  

1Caroline Dorsa                    

Trustee 

April 3, 2020 

Caroline Dorsa 

  

  

  

  

  

1Linda A. Lang                    

Trustee 

April 3, 2020 

Linda A. Lang 

  

  

  

  

  

1Michael Latham          

Trustee 

April 3, 2020 

Michael Latham 

  

  

  

  

  

1Lawrence W. Stranghoener          

Chairman and Trustee 

April 3, 2020 

Lawrence W. Stranghoener 

  

  

  

  

  

By: /s/ Caroline L. Kraus       

  

  

Caroline L. Kraus, 

  

  

Attorney-In-Fact 

  

  

  

  

  

1 

Pursuant to powers of attorney previously filed.  

  

  

 

CERTIFICATE 

  

The undersigned Secretary for Goldman Sachs ETF Trust (the “Trust”) hereby certifies that the Board of Trustees of the Trust duly adopted the following resolution at a meeting of the Board held on September 18, 2019. 

  

RESOLVED, that the Trustees and Officers of the Trust who may be required to execute any amendments to the Trust’s Registration Statement be, and each hereby is, authorized to execute a power of attorney appointing James A. McNamara, Caroline L. Kraus, and Robert Griffith, jointly and severally, their attorneys-in-fact, each with power of substitution, for said Trustees and Officers in any and all capacities to sign the Registration Statement under the Securities Act and the 1940 Act of the Trust and any and all amendments to such Registration Statement, and to file the same, with exhibits thereto, and other documents in connection therewith, with the SEC, the Trustees and Officers hereby ratifying and confirming all that each of said attorneys-in-fact, or his or her substitute or substitutes, may do or may have caused to be done by virtue hereof. 

  

Dated: April 3, 2020 

  

  

/s/ Caroline L. Kraus 

Caroline L. Kraus, 

Secretary 

  

  

  

  

  

  

Goldman Sachs Just Us La... (AMEX:JUST)
Historical Stock Chart
From Jun 2024 to Jul 2024 Click Here for more Goldman Sachs Just Us La... Charts.
Goldman Sachs Just Us La... (AMEX:JUST)
Historical Stock Chart
From Jul 2023 to Jul 2024 Click Here for more Goldman Sachs Just Us La... Charts.