0001104659-21-083356.txt : 20210621 0001104659-21-083356.hdr.sgml : 20210621 20210621135659 ACCESSION NUMBER: 0001104659-21-083356 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20210621 DATE AS OF CHANGE: 20210621 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Engine No. 1 ETF Trust CENTRAL INDEX KEY: 0001831313 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 8-A12B SEC ACT: 1934 Act SEC FILE NUMBER: 001-40520 FILM NUMBER: 211029773 BUSINESS ADDRESS: STREET 1: 850 NEW BURTON ROAD, SUITE 201 CITY: DOVER STATE: DE ZIP: 19904 BUSINESS PHONE: (212) 756-2000 MAIL ADDRESS: STREET 1: 850 NEW BURTON ROAD, SUITE 201 CITY: DOVER STATE: DE ZIP: 19904 FORMER COMPANY: FORMER CONFORMED NAME: Deer Lane ETF Trust DATE OF NAME CHANGE: 20201104 8-A12B 1 tm2119908-1_8a12b.htm FORM 8-A12B

 

FORM 8-A

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES

PURSUANT TO SECTION 12(b) or (g) OF

THE SECURITIES EXCHANGE ACT OF 1934

 

 

ENGINE NO. 1 ETF TRUST

(Exact name of registrant as specified in its charter)

 

State of Delaware See below
(State of incorporation or organization) (I.R.S. Employer Identification No.)
   
710 Sansome Street
San Francisco, CA		 94111
(Address of Principal Executive Offices) (Zip Code)

 

Securities to be registered pursuant to Section 12(b) of the Act:

 

Title of Each Class
to be so Registered  		   Name of the Exchange on which
Each Class is to be so Registered		   I.R.S. Employer
Identification Number
         
Shares of beneficial interest,
no par value per share, of:
         
Engine No. 1 Transform 500 ETF       Cboe BZX Exchange, Inc.   86-6455160
         
Engine No. 1 Transform Climate ETF   Cboe BZX Exchange, Inc.   87-6327833

 

If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), check the following box. x

 

If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following box. ¨

 

If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box. ¨

 

Securities Act registration statement file number to which this form relates: 333-249926

 

Securities to be registered pursuant to Section 12(g) of the Exchange Act: None.

 

 

 

 

INFORMATION REQUIRED IN REGISTRATION STATEMENT

 

Item 1. Description of Registrant’s Securities to be Registered.

 

A description of the shares of beneficial interest, no par value, of Engine No. 1 Transform 500 ETF and Engine No. 1 Transform Climate ETF, each a series of Engine No. 1 ETF Trust (the “Registrant”), is incorporated by reference to Pre-Effective Amendment No. 2 to the Registrant’s registration statement on Form N-1A (the “Registration Statement”), filed with the Securities and Exchange Commission on May 28, 2021 (Files No. 333-249926; 811-23617). Any form of supplement to the Registration Statement that is subsequently filed is hereby also incorporated by reference herein.

 

Item 2. Exhibits.

 

1.Registrant’s Certificate of Trust, incorporated by reference to Exhibit (a)(1)(A) to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-249926; 811-23617), as filed with the Securities and Exchange Commission on November 6, 2020.

 

2.Registrant’s Certificate of Amendment to Certificate of Trust, incorporated by reference to Exhibit (a)(1)(B) to Pre-Effective Amendment No. 1 to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-249926; 811-23617), as filed with the Securities and Exchange Commission on April 23, 2021.

 

3.Registrant’s Amended and Restated Agreement and Declaration of Trust, incorporated by reference to Exhibit (a)(2)(B) to Pre-Effective Amendment No. 1 to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-249926; 811-23617), as filed with the Securities and Exchange Commission on April 23, 2021.

 

4.Registrant’s Amended and Restated By-Laws, incorporated by reference to Exhibit (b)(1)(B) to Pre-Effective Amendment No. 1 to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-249926; 811-23617), as filed with the Securities and Exchange Commission on April 23, 2021.

 

 

SIGNATURE

 

Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has duly caused this registration statement on Form 8-A to be signed on its behalf by the undersigned, thereto duly authorized.

 

  Engine No. 1 ETF Trust  
  (Registrant)  
       
       
  Date: June 21, 2021  
  By: /s/ Jennifer Grancio  
  Name: Jennifer Grancio  
  Title: President of the Trust