As filed with the Securities and Exchange Commission on September 25, 2019
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 | ☒ | |
| Pre-Effective Amendment No. | ☐ | |
| Post-Effective Amendment No. 214 | ☒ |
and/or
REGISTRATION STATEMENT
UNDER
| THE INVESTMENT COMPANY ACT OF 1940 | ☒ | |
| Amendment No. 217 | ☒ |
(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)
| ☐ |
immediately upon filing pursuant to paragraph (b) |
| ☒ |
on October 3, 2019 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. |
Title of Securities Being Registered:
Shares of the Goldman Sachs International Equity ETF, Goldman Sachs Emerging Markets Equity ETF, Goldman Sachs International Small Cap Equity ETF and Goldman Sachs U.S. Equity ETF
Explanatory Note
Post-Effective Amendment No. 207 (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 June 28, 2019 to register shares of Goldman Sachs International Equity ETF, Goldman Sachs Emerging Markets Equity ETF, Goldman Sachs International Small Cap Equity ETF and Goldman Sachs U.S. Equity ETF. Pursuant to Rule 485(a), the Amendment would have become effective on September 11, 2019. Post-Effective Amendment No. 212 was filed pursuant to Rule 485(b)(1)(iii) for the purpose of designating September 19, 2019 as the date upon which the Amendment would have become effective. Post-Effective Amendment No. 213 was filed pursuant to Rule 485(b)(1)(iii) for the purpose of designating September 26, 2019 as the date upon which the Amendment would have become effective. This Post-Effective Amendment No. 214 is being filed pursuant to Rule 485(b)(1)(iii) for the purpose of designating October 3, 2019 as the new date upon which the Amendment shall become effective. This Post-Effective Amendment No. 214 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 |
| (a) | (1) | Certificate of Trust of the Registrant dated December 16, 2009 (incorporated by reference from Pre-Effective Amendment No. 1 to the Trust’s registration statement, SEC File No. 333-200933, filed May 4, 2015) | ||
| (2) | Amended and Restated Declaration of Trust dated April 16, 2015 (incorporated by reference from Pre-Effective Amendment No. 1 to the Trust’s registration statement, SEC File No. 333-200933, filed May 4, 2015) | |||
| (3) | Form of Amended Schedule A dated September 18, 2019 to the Amended and Restated Agreement and Declaration of Trust dated April 16, 2015 (filed herewith) | |||
| (b) | By-laws dated December 18, 2014 (incorporated by reference from Pre-Effective Amendment No. 1 to the Trust’s registration statement, SEC File No. 333-200933, filed May 4, 2015) | |||
| (c) | Not applicable. | |||
| (d) | (1) | Management Agreement between Registrant and Goldman Sachs Asset Management, L.P. (with respect to ActiveBeta® Emerging Markets Equity ETF) (incorporated by reference from Pre- Effective Amendment No. 3 to the Trust’s registration statement, SEC File No. 333-200933, filed September 11, 2015) | ||
| (2) | Form of Management Agreement between Registrant and Goldman Sachs Asset Management, L.P. (with respect to ActiveBeta® Europe Equity ETF, ActiveBeta® International Equity ETF, ActiveBeta® Japan Equity ETF, ActiveBeta® U.S. Large Cap Equity ETF and ActiveBeta® U.S. Small Cap Equity ETF) (incorporated by reference from Post-Effective Amendment No. 10 to the Trust’s registration statement, SEC File No. 333-200933, filed May 25, 2016) | |||
| (3) | Form of Amended Annex A to the Management Agreement between Registrant and Goldman Sachs Asset Management, L.P. (with respect to all series of Registrant except ActiveBeta® Emerging Markets Equity ETF) (incorporated by reference from Post-Effective Amendment No. 202 to the Trust’s registration statement, SEC File No. 333-200933, filed May 10, 2019) | |||
| (e) | (1) | Distribution Agreement between Registrant and ALPS Distributors, Inc. (incorporated by reference from Post-Effective Amendment No. 126 to the Trust’s registration statement, SEC File No. 333-200933, filed August 27, 2018) | ||
| (2) | Form of Amendment to Distribution Agreement between Registrant and ALPS Distributors, Inc. (incorporated by reference from Post-Effective Amendment No. 126 to the Trust’s registration statement, SEC File No. 333-200933, filed August 27, 2018) | |||
| (f) | Not applicable. | |||
| (g) | (1) | Custody Agreement dated April 5, 2011 between Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (incorporated by reference from Post-Effective Amendment No. 279 to Goldman Sachs Trust’s registration statement, SEC File No. 33-17619, filed April 28, 2011) | ||
| (2) | Letter Amendment to the Custodian Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (incorporated by reference from Pre-Effective Amendment No. 2 to the Trust’s registration statement, SEC File No. 333-200933, filed August 7, 2015) | |||
| (3) | Letter Amendment dated October 20, 2015 to the Custodian Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (incorporated by reference from Post-Effective Amendment No. 518 to Goldman Sachs Trust’s registration statement, SEC File No. 33-17619, filed January 15, 2016) | |||
| (4) | Amendment dated January 6, 2016 to the Custodian Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (incorporated by reference from Post-Effective Amendment No. 523 to Goldman Sachs Trust’s registration statement, SEC File No. 33-17619, filed January 29, 2016) | |||
| (5) | Amendment dated March 1, 2016 to the Custodian Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (Goldman Sachs Financial Square Tax-Exempt Money Market Fund and Goldman Sachs Investor Tax-Exempt Money Market Fund) (incorporated by reference from Post-Effective Amendment No. 559 to Goldman Sachs Trust’s registration statement, SEC File No. 33-17619, filed May 20, 2016) | |||
| (6) | Amendment dated June 13, 2016 to the Custodian Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (Goldman Sachs Hedge Industry VIP ETF) (incorporated by reference from Post-Effective Amendment No. 93 to the Trust’s registration statement, SEC File No. 333-200933, filed December 22, 2017) | |||
| (7) | Amendment dated August 29, 2016 to the Custodian Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (Goldman Sachs TreasuryAccess 0-1 Year ETF) (incorporated by reference from Post-Effective Amendment No. 93 to the Trust’s registration statement, SEC File No. 333-200933, filed December 22, 2017) | |||
| (8) | Amendment dated April 5, 2017 to the Custodian Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (Goldman Sachs Access Emerging Markets Local Currency Bond ETF, Goldman Sachs Access High Yield Corporate Bond ETF and Goldman Sachs Access Investment Grade Corporate Bond ETF) (incorporated by reference from Post-Effective Amendment No. 93 to the Trust’s registration statement, SEC File No. 333-200933, filed December 22, 2017) | |||
| (9) | Amendment dated May 10, 2017 to the Custodian Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (Goldman Sachs Equal Weight U.S. Large Cap Equity ETF) (incorporated by reference from Post-Effective Amendment No. 93 to the Trust’s registration statement, SEC File No. 333-200933, filed December 22, 2017) | |||
| (10) | Amendment dated December 10, 2018 to the Custody Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (incorporated by reference from Post-Effective Amendment No. 202 to the Trust’s registration statement, SEC File No. 333-200933, filed May 10, 2019) | |||
| (h) | (1) | Transfer Agency and Service Agreement between Registrant and The Bank of New York Mellon (incorporated by reference from Pre-Effective Amendment No. 3 to the Trust’s registration statement, SEC File No. 333-200933, filed September 11, 2015) | ||
| (2) | Amendment dated December 10, 2018 to the Transfer Agency and Service Agreement between Registrant and The Bank of New York Mellon (incorporated by reference from Post-Effective Amendment No. 202 to the Trust’s registration statement, SEC File No. 333-200933, filed May 10, 2019) | |||
| (3) | Form of Authorized Participant Agreement (incorporated by reference from Pre-Effective Amendment No. 2 to the Trust’s registration statement, SEC File No. 333-200933, filed August 7, 2015) | |||
| (4) | Fund Administration and Accounting Agreement dated April 5, 2011 between Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (incorporated by reference from Post-Effective Amendment No. 279 to the Goldman Sachs Trust’s registration statement, SEC File No. 33-17619, filed April 28, 2011) | |||
| (5) | Letter Amendment to the Fund Administration and Accounting Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (incorporated by reference from Pre-Effective Amendment No. 2 to the Trust’s registration statement, SEC File No. 333-200933, filed August 7, 2015) | |||
| (6) | License Agreement between the Trust and Goldman Sachs Asset Management, L.P. (incorporated by reference from Pre-Effective Amendment No. 3 to the Trust’s registration statement, SEC File No. 333-200933, filed September 11, 2015) | |||
| (7) | Letter Amendment dated October 20, 2015 to the Fund Administration and Accounting Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (incorporated by reference from Post-Effective Amendment No. 3 to the Trust’s registration statement, SEC File No. 333-200933, filed February 8, 2016) | |||
| (8) | Amendment dated January 6, 2016 to the Fund Administration and Accounting Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (incorporated by reference from Post-Effective Amendment No. 523 to Goldman Sachs Trust’s registration statement, SEC File No. 33-17619, filed January 29, 2016) | |||
| (9) | Amendment dated March 1, 2016 to the Fund Administration and Accounting Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (Goldman Sachs Financial Square Tax-Exempt Money Market Fund and Goldman Sachs Investor Tax-Exempt Money Market Fund) (incorporated by reference from Post-Effective Amendment No. 559 to Goldman Sachs Trust’s registration statement, SEC File No. 33-17619, filed May 20, 2016) | |||
| (10) | Amendment dated December 10, 2018 to the Fund Administration and Accounting Agreement dated April 5, 2011 between Registrant, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust and The Bank of New York Mellon (incorporated by reference from Post-Effective Amendment No. 202 to the Trust’s registration statement, SEC File No. 333-200933, filed May 10, 2019) | |||
| (11) | Expense Limitation Agreement between Registrant and Goldman Sachs Asset Management, L.P. relating to Goldman Sachs ActiveBeta® Emerging Markets Equity ETF (incorporated by reference from Post-Effective Amendment No. 72 to the Trust’s registration statement, SEC File No. 333-200933, filed July 6, 2017) | |||
| (i) | Opinion and Consent of Dechert LLP (to be filed by amendment) | |||
| (j) | Not applicable. | |||
| (k) | Not applicable. | |||
| (l) | Subscription Letter related to Initial Capital provided by The Goldman Sachs Group, Inc. (incorporated by reference from Pre-Effective Amendment No. 2 to the Trust’s registration statement, SEC File No. 333-200933, filed August 7, 2015) | |||
| (m) | Distribution and Service Plan (incorporated by reference from Pre-Effective Amendment No. 3 to the Trust’s registration statement, SEC File No. 333-200933, filed September 11, 2015) | |||
| (n) | Not applicable. | |||
| (p) | (1) | Code of Ethics – Goldman Sachs ETF Trust (incorporated by reference from Pre-Effective Amendment No. 2 to the Trust’s registration statement, SEC File No. 333-200933, filed August 7,2015) | ||
| (2) | Code of Ethics – Goldman Sachs Asset Management, L.P. (incorporated by reference from Pre-Effective Amendment No. 2 to the Trust’s registration statement, SEC File No. 333-200933, filed August 7, 2015) | |||
| (3) | Code of Ethics – ALPS Distributors, Inc. (incorporated by reference from Pre-Effective Amendment No. 3 to the Trust’s registration statement, SEC File No. 333-200933, filed September 11, 2015) | |||
| (q) | (1) | Powers of Attorney for James A. McNamara, Joseph F. DiMaria, Caroline Dorsa, Linda A. Lang, Michael Latham and Lawrence W. Stranghoener (filed herewith) | ||
| 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 and Goldman Sachs MLP and Energy Renaissance 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: 1290 Funds, Aberdeen Standard Investments ETFs, Acacia Trust, ALPS Series Trust, The Arbitrage Funds, AQR Funds, Barings Funds Trust, BBH Trust, Brandes Investment Trust, Broadstone Real Estate Access Fund, Broadview Funds Trust, Brown Capital Management Mutual Funds, Centre Funds, CION Ares Diversified Credit Fund, Columbia ETF Trust, Columbia ETF Trust I, Columbia ETF Trust II, Cortina Funds, Inc., 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, 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, Harvest Volatility Edge Trust, Heartland Group, Inc., Henssler Funds, Inc., Holland Series Fund, Inc., Index Funds, IndexIQ Active ETF Trust, Index IQ ETF Trust, IVY NextShares 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, Northern Lights Fund Trust (on behalf of the 13D Activist Fund), NorthStar Real Estate Capital Income Fund, NorthStar Real Estate Capital Income Fund-ADV, NorthStar Real Estate Capital Income Fund-C, NorthStar Real Estate Capital Income Fund-T, NorthStar/Townsend Institutional Real Estate Fund, 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, Segall Bryant & Hamill Trust, 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, 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, Total Income + Real Estate Fund, USCF ETF Trust, USCF Mutual Funds Trust, Wasatch Funds, WesMark Funds, and Wilmington Funds.
(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 |
||
| Edmund J. Burke | Director | None | ||
| Jeremy O. May | President, Director | None | ||
| Bradley J. Swenson | Senior Vice President, Chief Operating Officer | 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 | ||
| Douglas W. Fleming** | Assistant Treasurer | 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 | ||
| Tison Cory | Vice President, Intermediary Operations | 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, Frank and Fleming 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, 225 Liberty 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. 214 under Rule 485(b) under the Securities Act of 1933 and has duly caused this Post-Effective Amendment No. 214 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 25th day of September, 2019.
| 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 James A. McNamara |
President (Chief Executive Officer) and Trustee | September 25, 2019 | ||
|
1Joseph F. DiMaria Joseph F. DiMaria |
Treasurer, Principal Financial Officer and Principal Accounting Officer | September 25, 2019 | ||
|
1Caroline Dorsa Caroline Dorsa |
Trustee | September 25, 2019 | ||
|
1Linda A. Lang Linda A. Lang |
Trustee | September 25, 2019 | ||
|
1Michael Latham Michael Latham |
Trustee | September 25, 2019 | ||
|
1Lawrence W. Stranghoener Lawrence W. Stranghoener |
Chairman and Trustee | September 25, 2019 | ||
| By: |
/s/ Caroline L. Kraus |
|
| Caroline L. Kraus, | ||
| Attorney-In-Fact | ||
| 1 |
Pursuant to powers of attorney filed herewith. |
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: September 25, 2019
|
/s/ Caroline L. Kraus |
| Caroline L. Kraus, |
| Secretary |
EXHIBIT INDEX
| (a)(3) |
Form of Amended Schedule A dated September 18, 2019 to the Amended and Restated Agreement and Declaration of Trust dated April 16, 2015 |
| (q)(1) |
Powers of Attorney for James A. McNamara, Joseph F. DiMaria, Caroline Dorsa, Linda A. Lang, Michael Latham and Lawrence W. Stranghoener |
EX-99.(a)(3)
Form of Schedule A
Goldman Sachs ETF Trust
As of September 18, 2019
|
Series of Shares |
Date Established |
|
| Goldman Sachs Access China Bond ETF | June 4, 2019 | |
| Goldman Sachs Access Emerging Markets Local Currency Bond ETF | March 15, 2017 | |
| Goldman Sachs Access Emerging Markets USD Bond ETF | March 14, 2018 | |
| Goldman Sachs Access High Yield Corporate Bond ETF | March 15, 2017 | |
| Goldman Sachs Access Inflation Protected USD Bond ETF | March 14, 2018 | |
| Goldman Sachs Access Investment Grade Corporate 1-5 Year Bond ETF | June 4, 2019 | |
| Goldman Sachs Access Investment Grade Corporate 10+ Year Bond ETF | June 4, 2019 | |
| Goldman Sachs Access Investment Grade Corporate Bond ETF | March 15, 2017 | |
| Goldman Sachs Access Investment Grade Floating Rate ETF | September 20, 2018 | |
| Goldman Sachs Access Total Bond Market ETF | June 4, 2019 | |
| Goldman Sachs Access Treasury 0-1 Year ETF | April 12, 2016 | |
| Goldman Sachs Access Ultra Short Bond ETF | September 20, 2018 | |
| Goldman Sachs Access U.S. Aggregate Bond Market ETF | June 21, 2019 | |
| Goldman Sachs Access U.S. Treasury Bond ETF | June 4, 2019 | |
| Goldman Sachs ActiveBeta® International Equity ETF | April 16, 2015 | |
| Goldman Sachs ActiveBeta® Emerging Markets Equity ETF | April 16, 2015 | |
| Goldman Sachs ActiveBeta® Europe Equity ETF | April 16, 2015 | |
| Goldman Sachs ActiveBeta® Japan Equity ETF | April 16, 2015 | |
| Goldman Sachs ActiveBeta® U.S. Large Cap Equity ETF | April 16, 2015 | |
| Goldman Sachs ActiveBeta® U.S. Small Cap Equity ETF | April 16, 2015 | |
| Goldman Sachs Emerging Markets Equity ETF | June 4, 2019 | |
| Goldman Sachs Eurozone Banks ETF | November 28, 2018 | |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | March 15, 2017 | |
| Goldman Sachs Equity Long Short Hedge Tracker ETF | April 16, 2015 | |
| Goldman Sachs Event Driven Hedge Tracker ETF | April 16, 2015 | |
| Goldman Sachs Hedge Industry VIP ETF | July 23, 2015 | |
| Goldman Sachs HFR Hedge Tracker Multi-Strategy ETF | June 6, 2018 |
| Goldman Sachs International Equity ETF | June 4, 2019 | |
| Goldman Sachs International Small Cap Equity ETF | June 4, 2019 | |
| Goldman Sachs JUST U.S. Large Cap Equity ETF | December 8, 2017 | |
| Goldman Sachs Macro Hedge Tracker ETF | April 16, 2015 | |
| Goldman Sachs Motif Data-Driven World ETF | July 19, 2018 | |
| Goldman Sachs Motif Finance Reimagined ETF | July 19, 2018 | |
| Goldman Sachs Motif Human Evolution ETF | July 19, 2018 | |
| Goldman Sachs Motif Manufacturing Revolution ETF | July 19, 2018 | |
| Goldman Sachs Motif New Age Consumer ETF | July 19, 2018 | |
| Goldman Sachs Relative Value Hedge Tracker ETF | April 16, 2015 | |
| Goldman Sachs U.S. Equity ETF | June 4, 2019 |
EX-99.(Q)(1)
GOLDMAN SACHS ETF TRUST
Power of Attorney
Know All Persons By These Presents, that each person whose signature appears below hereby constitutes and appoints James A. McNamara, Caroline L. Kraus, and Robert Griffith, jointly and severally, and each of them, his or her true and lawful attorneys-in-fact and agents, each with power and authority of substitution and resubstitution, for him or her in any and all capacities to sign the Registration Statement under the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended, of Goldman Sachs ETF Trust and any and all amendments to such Registration Statement, and to file the same, with exhibits thereto, and other instruments or documents in connection therewith, with the U.S. Securities and Exchange Commission, hereby ratifying and confirming all that each of said attorneys-in-fact, or his or her substitute or substitutes, may do or cause to be done by virtue thereof.
This Power of Attorney may be executed in multiple counterparts, each of which shall be deemed an original, but which taken together shall constitute one instrument.
WITNESS our hands on the date(s) set forth below.
|
Name |
Title |
Date |
||
|
/s/ James A. McNamara James A. McNamara |
President (Chief Executive Officer) and Trustee | September 18, 2019 | ||
|
/s/ Joseph F. DiMaria Joseph F. DiMaria |
Treasurer, Principal Financial Officer and Principal Accounting Officer | September 18, 2019 | ||
|
/s/ Caroline Dorsa Caroline Dorsa |
Trustee | September 18, 2019 | ||
|
/s/ Linda A. Lang Linda A. Lang |
Trustee | September 18, 2019 | ||
|
/s/ Michael Latham Michael Latham |
Trustee | September 18, 2019 | ||
|
/s/ Lawrence W. Stranghoener Lawrence W. Stranghoener |
Chairman and Trustee | September 18, 2019 | ||