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Goldman Sachs Trust, et al. – ‘485BXT’ on 1/30/15

On:  Friday, 1/30/15, at 4:39pm ET   ·   Accession #:  1193125-15-27814   ·   File #s:  33-17619, 811-05349

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 1/30/15  Goldman Sachs Trust               485BXT                 1:200K                                   RR Donnelley/FA
          → Goldman Sachs Global Managed Beta Fund ⇒ Institutional Shares (GGMBX)

Document/Exhibit                   Description                      Pages   Size 

 1: 485BXT      Goldman Sachs Trust                                 HTML    148K 

As filed with the Securities and Exchange Commission on January 30, 2015

1933 Act Registration No. 33-17619

1940 Act Registration No. 811-05349

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D. C. 20549

FORM N-1A

REGISTRATION STATEMENT

UNDER

and/or

REGISTRATION STATEMENT

UNDER

(Check appropriate box or boxes)

GOLDMAN SACHS TRUST

(Exact Name of Registrant as Specified in Charter)

71 South Wacker Drive

Chicago, Illinois 60606

(Address of Principal Executive Offices)

Registrant’s Telephone Number, including Area Code: (312) 655-4400

CAROLINE L. KRAUS, ESQ.

Goldman, Sachs & Co.

200 West Street

New York, New York 10282

(Name and Address of Agent for Service)

Copies to:

STEPHEN H. BIER, ESQ.

Dechert LLP

1095 Avenue of the Americas

New York, NY 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)

If appropriate, check the following box:

Title of Securities Being Registered:

Institutional Shares of the Goldman Sachs Global Managed Beta Fund.

Explanatory Note

Post-Effective Amendment No. 432 (the “Amendment”) to the Registration Statement of Goldman Sachs Trust was filed pursuant to Rule 485(a)(2) under the Securities Act of 1933 on November 17, 2014 to register shares of Goldman Sachs Global Managed Beta Fund. Pursuant to Rule 485(a)(2), the Amendment would have become effective on January 31, 2015. This Post-Effective Amendment No. 439 is being filed pursuant to Rule 485(b)(1)(iii) for the purpose of designating February 17, 2015 as the new date upon which the Amendment shall become effective. This Post-Effective Amendment No. 439 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

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

Goldman Sachs Tactical Tilt Implementation Fund, a series of the Registrant, wholly owns and controls Goldman Sachs Cayman Commodity TTIF Fund Ltd. (the “TTIF Subsidiary”), a company organized under the laws of the Cayman Islands. The TTIF Subsidiary’s financial statements will be included on a consolidated basis in the Tactical Tilt Implementation Fund’s annual and semi-annual reports to shareholders.

Goldman Sachs Dynamic Commodity Strategy Fund, a series of the Registrant, wholly owns and controls Goldman Sachs DCS Cayman Commodity Fund Ltd. (the “DCS Subsidiary”), a company organized under the laws of the Cayman Islands. The DCS Subsidiary’s financial statements will be included on a consolidated basis in the Dynamic Commodity Strategy Fund’s annual and semi-annual reports to shareholders.

Goldman Sachs Absolute Return Tracker Fund, a series of the Registrant, wholly owns and controls Goldman Sachs Cayman Commodity-ART Fund Ltd. (the “ART Subsidiary”), a company organized under the laws of the Cayman Islands. The ART Subsidiary’s financial statements will be included on a consolidated basis in the Absolute Return Tracker Fund’s annual and semi-annual reports to shareholders.

Goldman Sachs Commodity Strategy Fund, a series of the Registrant, wholly owns and controls Goldman Sachs Cayman Commodity Fund, Ltd. (the “Commodity Subsidiary”), a company organized under the laws of the Cayman Islands. The Commodity Subsidiary’s financial statements will be included on a consolidated basis in the Commodity Strategy Fund’s annual and semi-annual reports to shareholders.

Goldman Sachs Fixed Income Macro Strategies Fund, a series of the Registrant, wholly owns and controls Goldman Sachs Cayman Commodity-FIMS Fund Ltd. (the “FIMS Subsidiary”), a company organized under the laws of the Cayman Islands. The FIMS Subsidiary’s financial statements will be included on a consolidated basis in the Fixed Income Macro Strategies Fund’s annual and semi-annual reports to shareholders.

Goldman Sachs Dynamic Allocation Fund, a series of the Registrant, wholly owns and controls Goldman Sachs Cayman Commodity-DAF Fund Ltd. (the “DAF Subsidiary”), a company organized under the laws of the Cayman Islands. The DAF Subsidiary’s financial statements will be included on a consolidated basis in the Dynamic Allocation Fund’s annual and semi-annual reports to shareholders.

Item 30. Indemnification

Article IV of the Declaration of Trust of Goldman Sachs Trust, a Delaware statutory trust, provides for indemnification of the Trustees, officers and agents of the Trust, subject to certain limitations. The Declaration of Trust is incorporated by reference to Exhibit (a)(1).

The Management Agreements provide that the applicable Investment Adviser will not be liable for any error of judgment or mistake of law or for any loss suffered by a Fund, except a loss resulting from willful misfeasance, bad faith or gross negligence on the part of the Investment Adviser or from reckless disregard by the Investment Adviser of its obligations or duties under the Management Agreements. Section 7 of the Management Agreements on behalf of the Financial Square Tax-Exempt California, Financial Square Tax-Exempt New York, and Short Duration Government Funds provides that the Financial Square Tax-Exempt California, Financial Square Tax-Exempt New York, and Short Duration Government Funds will indemnify the Adviser against certain liabilities; provided, however, that such indemnification does not apply to any loss by reason of its willful misfeasance, bad faith or gross negligence or the Adviser’s reckless disregard of its obligation under the Management Agreements. The Management Agreements are incorporated by reference as Exhibits (d)(1) through (d)(7) and (d)(22).

Section 8 of the Sub-Advisory Agreement between Goldman Sachs Asset Management, L.P. (the “Investment Adviser”) and Dividend Assets Capital, LLC (the “Sub-Adviser”) with respect to Goldman Sachs Rising Dividend Growth Fund (the “Fund”) provides that the Sub-Adviser will not be liable for any losses, claims, damages, liabilities or litigation (including legal and other expenses) suffered by the Investment Adviser or the Trust as a result of any error of judgment by the Sub-Adviser with respect to the Fund, except that the Sub-Adviser will remain liable for, and will indemnify the Trust, the Investment Adviser and their affiliated persons against, any losses suffered (a) as a result of the willful misconduct, bad faith, or negligence by the Sub-Adviser; (b) as a result of any untrue statement or alleged untrue statement of a material fact contained in the registration statement, proxy materials, reports, advertisements, sales literature or other materials pertaining to the Fund, or any material fact omitted therefrom, if such a statement or omission was made in reliance upon and in conformity with written information furnished by the Sub-Adviser; or (c) as a result of the failure of the Sub-Adviser to execute portfolio transactions according to the requirements of applicable law. The Sub-Advisory Agreement is incorporated by reference as Exhibit (d)(10).

Section 9 of the Distribution Agreement between the Registrant and Goldman Sachs dated April 30, 1997, as amended, and Section 7 of the Transfer Agency Agreement between the Registrant and Goldman, Sachs & Co. dated August 9, 2007 provides that the Registrant will indemnify Goldman, Sachs & Co. against certain liabilities. Copies of the Distribution Agreement and the Transfer Agency Agreement are incorporated by reference as Exhibits (e)(1) and (h)(4) respectively, to the Registrant’s Registration Statement.

Mutual fund and trustees and officers liability policies purchased jointly by the Registrant, Goldman Sachs Variable Insurance Trust, Goldman Sachs BDC, Inc., Goldman Sachs Trust II, 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 Advisers

Goldman Sachs Asset Management, L.P. (“GSAM”), Goldman Sachs Asset Management International (“GSAMI”) and GS Investment Strategies, LLC (“GSIS”) are wholly-owned subsidiaries of the Goldman Sachs Group, Inc. and serve as investment advisers to the Registrant. GSAM, GSAMI and GSIS are engaged in the investment advisory business. GSAM, GSAMI and GSIS are 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. The Goldman Sachs Group, Inc. is the general partner and principal owner of GSAM and the sole member and principal owner of GSIS. Information about the officers and partners of GSAM, officers and directors of GSAMI and officers and sole member of GSIS, is included in their Forms ADV filed with the Commission (registration numbers 801-37591, 801-38157 and 801-67433, respectively) and is incorporated herein by reference.

Dividend Assets Capital, LLC (“DAC”) serves as sub-adviser to Goldman Sachs Rising Dividend Growth Fund. DAC is primarily engaged in the investment management business. Information about the officers and directors of DAC is included in its Form ADV filed with the Commission (registration number 801-62643) and is incorporated herein by reference.

Item 32. Principal Underwriters

GOLDMAN SACHS MANAGEMENT COMMITTEE

Item 33. Location of Accounts and Records

The Agreement and Declaration of Trust, Amended and Restated By-laws and minute books of the Registrant and certain investment adviser records are in the physical possession of GSAM LP, 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 are in the physical possession of State Street Bank and Trust Company, State Street Financial Center, One Lincoln Street, Boston, MA 02111, Bank of New York Mellon, One Wall Street, New York, New York 10286 and JP Morgan Chase Bank, N.A., 270 Park Avenue, New York, New York 10017, except for certain transfer agency records which are maintained by Goldman, Sachs & Co., 71 South Wacker Drive, Chicago, Illinois 60606.

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 Post-Effective Amendment No. 439 under Rule 485(b) under the Securities Act of 1933 and has duly caused this Post-Effective Amendment No. 439 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 30th day of January, 2015.

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.

CERTIFICATE

The undersigned Secretary for Goldman Sachs 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 June 11-12, 2014.

RESOLVED, that the Trustees and Officers of each Trust who may be required to execute any amendments to each Trust’s Registration Statement be, and each hereby is, authorized to execute a power of attorney appointing James A. McNamara, Caroline L. Kraus, Andrew Murphy, Robert Griffith, Matthew Wolfe, and Francesca Mead, 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 each 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: January 30, 2015

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Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘485BXT’ Filing		Date		Other Filings
		2/17/15
		1/31/15
Filed on:		1/30/15
		12/29/14		485BPOS,  497K,  N-MFP,  NSAR-B
		12/17/14		497
		11/17/14		485APOS,  497,  497K
		10/16/14		497,  497K
		9/30/14		485BPOS,  497K,  N-CSRS,  N-MFP,  N-Q,  NSAR-A
		8/14/14
		7/24/14		485BPOS,  N-Q
		7/1/14		497
		6/16/14		497,  497K
		6/12/14
		4/30/14		485BPOS,  497K,  N-CSRS,  N-MFP,  N-Q,  NSAR-A
		4/25/14		485BPOS
		4/21/14
		4/10/14
		3/21/14		485BPOS,  485BXT
		2/28/14		485APOS,  485BPOS,  497K,  N-CSRS,  N-MFP,  N-Q,  NSAR-A,  NSAR-B
		2/21/14		485BPOS,  485BXT,  N-14
		2/11/14
		1/30/14		485BPOS,  485BXT,  497K
		1/8/14		485BPOS,  485BXT,  497,  497K
		12/26/13		485APOS,  485BPOS
		12/19/13		497,  497K
		12/13/13		485BPOS
		12/11/13
		12/5/13
		11/15/13		485APOS
		11/8/13		497
		11/4/13
		10/25/13		485APOS,  N-Q
		10/17/13		DEFA14A
		9/26/13		485APOS,  N-14
		9/19/13
		9/12/13		485APOS
		8/16/13		485BPOS
		8/15/13		DEF 14A
		7/29/13		485BPOS,  497K
		6/18/13
		6/13/13		497,  497K
		5/29/13		485BPOS,  497K,  NSAR-B
		5/6/13		N-MFP
		4/30/13		485BPOS,  497,  497K,  N-CSRS,  N-MFP,  NSAR-A
		4/18/13
		3/25/13		485BPOS,  497K
		3/6/13		497,  N-MFP
		2/28/13		485BPOS,  497K,  N-CSRS,  N-MFP,  N-Q,  NSAR-A,  NSAR-B
		2/12/13
		1/28/13		485BPOS,  497K
		12/21/12		485BPOS,  497,  497K
		12/13/12		497,  497K
		10/25/12		497
		9/24/12		485BPOS
		8/31/12		24F-2NT,  24F-2NT/A,  485BXT,  N-CSR,  N-MFP,  NSAR-B
		8/16/12
		6/1/12
		4/27/12		485BPOS,  485BXT,  497,  497K,  N-CSRS
		4/19/12
		3/22/12
		2/28/12		485BPOS,  497K
		2/27/12		485BPOS,  497K
		2/6/12		N-MFP
		2/2/12
		1/31/12		N-MFP,  N-Q
		1/26/12		485BPOS
		1/9/12		497K
		12/23/11		485BPOS
		12/16/11		485APOS
		12/15/11
		12/14/11
		12/12/11		485APOS
		10/20/11
		9/27/11
		8/18/11		497
		7/29/11		485BPOS,  497K,  N-MFP,  N-Q
		6/16/11
		4/28/11		485BPOS
		4/5/11		485APOS,  497J
		3/1/11		497,  N-Q
		2/16/11		485BPOS
		2/14/11
		2/10/11		485BXT
		1/5/11		497,  497K
		12/31/10		24F-2NT,  N-CSR,  N-Q,  NSAR-B
		12/29/10		485BPOS,  497K
		12/16/10		485BXT
		12/3/10		485APOS
		12/1/10		497K,  N-CSRS
		11/18/10		485BXT
		7/29/10		485BPOS,  497,  497K
		6/30/10		485BPOS,  497,  497K,  N-CSRS,  N-PX,  N-Q,  NSAR-A
		6/17/10
		5/20/10		497,  AW
		5/14/10		485APOS,  485BPOS
		4/30/10		485BPOS,  497K,  N-CSRS,  NSAR-A
		2/11/10
		12/28/09		485BPOS,  497J
		12/24/09		485BPOS
		11/24/09		485BPOS
		11/19/09
		9/17/09		485APOS
		8/11/09
		7/28/09		485BPOS,  497
		5/21/09
		4/29/09		485BPOS,  497,  NSAR-AT,  NSAR-AT/A
		2/27/09		485BPOS,  N-Q
		11/13/08		497
		8/27/08		485BPOS
		8/25/08
		8/14/08
		7/29/08		485BPOS,  497
		7/1/08		497
		6/19/08		497
		4/28/08		485BPOS
		2/29/08		485BPOS,  N-CSRS,  N-Q,  NSAR-A,  NSAR-B
		1/18/08		485BPOS
		12/13/07
		12/10/07		485BXT
		11/28/07		NSAR-A/A
		11/27/07		485BPOS,  497
		11/8/07
		10/4/07
		9/25/07
		9/18/07		497
		9/12/07		485BPOS,  NSAR-B/A
		8/14/07		485BPOS
		8/10/07		485BXT
		8/9/07
		6/13/07		497
		6/12/07		485BPOS,  497
		5/10/07
		5/2/07
		4/23/07
		3/15/07		485APOS
		3/14/07
		2/8/07		N-14
		1/19/07		485BPOS
		12/21/06		485BXT
		12/14/06
		11/9/06		485BXT,  N-CSR
		8/18/06		485BXT
		8/10/06
		6/30/06		24F-2NT,  497,  N-CSR,  N-CSRS,  N-PX,  NSAR-A,  NSAR-B,  NSAR-B/A
		6/23/06		485BXT,  497
		6/15/06
		5/26/06		485BXT
		5/11/06
		3/16/06
		12/31/05		24F-2NT,  N-CSR,  NSAR-B,  NSAR-B/A
		12/29/05		485BPOS
		12/7/05		485BXT
		11/2/05
		8/4/05		DEF 14A
		6/17/05		485APOS
		6/16/05
		5/12/05
		4/29/05		485BPOS,  485BXT,  NSAR-A
		2/10/05
		12/23/04		485APOS,  485BPOS
		11/4/04
		7/22/04		N-14AE
		5/6/04
		5/5/04
		4/21/04
		2/24/04		485BPOS
		2/4/04		24F-2NT/A
		12/12/03		485BPOS
		10/30/03		NSAR-B
		10/28/03
		8/26/03
		7/31/03
		6/13/03		485APOS
		4/26/03
		2/19/03		485BPOS
		1/29/03		24F-2NT
		12/11/02		485BPOS
		8/1/02
		7/1/02		497
		5/15/02
		4/15/02		485BPOS
		12/21/01		485BPOS
		8/1/01		497
		7/2/01
		4/25/01
		4/13/01		485BPOS
		1/30/01
		11/22/00		485APOS
		8/1/00
		5/3/00		485APOS
		4/26/00
		4/14/00
		2/23/00		485BPOS
		2/3/00
		1/12/00
		1/6/00
		12/1/99		485APOS
		11/22/99		485BPOS
		10/26/99
		10/1/99		485BPOS,  497
		9/27/99
		9/16/99		485APOS
		7/27/99
		7/16/99		485APOS
		4/28/99
		4/12/99
		2/12/99		485APOS,  497
		1/22/99
		12/29/98		485APOS
		11/25/98		485APOS
		11/3/98
		10/1/98		485APOS
		7/22/98
		3/2/98		485APOS,  NSAR-A/A
		2/13/98		485APOS
		1/28/98
		1/1/98
		10/21/97
		10/16/97		485APOS
		7/21/97
		4/30/97		N-30D,  N-8A,  N-8A/A,  NSAR-A
		4/24/97
		4/23/97		485BPOS
		2/14/97		485APOS,  DEFS14A
		1/28/97
		12/29/95		24F-2NT,  485A24E,  485B24E
		7/18/94
		1/25/94
				List all Filings

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Filing Submission 0001193125-15-027814   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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