# EDGAR Filing Document

**Accession Number:** 0001672826
**File Stem:** 0001680359-23-000012
**Filing Date:** 2023-1
**Character Count:** 15434
**Document Hash:** faeeef561434bb7083e08799b4cca9ab
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001680359-23-000012.hdr.sgml**: 20230113

**ACCESSION NUMBER**: 0001680359-23-000012

**CONFORMED SUBMISSION TYPE**: N-8F

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230113

**DATE AS OF CHANGE**: 20230113

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** OSI ETF Trust
- **CENTRAL INDEX KEY:** 0001672826
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0630

**FILING VALUES:**
- **FORM TYPE:** N-8F
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-23167
- **FILM NUMBER:** 23529695

**BUSINESS ADDRESS:**
- **STREET 1:** 60 STATE STREET
- **STREET 2:** STE 700
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02109
- **BUSINESS PHONE:** 617-855-7670

**MAIL ADDRESS:**
- **STREET 1:** 60 STATE STREET
- **STREET 2:** STE 700
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02109

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

#### Form N-8F

#### Application for Deregistration of Certain Registered Investment Companies.

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| | |
|:---|:---|
| I. | **General Identifying Information** |
| 1. | Reason fund is applying to deregister (check *only one;* for descriptions, *see* Instruction 1 above): |
|  | [ ] **Merger** |
|  | [X] **Liquidation** |
|  | [ ] **Abandonment of Registration** |
|  | (Note: Abandonments of Registration answer *only* questions 1 through 15, 24 and 25 of this form and complete verification at the end of the form.) |
|  | [ ] Election of status as a **Business Development Company** |
|  | (Note: Business Development Companies answer *only* questions 1 through 10 of this form and complete verification at the end of the form.) |
| 2. | Name of fund: OSI ETF Trust |
| 3. | Securities and Exchange Commission File No.: 811-23167 |
| 4. | Is this an initial Form N-8F or an amendment to a previously filed Form N-8F? |
|  | [X] Initial Application [ ] Amendment |
| 5. | Address of Principal Executive Office (include No. & Street, City, State, Zip Code): |
|  | 75 State Street, Suite 100 |
|  | Boston, MA 02109 |
| 6. | Name, address and telephone number of individual the Commission staff should contact with any questions regarding this form: |
|  | Louise Anne Poirier |
|  | 1010 Sherbrooke St. West, Suite 2105 |
|  | Montreal, QC H3A 2R7 (Canada) |
|  | 514-849-1056 |
|  | Shawn Hendricks |
|  | Stradley, Ronon, Stevens & Young, LLP |
|  | 2005 Market Street, Suite 2600 |
|  | Philadelphia, PA 19103 |
|  | 215-564-8778 |

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| | |
|:---|:---|
| 7. | Name, address and telephone number of individual or entity responsible for maintenance and preservation of fund records in accordance with rules 31a-1 and 31a-2 under the Act [17 CFR 270.31a-1, .31a-2]: |
|  | JPMorgan Chase Bank (transfer agent and custodian) ("JPM") |
|  | Transfer Agent |
|  | 70 Fargo Street, 4th Floor |
|  | Boston, MA 02210 |
|  | 617-261-1420 |
|  | Custodian |
|  | 4 Chase MetroTech Center |
|  | Brooklyn, New York 11245 |
|  | 718-242-0609 |
|  | As the Registrant's transfer agent, JPM is responsible for maintaining share transaction and other shareholder records. As the Registrant's custodian, JPM is responsible for maintaining records with respect to securities positions, purchases and sales of securities and other investments, ledgers, orders, confirmations and other records maintained by or at the custodian. |
|  | O'Shares Investment Advisers ("OIA") |
|  | 1010 Sherbrooke St. West, Suite 2105 |
|  | Montreal, QC H3A 2R7 (Canada) |
|  | 514-849-1056 |
|  | As the Registrant's investment adviser, OIA is responsible for maintaining records with respect to the charter, bylaws, agreements, minute books, records required to be maintained under Rule 38a-1, purchases and sales of securities and other investments, orders, accounts and other records relating to portfolio management activities, including those records required to be maintained under the Investment Advisers Act of 1940. |
|  | NOTE: *Once deregistered, a fund is still required to maintain and preserve the records described in Rules 31a-1 and 31a-2 for the periods specified in those rules.* |
| 8. | Classification of fund (check only one): |
|  | [X] Management company; |
|  | [ ] Unit investment trust; or |
|  | [ ] Face-amount certificate company. |
| 9. | Subclassification if the fund is a management company (check only one): |
|  | [X] Open-end [ ] Closed-end |
| 10. | State law under which the fund was organized or formed (*e.g.*, Delaware, Massachusetts): |
|  | The Fund is a statutory trust created under the laws of the state of Delaware. |
| 11. | Provide the name and address of each investment adviser of the fund (including sub-advisers) during the last five years, even if the fund's contracts with those advisers have been terminated: |
|  | O'Shares Investment Advisers, LLC |
|  | 1010 Sherbrooke St. West, Suite 2105 |
|  | Montreal, QC H3A 2R7 (Canada) |

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| | |
|:---|:---|
| 12. | Provide the name and address of each principal underwriter of the fund during the last five years, even if the fund's contracts with those underwriters have been terminated: |
|  | Foreside Fund Services, LLC |
|  | Three Canal Plaza |
|  | Portland, Maine 04101 |
| 13. | If the fund is a unit investment trust ("UIT") provide: |
| (a) | Depositor's name(s) and address(es): Not Applicable |
| (b) | Trustee's name(s) and address(es): Not Applicable |
| 14. | Is there a UIT registered under the Act that served as a vehicle for investment in the fund (*e.g.*, an insurance company separate account)? |
|  | [ ] Yes [X] No |
|  | If Yes, for each UIT state: Not Applicable |
|  | Name(s): |
|  | File No.: 811-______ |
|  | Business Address: |
| 15.<br> (a) | Did the fund obtain approval from the board of directors concerning the decision to engage in a Merger, Liquidation or Abandonment of Registration? |
|  | [X] Yes [ ] No |
|  | If Yes, state the date on which the board vote took place: |
|  | January 12, 2023 |
|  | If No, explain: Not applicable |
| (b) | Did the fund obtain approval from the shareholders concerning the decision to engage in a Merger, Liquidation or Abandonment of Registration? |
|  | [ ] Yes [X] No |
|  | If Yes, state the date on which the shareholder vote took place: Not Applicable |

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| | |
|:---|:---|
|  | If No, explain: |
|  | Article VIII, Section 1(a) of the Fund's Amended and Restated Agreement and Declaration of Trust provides that the Fund may be dissolved at the discretion of the Board of Trustees at any time there are no Shares outstanding of the Trust. |
| II. | **Distributions to Shareholders** |
| 16. | Has the fund distributed any assets to its shareholders in connection with the Merger or Liquidation? |
|  | [ ] Yes [X] No |
| (a) | If Yes, list the date(s) on which the fund made those distributions: Not Applicable |
| (b) | Were the distributions made on the basis of net assets? |
|  | [ ] Yes [ ] No |
| (c) | Were the distributions made *pro rata* based on share ownership? |
|  | [ ] Yes [ ] No |
| (d) | If No to (b) or (c) above, describe the method of distributions to shareholders. For Mergers, provide the exchange ratio(s) used and explain how it was calculated: Not Applicable |
| (e) | *Liquidations only:* Were any distributions to shareholders made in-kind? |
|  | [ ] Yes [X] No |
|  | If Yes, indicate the percentage of fund shares owned by affiliates, or any other affiliation of shareholders: Not Applicable |
| 17. | *Closed-end funds only:* |
|  | Has the fund issued senior securities? |
|  | Not Applicable |
|  | [ ] Yes [ ] No |
|  | If yes, describe the method of calculating payments to senior securityholders and distributions to other shareholders: Not Applicable |
| 18. | Has the fund distributed ***all*** of its assets to the fund's shareholders? |
|  | [X] Yes [ ] No |
|  | If No, |
|  | Not Applicable |
| (a) | How many shareholders does the fund have as of the date this form is filed? |
| (b) | Describe the relationship of each remaining shareholder to the fund: |

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| | |
|:---|:---|
| 19. | Are there any shareholders who have not yet received distributions in complete liquidation of their interests? |
|  | [ ] Yes [X] No |
|  | If Yes, describe briefly the plans (if any) for distributing to, or preserving the interests of, those shareholders: Not Applicable |
| III. | **Assets and Liabilities** |
| 20. | Does the fund have any assets as of the date this form is filed? |
|  | *(See question 18 above)* |
|  | [ ] Yes [X] No |
|  | If Yes, |
|  | Not Applicable |
| (a) | Describe the type and amount of each asset retained by the fund as of the date this form is filed: |
| (b) | Why has the fund retained the remaining assets? |
| (c) | Will the remaining assets be invested in securities? |
|  | [ ] Yes [ ] No |
| 21. | Does the fund have any outstanding debts (other than face-amount certificates if the fund is a face-amount certificate company) or any other liabilities? |
|  | [ ] Yes [X] No |
|  | If Yes, |
| (a) | Describe the type and amount of each debt or other liability: |
| (b) | How does the fund intend to pay these outstanding debts or other liabilities? |
| IV. | **Information About Event(s) Leading to Request for Deregistration** |
| 22.<br> (a) | List the expenses incurred in connection with the Merger or Liquidation: |
| (i) | Legal expenses: $5,000 |
| (ii) | Accounting expenses: $0 |
| (iii) | Other expenses (list and identify separately): |
| (a) | Registration – early termination fee: $0 |

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| | | | |
|:---|:---|:---|:---|
|  |  | (b) | Transfer agent – cost of mailing/shareholder communication regarding Fund liquidation: $0 |
|  | (iv) | Total expenses (sum of lines (i)-(iii) above): $5,000 | Total expenses (sum of lines (i)-(iii) above): $5,000 |
| (b) | How were those expenses allocated? | How were those expenses allocated? | How were those expenses allocated? |
|  | 100% – O'Shares Investment Advisers, LLC | 100% – O'Shares Investment Advisers, LLC | 100% – O'Shares Investment Advisers, LLC |
| (c) | Who paid those expenses? | Who paid those expenses? | Who paid those expenses? |
|  | 100% – O'Shares Investment Advisers, LLC | 100% – O'Shares Investment Advisers, LLC | 100% – O'Shares Investment Advisers, LLC |
| (d) | How did the fund pay for unamortized expenses (if any)? | How did the fund pay for unamortized expenses (if any)? | How did the fund pay for unamortized expenses (if any)? |
|  | Not Applicable. | Not Applicable. | Not Applicable. |
| 23. | Has the fund previously filed an application for an order of the Commission regarding the Merger or Liquidation? | Has the fund previously filed an application for an order of the Commission regarding the Merger or Liquidation? | Has the fund previously filed an application for an order of the Commission regarding the Merger or Liquidation? |
|  | [ ] Yes [X] No | [ ] Yes [X] No | [ ] Yes [X] No |
|  | If yes, cite the release numbers of the Commission's notice and order or, if no notice or order has been issued, the file number and date the application was filed: | If yes, cite the release numbers of the Commission's notice and order or, if no notice or order has been issued, the file number and date the application was filed: | If yes, cite the release numbers of the Commission's notice and order or, if no notice or order has been issued, the file number and date the application was filed: |
| V. | **Conclusion of Fund Business** | **Conclusion of Fund Business** | **Conclusion of Fund Business** |
| 24. | Is the fund a party to any litigation or administrative proceeding? | Is the fund a party to any litigation or administrative proceeding? | Is the fund a party to any litigation or administrative proceeding? |
|  | [ ] Yes [X] No | [ ] Yes [X] No | [ ] Yes [X] No |
|  | If Yes, describe the nature of any litigation or proceeding and the position taken by the fund in that litigation: Not Applicable | If Yes, describe the nature of any litigation or proceeding and the position taken by the fund in that litigation: Not Applicable | If Yes, describe the nature of any litigation or proceeding and the position taken by the fund in that litigation: Not Applicable |
| 25. | Is the fund now engaged, or intending to engage, in any business activities other than those necessary for winding up its affairs? | Is the fund now engaged, or intending to engage, in any business activities other than those necessary for winding up its affairs? | Is the fund now engaged, or intending to engage, in any business activities other than those necessary for winding up its affairs? |
|  | [ ] Yes [X] No | [ ] Yes [X] No | [ ] Yes [X] No |
|  | If Yes, describe the nature and extent of those activities: Not Applicable | If Yes, describe the nature and extent of those activities: Not Applicable | If Yes, describe the nature and extent of those activities: Not Applicable |
| VI. | **Mergers Only** | **Mergers Only** | **Mergers Only** |
| 26.<br> (a) | State the name of the fund surviving the Merger: Not Applicable | State the name of the fund surviving the Merger: Not Applicable | State the name of the fund surviving the Merger: Not Applicable |
| (b) | State the Investment Company Act file number of the fund surviving the Merger: Not Applicable | State the Investment Company Act file number of the fund surviving the Merger: Not Applicable | State the Investment Company Act file number of the fund surviving the Merger: Not Applicable |
| (c) | If the merger or reorganization agreement has been filed with the Commission, state the file number(s), form type used and date the agreement was filed: Not Applicable | If the merger or reorganization agreement has been filed with the Commission, state the file number(s), form type used and date the agreement was filed: Not Applicable | If the merger or reorganization agreement has been filed with the Commission, state the file number(s), form type used and date the agreement was filed: Not Applicable |
| (d) | If the merger or reorganization agreement has ***not*** been filed with the Commission, provide a copy of the agreement as an exhibit to this form. Not Applicable | If the merger or reorganization agreement has ***not*** been filed with the Commission, provide a copy of the agreement as an exhibit to this form. Not Applicable | If the merger or reorganization agreement has ***not*** been filed with the Commission, provide a copy of the agreement as an exhibit to this form. Not Applicable |

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#### VERIFICATION

The undersigned states that (i) he or she has executed this Form N-8F application for an order under Section 8(f) of the Investment Company Act of 1940 on behalf of OSI ETF Trust, (ii) he or she is the President, Principal Executive Officer, Secretary, Treasurer and Principal Financial Officer OSI ETF Trust and (iii) all actions by shareholders, directors, and any other body necessary to authorize the undersigned to execute and file this Form N-8F application have been taken. The undersigned also states that the facts set forth in this Form N-8F application are true to the best of his or her knowledge, information and belief.

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| | |
|:---|:---|
| /s/ Connor O'Brien | /s/ Connor O'Brien |
| Name: | Connor O'Brien |
| Title: | President, Principal Executive Officer, Secretary, Treasurer and Principal Financial Officer |

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