1933 Act File No.:
1940 Act File No.: 811-21056
CIK No.: 1771650
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
REGISTRATION STATEMENT ON FORM S-6
FOR REGISTRATION UNDER THE SECURITIES ACT
OF 1933 OF SECURITIES OF UNIT INVESTMENT
TRUSTS REGISTERED ON FORM N-8B-2
| A. | Exact name of trust: | Advisors Disciplined Trust 1961 |
| B. | Name of depositor: | Advisors Asset Management, Inc. |
| C. | Complete address of depositor’s principal executive offices: |
18925 Base Camp Road
Monument, Colorado 80132
| D. | Name and complete address of agent for service: |
| With a copy to: | |
| Scott Colyer | Scott R. Anderson |
| Advisors Asset Management, Inc. | Chapman and Cutler LLP |
| 18925 Base Camp Road | 111 West Monroe Street |
| Monument, Colorado 80132 | Chicago, Illinois 60603-4080 |
| E. | Title of securities being registered: Units of undivided beneficial interest |
| F. | Approximate date of proposed public offering: |
As Soon As Practicable After The Effective Date Of The Registration Statement
| ☐ | Check box if it is proposed that this filing will become effective on _______________ at ______ pursuant to Rule 487. |
The registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933 or until the Registration Statement shall become effective on such date as the Commission, acting pursuant to said Section 8(a) may determine.
Preliminary Prospectus Dated June 14, 2019
Advisors Disciplined Trust 1961
Bahl & Gaynor smig (Small/Mid Cap Income Growth) Portfolio, Series 2019-3Q
Building America Strategy Portfolio, Series 2019-3
Business Development Company Opportunities Portfolio, Series 2019-3
Cohen & Steers California Municipal Closed-End Portfolio, Series 2019-3
Cohen & Steers MLP, Midstream & Energy Income Closed-End Portfolio, Series 2019-3
Cohen & Steers Municipal Closed-End Portfolio, Series 2019-3
Cohen & Steers Preferred Income Opportunities Portfolio, Series 2019-3Q
The Dividend Income Value Strategy Portfolio, Series 2019-3Q
Emerging Markets Dividend Portfolio, Series 2019-3Q
Health Care Opportunities Portfolio, Series 2019-3
High 50® Dividend Strategy Portfolio, Series 2019-3Q
Kames Sustainable Equity Portfolio, Series 2019-3Q
Next Generation ESG Strategy Portfolio, Series 2019-3Q – A Hartford Investment Management Company ("HIMCO") Portfolio
Peroni Growth Portfolio, Autumn 2019 Series
REIT Portfolio, Series 2019-3Q – A Hartford Investment Management Company ("HIMCO") Portfolio
Utilities Portfolio, Series 2019-3Q – A Hartford Investment Management Company ("HIMCO") Portfolio
The attached final prospectuses for prior Advisors Disciplined Trust series are hereby used as a preliminary prospectus for the above stated series. The narrative information and structure of the attached final prospectuses will be substantially the same as that of the final prospectus for this series. Information with respect to pricing, the number of units, dates and summary information regarding the characteristics of securities to be deposited in this series is not now available and will be different since each unit investment trust has a unique portfolio. Accordingly the information contained herein with regard to the previous series should be considered as being included for informational purposes only.
A registration statement relating to the units of this series has been filed with the Securities and Exchange Commission but has not yet become effective. Information contained herein is subject to completion or amendment. Such units may not be sold nor may an offer to buy be accepted prior to the time the registration statement becomes effective. This prospectus shall not constitute an offer to sell or the solicitation of an offer to buy nor shall there be any sale of the units in any state in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state.
(Incorporated herein by reference are the final prospectus and information supplement from Advisors Disciplined Trust 1942 (Registration No. 333-230307) as filed on June 11, 2019 and Advisors Disciplined Trust 1943 (Registration No. 333-230308) as filed on June 13, 2019 which shall be used as a preliminary prospectus and information supplement for the current series of the trust.)
Contents of Registration Statement
This Registration Statement comprises the following:
The facing sheet
The prospectus and information supplement
The signatures
The consents of evaluator, independent auditors and legal counsel
The following exhibits:
| 1.1 | Trust Agreement (to be filed by amendment). |
| 1.1.1 | Standard Terms and Conditions of Trust (to be filed by amendment). |
| 1.2 | Certificate of Amendment of Certificate of Incorporation and Certificate of Merger of Advisors Asset Management, Inc. Reference is made to Exhibit 1.2 to the Registration Statement on Form S-6 for Advisors Disciplined Trust 647 (File No. 333-171079) as filed on January 6, 2011. |
| 1.3 | Bylaws of Advisors Asset Management, Inc. Reference is made to Exhibit 1.3 to the Registration Statement on Form S-6 for Advisors Disciplined Trust 647 (File No. 333-171079) as filed on January 6, 2011. |
| 1.5 | Form of Dealer Agreement. Reference is made to Exhibit 1.5 to the Registration Statement on Form S-6 for Advisors Disciplined Trust 262 (File No. 333-150575) as filed of June 17, 2008. |
| 2.2 | Form of Code of Ethics. Reference is made to Exhibit 2.2 to the Registration Statement on Form S-6 for Advisors Disciplined Trust 1853 (File No. 333-221628) as filed on February 21, 2018. |
| 3.1 | Opinion of counsel as to legality of securities being registered (to be filed by amendment). |
| 3.3 | Opinion of counsel as to the Trustee and the Trust (to be filed by amendment). |
| 4.1 | Consent of evaluator (to be filed by amendment). |
| 4.2 | Consent of independent auditors (to be filed by amendment). |
| 6.1 | Directors and Officers of Advisors Asset Management, Inc. Reference is made to Exhibit 6.1 to the Registration Statement on Form S-6 for Advisors Disciplined Trust 1911 (File No. 333-227343) as filed on November 9, 2018. |
| 7.1 | Power of Attorney. Reference is made to Exhibit 7.1 to the Registration Statement on Form S-6 for Advisors Disciplined Trust 1485 (File No. 333-203629) as filed on May 15, 2015. |
Signatures
Pursuant to the requirements of the Securities Act of 1933, the Registrant, Advisors Disciplined Trust 1961 has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Wichita and State of Kansas on June 14, 2019.
| Advisors Disciplined Trust 1961 | ||
| ByAdvisors Asset Management, Inc., Depositor | ||
| By | /s/ ALEX R. MEITZNER | |
| Alex R. Meitzner | ||
| Senior Vice President | ||
Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement has been signed below on June 14, 2019 by the following persons in the capacities indicated.
| SIGNATURE | TITLE | |
| Scott I. Colyer | Director of Advisors Asset | ) |
| Management, Inc. | ) | |
| Lisa A. Colyer | Director of Advisors Asset | ) |
| Management, Inc. | ) | |
| James R. Costas | Director of Advisors Asset | ) |
| Management, Inc. | ) | |
| Christopher T. Genovese | Director of Advisors Asset | ) |
| Management, Inc. | ) | |
| Randy J. Pegg | Director of Advisors Asset | ) |
| Management, Inc. | ) | |
| Jack Simkin | Director of Advisors Asset | ) |
| Management, Inc. | ) | |
| Bart P. Daniel | Director of Advisors Asset | ) |
| Management, Inc. | ) |
| By | /s/ ALEX R. MEITZNER | |
| Alex R. Meitzner | ||
| Attorney-in-Fact* |
*An executed copy of each of the related powers of attorney is filed herewith or incorporated herein by reference as Exhibit 7.1.
