As filed with the Securities and Exchamge Commission on October 16, 2001
Registration No.
================================================================================
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
---------
AMENDMENT NO. 1 TO
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(B) OR 12(G) OF THE
SECURITIES EXCHANGE ACT OF 1934
EQUITY SECURITIES TRUST I
(Exact Name of Registrant as Specified in Its Charter)
Delaware Not Applicable
(State of Incorporation or Organization) (I.R.S. Employer
Identification No.)
c/o Puglisi & Associates
850 Library Avenue 19711
Newark, Delaware
(Address of Principal Executive Offices) (Zip Code)
<CAPTION)
If this Form relates to the registration of a If this Form relates to the registration of a
class of securities pursuant to Section of class of securities pursuant to Section 12(g)
12(b) the Exchange Act and is effective of the Exchange Act and is effective pursuant
pursuant General Instruction A.(c), to General Instruction A.(d), check
check the following box. |X| the following box. |_|
Securities Act registration file number to which this form relates:
Securities Act File No. 333-34600
Investment Company Act File No. 811-09897
Securities to be registered pursuant to Section 12(b) of the Act:
Title of Each Class Name of Each Exchange on Which
to be so Registered Each Class is to be registered
------------------- ------------------------------
Equity Trust Securities representing New York Stock Exchange, Inc.
shares of beneficial interest in
Equity Securities Trust I
Securities to be registered pursuant to Section 12(g) of the Act:
None
(Title of Class)
Item 1. Description of Registrant's Securities to be Registered
-------------------------------------------------------
A description of the securities to be registered appears on
pages 25 through 26 (under the caption "Description of the Equity Trust
Securities") and pages 29 through 34 (under the caption "Certain United States
Federal Income Tax Considerations") of the registrant's Prospectus (Subject to
Completion) dated October 2, 2001 included in the Registration Statement on Form
N-2 filed under the Securities Act of 1933, as amended, (File No. 333-34600) and
under the Investment Company Act of 1940, as amended, (File No. 811-09897). Such
description, as amended or supplemented from time to time, is hereby
incorporated by reference herein. In addition, since such description has been
included in the form of prospectus filed by the registrant on October 2, 2001,
pursuant to Rule 497(h) under the Securities Act of 1933, such prospectus is
also hereby incorporated by reference herein.
Item 2. Exhibits
--------
All necessary exhibits will be filed with the New York Stock
Exchange in connection with this registration statement, including any amendment
to the Registration Statement on Form N-2 filed with the Commission subsequent
to the date hereof.
SIGNATURE
Pursuant to the requirements of Section 12 of the Securities
Exchange Act of 1934, the registrant has duly caused this registration statement
to be signed on its behalf by the undersigned, thereunto duly authorized.
Dated: October 16, 2001 EQUITY SECURITIES TRUST I
By: /s/ Donald Puglisi
-------------------
Donald Puglisi
As Trustee