AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MARCH 23, 2020
1933 ACT FILE NO. 333-236513
1940 ACT FILE NO. 811 - 03763
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
_______________________
REGISTRATION STATEMENT ON
FORM S-6
AMENDMENT NO. 1
________________________
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: GUGGENHEIM DEFINED PORTFOLIOS, SERIES 2011
B. NAME OF DEPOSITOR: GUGGENHEIM FUNDS DISTRIBUTORS, LLC
C. COMPLETE ADDRESS OF DEPOSITOR'S PRINCIPAL EXECUTIVE OFFICES:
Guggenheim Funds Distributors, LLC
227 West Monroe Street
Chicago, Illinois 60606
D. NAME AND COMPLETE ADDRESS OF AGENT FOR SERVICE:
Copies to:
AMY LEE, ESQ. ERIC F. FESS, ESQ.
Vice President and Secretary Chapman and Cutler LLP
Guggenheim Funds Distributors, LLC 111 West Monroe Street
227 West Monroe Street Chicago, Illinois 60603
Chicago, Illinois 60606 (312) 845-3000
(630) 505-3700
It is proposed that this filing will become effective (check appropriate box)
[_] immediately upon filing pursuant to paragraph (b)
[_] on (date) pursuant to paragraph (b)
[_] 60 days after filing pursuant to paragraph (a)(1)
[_] on (date) pursuant to paragraph (a)(1) of rule 485
[_] This post-effective amendment designates a new effective date for a
previously filed post-effective amendment.
E. TITLE OF SECURITIES BEING REGISTERED: Units of fractional undivided
beneficial interest.
F. APPROXIMATE DATE OF PROPOSED SALE TO PUBLIC: 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
(date) at (time) pursuant to Rule 487.
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The registration 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 MARCH 23, 2020
GUGGENHEIM DEFINED PORTFOLIOS, SERIES 2011 (the "Series")
Alternative Income Portfolio, Series 15
("Alternative Income Trust")
Zacks Income Advantage Strategy Portfolio, Series 50
("Zacks Income Advantage Strategy Trust")
(A Unit Investment Trust)
The above-referenced Series is comprised of Alternative Income Portfolio,
Series 15 and Zacks Income Advantage Strategy Portfolio, Series 50, (each, a
"trust" and together, the "trusts").
The attached final prospectuses for the prior series of the trusts are
hereby used as the preliminary prospectus for the above-referenced Series. The
narrative information and structure of the attached final prospectuses will be
substantially similar to 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 available as of this date and will be different because each
series 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. Ratings of the securities in this Series are
expected to be comparable to those of the securities deposited in the previous
series.
The registration statement relating to the units of this Series is not
complete, may be changed and is not yet effective. Information contained herein
is subject to completion or amendment. The units of this Series may neither be
sold nor may an offer to buy such units be accepted prior to the time the
registration statement becomes effective. This prospectus shall neither
constitute an offer to sell nor be considered a solicitation of an offer to buy
the units. There shall be no 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.
For purposes of the Alternative Income Trust, incorporated herein by
reference are portions of the final prospectus for Guggenheim Defined
Portfolios, Series 1945 (Registration No. 333-233514) as filed on October 8,
2019, which shall be used as the preliminary prospectus for such Alternative
Income Trust. For purposes of the Zacks Income Advantage Strategy Trust,
incorporated herein by reference is the final prospectus for Guggenheim Defined
Portfolios, Series 1983 (Registration No. 333-235840) as filed on February 18,
2020, which shall be used as the preliminary prospectus for such Zacks Income
Advantage Strategy Trust.
UNDERTAKING TO FILE REPORTS
Subject to the terms and conditions of Section 15(d) of the Securities
Exchange Act of 1934, the undersigned registrant hereby undertakes to file with
the Securities and Exchange Commission such supplementary and periodic
information, documents, and reports as may be prescribed by any rule or
regulation of the Commission heretofore or hereafter duly adopted pursuant to
authority conferred in that section.
CONTENTS OF REGISTRATION STATEMENT
A. Bonding Arrangements of Depositor:
The Depositor has obtained the following Securities Dealer Blanket Bond for
its officers, directors and employees:
INSURER/POLICY NO. AMOUNT
National Union Fire Insurance
Company of Pittsburgh, Pennsylvania
5692790 $4,000,000
This Amendment to the Registration Statement comprises the following papers
and documents.
The Facing Sheet
The Prospectus
The Signatures
Consents of Counsel
Exhibits
The following exhibits:
1.1 Reference Trust Agreement (to be supplied by amendment).
1.1.1 Standard Terms and Conditions of Trust (Reference is made to Exhibit
1.1.1 to Amendment No. 2 to the Registration Statement on Form S-6 for
Claymore Securities Defined Portfolios, Series 116 (File No.
333-72828) filed on December 18, 2001).
2.1 Code of Ethics (Reference is made to Exhibit 2.1 to the Registration
Statement on Form S-6 for Claymore Securities Deferred Portfolios,
Series 213 (File No. 333-122184) filed on February 9, 2005).
3.1 Opinion of counsel as to legality of the securities being registered
including a consent to the use of its name in the Registration
Statement (to be supplied by amendment).
3.2 Opinion of counsel as to the Trustee and the Trust(s), including a
consent to the use of its name in the Registration Statement (to be
supplied by amendment).
4.1 Consent of Independent Registered Public Accounting Firm (to be
supplied by amendment).
6.0 Powers of Attorney authorizing Amy Lee to execute the Registration
Statement. (Reference is made to Exhibit 6.0 to Amendment No. 1 to the
Registration Statement on Form S-6 for Guggenheim Defined Portfolios,
Series 2001 (File No. 333-236113) filed on January 28, 2020).
9.1 Portfolio License Agreement (to be supplied by amendment).
9.2 Portfolio Support Agreement (to be supplied by amendment).
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the Registrant,
Guggenheim Defined Portfolios, Series 2011 has duly caused this Amendment No. 1
to the Registration Statement to be signed on its behalf by the undersigned
thereunto duly authorized, in the City of Chicago, and State of Illinois, on the
23rd day of March, 2020.
GUGGENHEIM DEFINED PORTFOLIOS, SERIES 2011, Registrant
By: GUGGENHEIM FUNDS DISTRIBUTORS, LLC, Depositor
By: /s/ Amy Lee
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Amy Lee
Vice President and Secretary
Pursuant to the requirements of the Securities Act of 1933, this Amendment
to the Registration Statement has been signed below by the following persons in
the capacities and on the date indicated:
SIGNATURE* TITLE DATE
)
) By: /s/ Amy Lee
) -----------
) Amy Lee
) Attorney-in-Fact*
)
JERRY W. MILLER* Chief Executive Officer and ) March 23, 2020
President of Guggenheim Funds )
Distributors, LLC )
)
DOMINICK COGLIANDRO* Chief Operating Officer of ) March 23, 2020
Guggenheim Funds Distributors, )
LLC )
)
JULIE JACQUES* Treasurer of Guggenheim Funds ) March 23, 2020
Distributors, LLC )
)
JULIE JACQUES* Principal Financial Officer of ) March 23, 2020
Guggenheim Funds Distributors, )
LLC )
FARHAN SHARAFF Chief Investment Officer of
Guggenheim Funds Distributors,
LLC
/s/ Amy Lee Vice President and Secretary of March 23, 2020
----------- Guggenheim Funds Distributors,
AMY LEE LLC
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* Executed copies of the related powers of attorney were filed as Exhibit 6.0
to Amendment No. 1 to the Registration Statement of Guggenheim Defined
Portfolios, Series 2001 on January 28, 2020.
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
The consent of Grant Thornton LLP to the use of its report and to the
reference to such firm in the Prospectus included in the Registration Statement
will be filed as Exhibit 4.1 to the Registration Statement.
CONSENT OF CHAPMAN AND CUTLER LLP
The consent of Chapman and Cutler LLP to the use of its name in the
Prospectus included in the Registration Statement will be contained in its
opinion to be filed as Exhibit 3.1 to the Registration Statement.
CONSENT OF DORSEY & WHITNEY LLP
The consent of Dorsey & Whitney LLP to the use of its name in the
Prospectus included in the Registration Statement will be contained in its
opinion to be filed as Exhibit 3.2 to the Registration Statement.
MEMORANDUM
Re: Guggenheim Defined Portfolios, Series 2011
The list of securities comprising the trust of the fund, the evaluation,
record and distribution dates and other changes pertaining specifically to the
new series, such as size and number of units of the trust in the fund and the
statement of financial condition of the new fund will be filed by amendment.
1940 ACT
FORMS N-8A AND N-8B-2
Form N-8A and Form N-8B-2 were filed in respect of Guggenheim Defined
Portfolios, Series 718 (and subsequent series) (File No. 333-169214).
1933 ACT
THE INDENTURE
The form of the proposed Standard Terms and Conditions of Trust is expected
to be in all respects consistent with the form of the Standard Terms and
Conditions of Trust dated December 18, 2001 relative to Claymore Securities
Defined Portfolios, Series 116.
CHAPMAN AND CUTLER LLP
Chicago, Illinois
March 23, 2020