0001445546-16-007293.txt : 20160304
0001445546-16-007293.hdr.sgml : 20160304
20160304113949
ACCESSION NUMBER: 0001445546-16-007293
CONFORMED SUBMISSION TYPE: S-6
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160304
DATE AS OF CHANGE: 20160304
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FT 5969
CENTRAL INDEX KEY: 0001654873
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: S-6
SEC ACT: 1933 Act
SEC FILE NUMBER: 333-209928
FILM NUMBER: 161484100
BUSINESS ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS L.P.
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630 765 8000
MAIL ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS L.P.
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
S-6
1
s-6.txt
INITIAL REGISTRATION STATEMENT
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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: FT 5969
B. Name of Depositor: FIRST TRUST PORTFOLIOS L.P.
C. Complete Address of Depositor's 120 East Liberty Drive
Principal Executive Offices: Suite 400
Wheaton, Illinois 60187
D. Name and Complete Address of
Agents for Service: FIRST TRUST PORTFOLIOS L.P.
Attention: James A. Bowen
120 East Liberty Drive
Suite 400
Wheaton, Illinois 60187
CHAPMAN & CUTLER LLP
Attention: Eric F. Fess
111 West Monroe Street
Chicago, Illinois 60603
E. Title and Amount of Securities
Being Registered: An indefinite number of
Units pursuant to Rule
24f-2 promulgated under
the Investment Company Act
of 1940, as amended.
F. Approximate Date of Proposed
Sale to the Public: ____ Check if it is
proposed that this filing
will become effective on
_____ at ____ p.m.
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 March 4, 2016
FT 5969
10,000 Units (A Unit Investment Trust)
The attached final Prospectus for a prior Series of the Fund is hereby
used as a preliminary Prospectus for the above stated Series. The narrative
information and structure of the attached final Prospectus 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 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.
A registration statement relating to the units of this Series will be
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 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 is the
final prospectus for FT 5228 (Registration No. 333-200723) as filed January 13,
2015 which shall be used as the preliminary prospectus for the current series of
the Fund.)
MEMORANDUM
Re: FT 5969
The only difference of consequence (except as described below) between FT
5228 which is the current fund, and FT 5969, the filing of which this memorandum
accompanies, is the change in the series number. The list of securities
comprising the Fund, the evaluation, record and distribution dates and other
changes pertaining specifically to the new series, such as size and number of
Units in the Fund and the statement of condition of the new Fund, will be filed
by amendment.
1940 ACT
FORMS N-8A AND N-8B-2
These forms were not filed, as the Form N-8A and Form N-8B-2 filed in
respect of Templeton Growth and Treasury Trust, Series 1 and subsequent series
(File No. 811-05903) related also to the subsequent series of the Fund.
1933 ACT
PROSPECTUS
The only significant changes in the Prospectus from the FT 5228 Prospectus
relate to the series number and size and the date and various items of
information which will be derived from and apply specifically to the securities
deposited in the Fund.
CONTENTS OF REGISTRATION STATEMENT
ITEM A Bonding Arrangements of Depositor:
First Trust Portfolios L.P. is covered by a Broker's Fidelity Bond,
in the total amount of $2,000,000, the insurer being National Union
Fire Insurance Company of Pittsburgh.
ITEM B This Registration Statement on Form S-6 comprises the following papers
and documents:
The facing sheet
The Prospectus
The signatures
Exhibits
S-1
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the
Registrant, FT 5969 has duly caused this Registration Statement to be signed on
its behalf by the undersigned, thereunto duly authorized, in the City of Wheaton
and State of Illinois on March 4, 2016.
FT 5969
(Registrant)
By: FIRST TRUST PORTFOLIOS L.P.
(Depositor)
By: Elizabeth H. Bull
Senior Vice President
S-2
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed below by the following person in the
capacity and on the date indicated:
Name Title* Date
---- ----- ----
James A. Bowen Director of The Charger Corporation, )March 4, 2016
the General Partner of First Trust )
Portfolios L.P. )
)Elizabeth H. Bull
)Attorney-in-Fact**
* The title of the person named herein represents his capacity in and
relationship to First Trust Portfolios L.P., Depositor.
** An executed copy of the related power of attorney was filed with the
Securities and Exchange Commission in connection with Amendment No. 2
to Form S-6 of FT 2669 (File No. 333-169625) and the same is hereby
incorporated herein by this reference.
S-3
CONSENT OF COUNSEL
The consent of counsel to the use of its name in the Prospectus included
in this Registration Statement will be contained in its respective opinion to be
filed as Exhibit 3.1 of the Registration Statement.
CONSENT OF DELOITTE & TOUCHE LLP
The consent of Deloitte & Touche LLP to the use of its name and to the
reference to such firm in the Prospectus included in this Registration Statement
will be filed by amendment.
CONSENT OF FIRST TRUST ADVISORS L.P.
The consent of First Trust Advisors L.P. to the use of its name in the
Prospectus included in the Registration Statement will be filed as Exhibit 4.1
to the Registration Statement.
S-4
EXHIBIT INDEX
1.1 Form of Standard Terms and Conditions of Trust for FT 4484 and certain
subsequent Series among First Trust Portfolios L.P., as Depositor, The
Bank of New York Mellon, as Trustee, First Trust Advisors L.P., as
Evaluator and Portfolio Supervisor and FTP Services LLC, as FTPS Unit
Servicing Agent (incorporated by reference to Amendment No. 1 to Form
S-6 [File No. 333-191558] filed on behalf of FT 4484).
1.1.1* Form of Trust Agreement for FT 5969 among First Trust Portfolios L.P.,
as Depositor, The Bank of New York Mellon, as Trustee, First Trust
Advisors L.P., as Evaluator and Portfolio Supervisor, and FTP Services
LLC, as FTPS Unit Servicing Agent.
1.2 Copy of Certificate of Limited Partnership of First Trust Portfolios
L.P. (incorporated by reference to Amendment No. 1 to Form S-6 [File
No. 33-42683] filed on behalf of The First Trust Special Situations
Trust, Series 18).
1.3 Copy of Amended and Restated Limited Partnership Agreement of First
Trust Portfolios, L.P. (incorporated by reference to Amendment No. 1 to
Form S-6 [File No. 33-42683] filed on behalf of The First Trust Special
Situations Trust, Series 18).
1.4 Copy of Articles of Incorporation of The Charger Corporation, the
general partner of First Trust Portfolios L.P., Depositor (incorporated
by reference to Amendment No. 1 to Form S-6 [File No. 33-42683] filed
on behalf of The First Trust Special Situations Trust, Series 18).
1.5 Copy of By-Laws of The Charger Corporation, the general partner of
First Trust Portfolios L.P., Depositor (incorporated by reference to
Amendment No. 2 to Form S-6 [File No. 333-169625] filed on behalf of FT
2669).
1.6 Underwriter Agreement (incorporated by reference to Amendment No. 1 to
Form S-6 [File No. 33-42755] filed on behalf of The First Trust Special
Situations Trust, Series 19).
2.1 Copy of Certificate of Ownership (included in Exhibit 1.1 filed
herewith on page 2 and incorporated herein by reference).
S-5
2.2 Copy of Code of Ethics (incorporated by reference to Amendment No. 1 to
Form S-6 [File No. 333-156964] filed on behalf of FT 1987).
3.1* Opinion of counsel as to legality of Securities being registered.
4.1* Consent of First Trust Advisors L.P.
6.1 List of Directors and Officers of Depositor and other related
information (incorporated by reference to Amendment No. 1 to Form S-6
[File No. 33-42683] filed on behalf of The First Trust Special
Situations Trust, Series 18).
7.1 Power of Attorney executed by the Director listed on page S-3 of this
Registration Statement (incorporated by reference to Amendment No. 2 to
Form S-6 [File No. 333-169625] filed on behalf of FT 2669).
-----------------------------------
* To be filed by amendment.
S-6