0000810384-14-000002.txt : 20140409
0000810384-14-000002.hdr.sgml : 20140409
20140409135406
ACCESSION NUMBER: 0000810384-14-000002
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20140409
DATE AS OF CHANGE: 20140409
GROUP MEMBERS: JAMES CAPITAL ALLIANCE, INC.
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: iSHARES TRUST
CENTRAL INDEX KEY: 0001100663
IRS NUMBER: 943351276
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-59405
FILM NUMBER: 14753123
BUSINESS ADDRESS:
STREET 1: 400 HOWARD STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
BUSINESS PHONE: (415) 670-2000
MAIL ADDRESS:
STREET 1: 400 HOWARD STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
FORMER COMPANY:
FORMER CONFORMED NAME: ISHARES TRUST
DATE OF NAME CHANGE: 19991213
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: JAMES INVESTMENT RESEARCH INC
CENTRAL INDEX KEY: 0000810384
IRS NUMBER: 310891459
STATE OF INCORPORATION: OH
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 1349 FAIRGROUNDS RD
STREET 2: P O BOX 8
CITY: ALPHA
STATE: OH
ZIP: 45301
BUSINESS PHONE: 9374267640
MAIL ADDRESS:
STREET 1: P O BOX 8
CITY: ALPHA
STATE: OH
ZIP: 45301
SC 13G
1
sc13gTLH.txt
TLH 13G 03-31-14
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. ___________)*
ISHARES TRUST
(Name of Issuer)
EXCHANGE TRADED FUND
(Title of Class of Securities)
464288653
(CUSIP Number)
MARCH 31, 2014
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant
to which this Schedule is filed:
[ X ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
CUSIP No. 464288653
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
31-0891459
2. Check the Appropriate Box if a Member of a Group
(See Instructions)
(a) [ ]
(b) [ X ]
3. SEC Use Only
4. Citizenship or Place of Organization
OHIO
Number of Shares Beneficially by Owned by Each
Reporting Person With:
5. Sole Voting Power: 215054
6. Shared Voting Power: 0
7. Sole Dispositive Power: 215054
8. Shared Dispositive Power: 0
9. Aggregate Amount Beneficially Owned by
Each Reporting Person
215054
10. Check if the Aggregate Amount in Row (9) Excludes
Certain Shares (See Instructions)
11. Percent of Class Represented by Amount in Row (9)
10.24%
12. Type of Reporting Person (See Instructions)
IA
Item 1.
(a) Name of Issuer
ISHARES TRUST
(b) Address of Issuers Principal Executive Offices
400 HOWARD STREET SAN FRANCISCO, CA 94105
Item 2.
(a) Name of Person Filing
JAMES INVESTMENT RESEARCH, INC.
(b) Address of Principal Business Office or, if none, Residence
1349 FAIRGROUND ROAD XENIA, OHIO 45385
(c) Citizenship
UNITED STATES
(d) Title of Class of Securities
EXCHANGE TRADED FUND
(e) CUSIP Number
464288653
Item 3. If this statement is filed pursuant to 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [ ]Broker or dealer registered under section 15
of the Act (15 U.S.C. 78o).
(b) [ ]Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) [ ]Insurance company as defined in section 3(a)(19)
of the Act (15 U.S.C. 78c).
(d) [ ]Investment company registered under section 8 of
the Investment Company Act of 1940 (15 U.S.C 80a-8).
(e) [ X ]An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E);
(f) [ ]An employee benefit plan or endowment fund in
accordance with 240.13d-1(b) (1)(ii)(F);
(g) [ ]A parent holding company or control person in
accordance with 240.13d-1(b)(1)(ii)(G);
(h) [ ]A savings associations as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ]A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3);
(j) [ ]Group, in accordance with 240.13d-1(b) (1)(ii)(J).
Item 4. Ownership.
Provide the following information regarding the aggregate number
and percentage of the class of securities of the issuer identified
in Item 1.
(a) Amount beneficially owned:
215054
(b) Percent of class:
10.24%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote
215054
(ii) Shared power to vote or to direct the vote
0
(iii) Sole power to dispose or to direct the disposition of
215054
(iv) Shared power to dispose or to direct the disposition of
0
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as
of the date hereof the reporting person has ceased to be the
beneficial owner of more than five percent of the class
of securities, check the following [ ]
NOT APPLICABLE
Instruction: Dissolution of a group requires a response to this item.
Item 6. Ownership of More than Five Percent on Behalf of another Person.
JAMES CAPITAL ALLIANCE, INC.
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on By the Parent Holding Company
NOT APPLICABLE
Item 8. Identification and Classification of Members of the Group:
NOT APPLICABLE
Item 9. Notice of Dissolution of Group:
NOT APPLICABLE
Item 10. Certification
(a) The following certification shall be included if the statement
is filed pursuant to 240.13d-1(b):
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were acquired
and are held in the ordinary course of business and were not
acquired and are not held for the purpose of or with the effect of
changing or influencing the control of the issuer of the securities
and were not acquired and are not held in connection with or as a
participant in any transactionhaving that purpose or effect. (b)
The following certification shall be included if the statement
is filed pursuant to 240.13d-1(c):
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were not acquired
and are not held for the purpose of or with the effect of changing
or influencing the control of the issuer of the securities and were
not acquired and are not held in connection with or as a participant
in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement
is true, complete and correct.
Date:
APRIL 9, 2014
Signature:
LESLEY D. OTT
Name/Title:
CHIEF COMPLIANCE OFFICER