-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Caq23VOqJ4GUA7v0OGUGdmej7K8csCSqhGTm4oLL+Og2Owu+uartE8SHWnoZzqle eAkGRhYqYEv+/5+cjkKm2g== 0001140361-09-027901.txt : 20091202 0001140361-09-027901.hdr.sgml : 20091202 20091202170650 ACCESSION NUMBER: 0001140361-09-027901 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20091202 DATE AS OF CHANGE: 20091202 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MT LUCAS MANAGEMENT CORP CENTRAL INDEX KEY: 0001185072 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 47 HULFISH STREET STREET 2: SUITE 510 CITY: PRINCETON STATE: NJ ZIP: 08542 BUSINESS PHONE: 6099248868 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPDR SERIES TRUST CENTRAL INDEX KEY: 0001064642 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78784 FILM NUMBER: 091218174 BUSINESS ADDRESS: STREET 1: ONE LINCOLN STREET STREET 2: CPH0326 CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 866-787-2257 MAIL ADDRESS: STREET 1: ONE LINCOLN STREET STREET 2: CPH0326 CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: STREETTRACKS SERIES TRUST DATE OF NAME CHANGE: 20000925 FORMER COMPANY: FORMER CONFORMED NAME: INDEX EXCHANGE LISTED SECURITIES TRUST DATE OF NAME CHANGE: 19980622 SC 13G 1 formsc13g.htm MOUNT LUCAS MANAGEMENT CORPORATION SC13G 9-30-2009 formsc13g.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No.______)*

 
SPDR KBW Regional Banking
  
 
(Name of Issuer)
  
     
 
Exchange Traded Fund
  
 
(Title of Class of Securities)
  
     
 
78464A698
  
 
(CUSIP Number)
  
     
 
September 30, 2009
  
 
(Date of Event Which Requires Filing of this Statement)
  

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

£  Rule 13d-1(b)
 
T  Rule 13d-1(c)

£  Rule 13d-1(d)

* The remainder of this cover page shall be filled out for the reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 
 
 

SCHEDULE 13G
CUSIP No. 78464A698

 
1.
Names of Reporting Persons

Mount Lucas Management Corporation
 
 
2.
Check the Appropriate box if a Member of Group (See Instructions)

 
(a)
  £  
 
 
(b)
  T  
 
 
3.
SEC Use Only
 
 
4.
Citizenship of Place of Organization: Delaware, USA
 
 
 
5.
Sole Voting Power:
1,000,000
 
 
 
6.
Shared Voting Power:
0   
 
 
 
7.
Sole Dispositive Power:
1,000,000
 
 
 
8.
Shared Dispositive Power:
0   
 

 
9.
Aggregate Amount Beneficially Owned by Each Reporting Person: 1,000,000
 
 
10.
Check if the Aggregate Amount in Roe (9) Excludes Certain Shares (See Instructions):_________________
 
 
11.
Percent of Class Represented by Amount in Row (9): 5.39%
 
 
12.
Type of Reporting Persons (See Instructions): CO

 
 
 

Item 1(a). Name Of Issuer: SPDR KBW Regional Banking ETF (the “Issuer”)

Item 1(b). Address Of Issuer’s Principal Executive Offices: State Street Bank & Trust Company, One Lincoln Center, Boston, Massachusetts 02211

Item 2(a). Name Of Person Filing: The names of the persons filing this statement on Schedule 13G are:

 
1.
Mount Lucas Management Corporation


Item 2(b). Address Of Principal Business Office, Or If None, Residence: The address of the principal business office for Mount Lucas Management Corporation is 405 South State Street, Newtown, PA  18940

Item 2(c). Citizenship: Mount Lucas Management Corporation is a corporation formed under the laws of the state of Delaware.

Item 2(d). Title Of Class Of Securities: Exchange Traded Fund

Item 2(e). Cusip Number: 78464A698

Item 3. If This Statement Is Filed Pursuant To Rule 13d-1(B), Or 13d-2(B) Or (C), Check Whether The Person Filing Is A:

 
(a)
____
Broker or dealer registered under Section 15 of the Exchange Act.
 
(b)
____
Bank as defined in Section 3(a)(6) of the Exchange Act.
 
(c)
____
Insurance Company defined in Section 3(a)(19) of the Exchange Act.
 
(d)
____
Investment Company registered under Section 8 of the Investment Company Act.
 
(e)
____
An Investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E)
 
(f)
____
An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(ii)(F)
 
(g)
____
A parent holding company or control person in accordance Rule 13d-1(b)(1)(ii)(G)
 
(h)
____
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.
 
(i)
____
A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;
 
(j)
____
Group, in accordance with Rule 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:

 
(i)
Mount Lucas Management Corporation owns 1,000,000 shares of the Issuer

 
(b)
Percent of Class

 
(i)
Mount Lucas Management Corporation’s beneficial ownership of 1,000,000 shares of stock represents 5.39% of all of the outstanding shares of the Issuer

(c) Number of Shares as to Which Such Person Has:

 
(i)
Sole power to vote or direct the vote:

Mount Lucas Management Corporation has the sole power to vote or direct the vote of the 1,000,000 shares of stock that it holds.

(ii)           Shared power to vote or to direct the vote:

Not Applicable.

 
(ii)
Sole power to dispose or to direct the disposition:

Mount Lucas Management Corporation has the sole power to dispose or direct the disposition on the 1,000,000 shares of stock that it holds.

 
(iii)
Shared power to dispose or to direct the disposition of:

Not Applicable.


Item 5. Ownership of Five Percent or Less of  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: __________.

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of an employee benefits plan, pension fund, or endowment fund is not required.

 
 
 

Reporting Person trades on behalf of certain hedge funds for which investments include the purchase of Issuer’s stock.  However, no one fund for which the Reporting Person trades owns more than 5% of the Issuer’s stock.

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company

If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(G) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.

Not Applicable.

Item 8. Identification and Classification of Members of the Group

If a Group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to §240.13d-1(c) or §240.13d-1(d), attach an exhibit stating the identity of each member of the group.

Not Applicable.

Item 9. Notice of Dissolution of Group

Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported will be filed, if required, by members of the group, in their individual capacity. See Item 5.

Not Applicable.

 
 
 

Item 10. Certification.

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, the undersigned certifies that the information in this statement is true, complete and correct.

Dated: December 2, 2009


MOUNT LUCAS MANAGEMENT CORPORATION

 
By: /s/ Timothy Rudderow
  
 
Timothy Rudderow, President
  

 
 
 

EXHIBIT A

Joint Filing Agreement Pursuant To Rule 13d-1(K)
Of The Securities And Exchange Act Of 1934


Pursuant to Rule 13d-1(k) of the Securities and Exchange Act of 1934, the undersigned hereby agree that each person or entity on whose behalf this statement is filed is responsible for its timely filing and any amendments hereto; for the completeness and accuracy of the information concerning the persons or entities contained herein; and that each individual person or entity is not responsible for the completeness or accuracy of the information concerning the other persons or entities making this filing, unless any such person or entity knows or has reason to believe that said information is inaccurate.

Dated: December 2, 2009

MOUNT LUCAS MANAGEMENT CORPORATION

 
By: /s/ Timothy Rudderow
  
 
Timothy Rudderow, President
  
 
 
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