-----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, Hwb9OFUOqRD6LH4SINEE6DqfSj7I3Y2m9zxL75L7GkA255G95o97QjOHZhPtf58S ehC3nHJQmjHDC7bUYT1qeQ== 0000934729-11-000006.txt : 20110113 0000934729-11-000006.hdr.sgml : 20110113 20110113135948 ACCESSION NUMBER: 0000934729-11-000006 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110113 DATE AS OF CHANGE: 20110113 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: POWERSHARES EXCHANGE TRADED FUND TRUST CENTRAL INDEX KEY: 0001209466 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-81469 FILM NUMBER: 11527224 BUSINESS ADDRESS: STREET 1: 301 WEST ROOSEVELT ROAD CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 800-983-0903 MAIL ADDRESS: STREET 1: 301 WEST ROOSEVELT ROAD CITY: WHEATON STATE: IL ZIP: 60187 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HARRIS FINANCIAL CORP CENTRAL INDEX KEY: 0000934729 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 510275712 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 111 WEST MONROE STREET STREET 2: P O BOX 755 CITY: CHICAGO STATE: IL ZIP: 60690 BUSINESS PHONE: 3124615592 MAIL ADDRESS: STREET 1: 111 WEST MONROE ST STREET 2: FLOOR 21E CITY: CHICAGO STATE: IL ZIP: 60603 FORMER COMPANY: FORMER CONFORMED NAME: BANKMONT FINANCIAL CO DATE OF NAME CHANGE: 20010214 FORMER COMPANY: FORMER CONFORMED NAME: BANKMONT FINANCIAL INC DATE OF NAME CHANGE: 19941228 SC 13G 1 powersharesglobaletf12-10.txt Securities and Exchange Commission, Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ____________________________________________________________________ (Name of Issuer) Powershares Global ETF Trust ____________________________________________________________________ (Title of Class of Securities) Agg Pfd Port ____________________________________________________________________ (CUSIP Number) 73936t565 ____________________________________________________________________ (Date of Event Which Requires Filing of this Statement) Year-end Reporting 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) *The remainder of this cover page shall be filled out for a 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). CUSIP No. 73936t565 (1) Names of reporting persons...Harris Financial Corp I.R.S. Identification Nos. of above persons (entities only) 51-0275712 - -------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (a) (b) x (3) SEC use only................................................... - -------------------------------------------------------------------- (4) Citizenship or place of organization............................ A Delaware Corporation - -------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power...4,986,291................................. (6) Shared voting power....1,000............................... (7) Sole dispositive power......4,951,406....................... (8) Shared dispositive power....1,250,476.......................... - -------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person 6,201,882 - -------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares (see instructions).................................................. - -------------------------------------------------------------------- (11) Percent of class represented by amount in Row (9)...6.474%....... - --------------------------------------------------------------------- (12) Type of reporting person (see instructions)....HC............. - -------------------------------------------------------------------- Page--of--Pages----------------------------------------------------- Item 1(a) Name of issuer: Powershares Global ETF Trust Item 1(b) Address of issuer's principal executive offices: 301 West Roosevelt Road Wheaton , Ill 60187 2(a) Name of person filing: Harris Financial Corp _____________________________________________________________________ 2(b) Address or principal business office or, if none, residence: 111 W. Monroe Street P. O. Box 755 Chicago, IL 60690 _____________________________________________________________________ 2(c) Citizenship: A Delaware Corporation _____________________________________________________________________ 2(d) Title of class of securities: AGG PFD PORT _____________________________________________________________________ 2(e) CUSIP No.: 73936t565 _____________________________________________________________________ Item 3. If this statement is filed pursuant to Secs. 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) [X] 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) [ ] An investment adviser in accordance with Sec. 240.13d- 1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Sec. 240.13d-1(b)(1)(ii)(F); (g) [X] A parent holding company or control person in accordance with Sec. 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 Sec. 240.13d-1(b)(1)(ii)(J). Item 4. Ownership 1. (a) Amount beneficially owned: 6,201,882 (b) Percent of class: 6.474% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 4,986,291 (ii) Shared power to vote or to direct the vote 1,000 (iii) Sole power to dispose or to direct the disposition of 4,951,406 (iv) Shared power to dispose or to direct the disposition of 1,250,476 Item 5. Ownership of 5 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 5 percent of the class of securities, check the following [ ]. See Exhibit 2 Item 6. Ownership of More than 5 Percent on Behalf of Another Person. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Harris Financial Corp., a Parent Holding Company, 111 W. Monroe St. P.O. Box 755 Chicago, Ill 60690 Filing on behalf of the following subsidiaries: BMO Nesbitt Burns, Inc., a broker-dealer One First Canadian Place 7th Floor Toronto, Ontario CANADA M5X 1H3 Jones Heward Investments Inc., a Parent Holding Company Royal Trust Tower 77 King Street West Suite 4200 Toronto, Ontario CANADA M5K 1J5 BMO Harris Investment Management Inc., an investment adviser 1 First Canadian Place 9th Floor Suite 915 Toronto, Ontario CANADA M5K 1H3 Jones Heward Investment Counsel Inc., an investment adviser Royal Trust Tower 77 King Street West Suite 4200 Toronto, Ontario CANADA M5K 1J5 BMO Investorline Inc. FCP 20th Floor Toronto, Ontario CANADA M5X 1A1 Jones Heward Funds, Canadian mutual funds Royal Trust Tower 77 King Street West Suite 4200 Toronto, Ontario CANADA M5K 1J5 The Pension Fund Society of the Bank of Montreal, a Canadian pension fund Corporate Secretary's Department First Canadian Place 23rd Floor Toronto, Ontario CANADA M5X 1A1 BMO Guardian Funds Commerce Court West Suite 4100 Toronto, Ontario Canada M5L 1E8 Harris Investment Management, Inc. 190 South LaSalle Street P.O. Box 755 Chicago, Ill 60690 BMO Trust Company 302 Bay Street 7th Floor Toronto, Ontario Canada M5X 1A1 BMO Investments, Inc 302 Bay Street 10th Floor Toronto, Ontario Canada M5X 1A1 BMO Mutual Funds 302 Bay Street 10th Floor Toronto, Ontario, Canada M5X 1A1 BMO Capital Markets Corp 3 Times Square 28th Floor New York, N.Y. 10036 BMO Nesbitt Burns Trading Corp, S.A. 3 Times Square 28th Floor New York, N.Y. 10036 Harris Financial Corp 111 W. Monroe Street Chicago, Ill 60690 Sullivan Bruyette Speros & Blaney 8180 Greensboro Drive Suite 1100 McLean Va. 22102 BMO Financial Products Corp 3 Times Square 28th Floor New York, New York 10036 Bank of Montreal Securities Canada, Inc One First Canadian Place 3rd Floor Toronto, Ontario, Canada M5X 1A1 BMO Nesbitt Burns Corporation Ltd. One First Canadian Place 4th Floor Toronto, ontario, Canada M5X 1H3 BMO Nesbitt Burns Equity Partners Inc. 100 King Street West One First Canadian Place 6th Floor Toronto, Ontario, Canada M5X 1H3 First National Bank & Trust - Indiana 101 W. Sycamore St. Kokomo Ind. 46901 Harris Investor Services 311 W. Monroe Street Chicago, Ill 60603 Bank of Montreal Holdings Inc. 350 7th Avenue S.W. Calgary, Alberta , Canada T2P 3N9 Stoker Ostler Wealth Advisors 400 North Scottsdale Road Suite 2600 Scottsdale, Arizona 85251 And filing on behalf of its parent: Bank of Montreal 1 First Canadian Place Toronto, Ontario Canada MX5 1A1 Item 8. Identification and Classification of Members of the Group See Exhibit 2 Item 9. Notice of Dissolution of Group. 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 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 transaction having that purpose or effect. 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. Dated: January 10, 2011 HARRIS FINANCIAL CORP. BY: (Terry Jenkins) Terry Jenkins SVP & Head of Private Bank US Schedule 13G Exhibit 1 BMO Nesbitt Burns Trading Corp S.A. is a wholly owned subsidiary of Bank of Montreal Holding Inc., which is a wholly-owned subsidiary of Bank of Montreal. BMO Nesbitt Burns, Inc. is a wholly-owned subsidiary of BMO Nesbitt Burns Corporation Limited, which is a wholly-owned subsidiary of Bank of Montreal Securities Canada Limited, which is a wholly-owned subsidiary of Bank of Montreal Holding Inc., which is a wholly-owned subsidiary of Bank of Montreal. Jones Heward Funds are Canadian mutual funds advised by Jones Heward Investment Counsel, which is a wholly-owned subsidiary of BMO Harris Investment Management Inc, which is a subsidiary of Jones Heward Investments Inc., which is a subsidiary of BMO Nesbitt Burns Inc. and the Bank of Montreal. The Pension Fund Society of the Bank of Montreal is a Canadian pension fund advised by Jones Heward Investment Counsel, which is a wholly-owned subsidiary of BMO Harris Investment Management Inc, which is a subsidiary of Jones Heward Investments Inc., which is a subsidiary of Nesbitt Burns Inc. and the Bank of Montreal. BMO Guardian Funds is a wholly-owned subsidiary of Bank of Montreal. First Canadian Mutual Funds are Canadian mutual funds advised and managed by Jones Heward Investment Counsel, BMO Harris Investment Management Inc, and First Canadian Funds Inc., which are wholly-owned direct or indirect subsidiaries of Bank of Montreal. Jones Heward Investment Counsel is a wholly-owned subsidiary of BMO Harris Investment Management Inc, which is a wholly-owned subsidiary of Jones Heward Investments Inc., which is a wholly-owned subsidiary of Bank of Montreal and Nesbitt Burns Inc. Pursuant to Rule 13d-1(k)(1)(iii), Bank of Montreal, Bank of Montreal Holding Inc., Bank of Montreal Securities Canada Limited, BMO Nesbitt Burns Corporation Limited, BMO Nesbitt Burns Inc., Jones Heward Funds, The Pension Society of the Bank of Montreal, First Canadian Funds Inc., First Canadian Mutual Funds, Jones Heward Investment Counsel Inc., Jones Heward Investment Management Inc., Jones Heward Investments Inc., BMO Nesbitt Burns Trading Corp, S.A., HIM first Canadian funds, BMO Financial, Inc, and BMO Guardian Funds,agree to this filing of Schedule 13G by Harris Financial Corp. This exhibit is submitted as proof of their agreement and authorization for Harris Financial Corp. to file on their behalf. Dated: January 10, 2011 BANK OF MONTREAL BY: (Simon Fish) Simon Fish EVP & General Counsel Legal & Financial BANK OF MONTREAL HOLDING INC. BY: (Chris Begy) Chris Begy Vice President, Chief Accountant Harris Financial Corp By: (Terry Jenkins) Terry Jenkins SVP & Head of Private Bank US BMO Nesbitt Burns, Inc By: (Robert Allair) Robert Allair Vice President and Managing director Jones Heward Investments, Inc. By: (Barry Cooper) Barry Cooper President & CEO BMO Harris Investment Management Inc. By: (Yannick Archambault) Yannick Archambault VP & National Director Jones Heward Investment Counsel Inc. By: (Dirk McRobb) Dirk McRobb SVP, Chief Administrative Officer, Chief Compliance Officer BMO Investorline Inc. By: (Tom Flanagan) Tom Flanagan President and CEO The Pension Fund Society of the Bank of Montreal By: (Claire Kyle) Claire Kyle Director BMO Guardian Funds By: (Stuart Freeman) Stuart Freeman Chief Financial Officer Harris Investment Management Inc. By: (Barry McInerney) Barry McInerney President & CEO BMO Trust Company By: (Carol Neal) Carol Neal Chief Financial Officer BMO Investments, Inc By: (Ed Legzdins) Ed Legzdins President and CEO BMO Capital Markets Corp By: (Ivan Gerstein) Ivan Gerstein VP - IBG Finance BMO Nesbitt Burns Trading Corp, S.A. By: (Ivan Gerstein) Ivan Gerstein VP - IBG Finance Sullivan Bruyette Speros & Blaney By: (Greg Sullivan) Greg Sullivan Managing Director Bank of Montreal Securities Canada Ltd. By: (Pierre Greffe) Pierre Greffe Executive Vice President - Finance BMO Nesbitt Burns Corporation Ltd. By: (Robert Allair) Robert Allair Vice president & Managing Director BMO Nesbitt Burns Equity Partners Inc. By: (Brian Staffen) Brian Staffen CFO BMO Mutual Funds By: (Ed Legzdins) Ed Legzdins President BMO Financial Products Corp By: (Ivan Gerstein) Ivan Gerstein VP - IBG finance Harris Investor Services By: (Michael Miroballi) Michael Miroballi President & COO Stoker Ostler Wealth Advisors By: (Greg D. Ostler) Greg D. Ostler Managing Director Schedule 13G Exhibit 2 This Schedule is being filed by Harris Financial Corporation, its parent company, Bank of Montreal. -----END PRIVACY-ENHANCED MESSAGE-----