0001135428-11-000603.txt : 20111025
0001135428-11-000603.hdr.sgml : 20111025
20111025124643
ACCESSION NUMBER: 0001135428-11-000603
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20111025
DATE AS OF CHANGE: 20111025
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: ADVANCED ANALOGIC TECHNOLOGIES INC
CENTRAL INDEX KEY: 0001104042
STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674]
IRS NUMBER: 770462930
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-81524
FILM NUMBER: 111156137
BUSINESS ADDRESS:
STREET 1: 3230 SCOTT BOULEVARD
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
BUSINESS PHONE: (408) 737-4600
MAIL ADDRESS:
STREET 1: 3230 SCOTT BOULEVARD
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: WATER ISLAND CAPITAL LLC
CENTRAL INDEX KEY: 0001222765
IRS NUMBER: 134100544
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: 41 MADISON AVENUE
STREET 2: 42ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10010
BUSINESS PHONE: 212-584-2367
MAIL ADDRESS:
STREET 1: 41 MADISON AVENUE
STREET 2: 42ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10010
SC 13D/A
1
aati_13d.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )
ADVANCED ANALOGIC TECHNOLOGIES INC
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
--------------------------------------------------------------------------------
(Title of Class of Securities)
00752J108
--------------------------------------------------------------------------------
(CUSIP Number)
9/30/2011
--------------------------------------------------------------------------------
(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)
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. 00752J108
- ------------------------------
1. NAME OF REPORTING PERSON
Water Island Capital, LLC
- --------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
Not Applicable
(a) [ ]
(b) [ ]
- ---------------------------------------------------------------------------
3. SEC USE ONLY
- ---------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- ---------------------------------------------------------------------------
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
5. SOLE VOTING POWER
5038115
- ---------------------------------------------------------
6. SHARED VOTING POWER
None
- ----------------------------------------------------------
7. SOLE DISPOSITIVE POWER
4853006
- -------------------------------------------------
8. SHARED DISPOSITIVE POWER
None
- ---------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5038115
- ---------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable
- ---------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11.411
- ---------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
IA
- ---------------------------------------------------------------------------
CUSIP No. 00752J108
- ------------------------------
Item 1(a) Name of Issuer:
ADVANCED ANALOGIC TECHNOLOGIES INC
Item 1(b) Address of Issuer's Principal Executive Offices:
3230 SCOTT BOULEVARD
SANTA CLARA CA 95054
Item 2(a) Name of Person(s) Filing:
WATER ISLAND CAPITAL LLC ("WIC")
Item 2(b) Address of Principal Business Office:
41 MADISON AVE 42nd FLOOR
NEW YORK NY 10010
Item 2(c) Citizenship:
WIC is a Delaware limited liability company.
Item 2(d) Title of Class of Securities:
Common Stock
Item 2(e) CUSIP Number:
00752J108
Item 3 Type of Person:
(e) WIC is an Investment Adviser in accordance with Rule 13d-1(b)(1)(ii)(F).
Item 4 Ownership:
(a) Amount beneficially owned:
5038115
(b) Percent of class:
11.411
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
5038115
(ii) Shared power to vote or to direct the vote:
None
(iii) Sole power to dispose or direct the disposition of:
5038115
(iv) Shared power to dispose or direct the disposition of:
None
Item 5 Ownership of Five Percent or Less of a Class:
Not Applicable
Item 6 Ownership of More than Five Percent on Behalf of Another Person:
Not Applicable
Item 7 Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on by the Parent Holding Company:
WIC is an Investment Adviser registered under section 203 of the
Investment Advisers Act of 1940, as amended.
CUSIP No. 00752J108
- ------------------------------
Item 8 Identification and Classification of Members of the Group:
Not Applicable
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.
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: 10/21/2011
WATER ISLAND CAPITAL LLC
By: /s/ Matthew Hemberger
----------------------------
Matthew Hemberger
Chief Financial Officer and Chief Compliance Officer