0001013228-16-003350.txt : 20160210
0001013228-16-003350.hdr.sgml : 20160210
20160210131704
ACCESSION NUMBER: 0001013228-16-003350
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160210
DATE AS OF CHANGE: 20160210
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: LIBERTY ALL STAR GROWTH FUND INC.
CENTRAL INDEX KEY: 0000786035
IRS NUMBER: 521452208
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-84682
FILM NUMBER: 161404404
BUSINESS ADDRESS:
STREET 1: C/O ALPS FUND SERVICES, INC.
STREET 2: P.O. BOX 328
CITY: DENVER
STATE: CO
ZIP: 80201-0328
BUSINESS PHONE: 303.623.2577
MAIL ADDRESS:
STREET 1: C/O ALPS FUND SERVICES, INC.
STREET 2: P.O. BOX 328
CITY: DENVER
STATE: CO
ZIP: 80201-0328
FORMER COMPANY:
FORMER CONFORMED NAME: LIBERTY ALL STAR GROWTH FUND INC /MD/
DATE OF NAME CHANGE: 19960612
FORMER COMPANY:
FORMER CONFORMED NAME: ALLMON CHARLES TRUST INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: GROWTH STOCK OUTLOOK TRUST INC
DATE OF NAME CHANGE: 19910807
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Advisors Asset Management, Inc.
CENTRAL INDEX KEY: 0001297376
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 18925 BASE CAMP ROAD
CITY: MONUMENT
STATE: CO
ZIP: 80132
BUSINESS PHONE: 719-488-8251
MAIL ADDRESS:
STREET 1: 18925 BASE CAMP ROAD
CITY: MONUMENT
STATE: CO
ZIP: 80132
FORMER COMPANY:
FORMER CONFORMED NAME: Fixed Income Securities, Inc.
DATE OF NAME CHANGE: 20080207
FORMER COMPANY:
FORMER CONFORMED NAME: Fixed Income Securities LP
DATE OF NAME CHANGE: 20040715
SC 13G/A
1
aam-sc13ga2_ASG-0000786035.txt
AMENDED SCHEDULE 13G
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2 )*
Liberty All-Star Growth Fund, Inc.
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(NAME OF ISSUER)
Common Stock
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(TITLE OF CLASS OF SECURITIES)
529900102
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(CUSIP NUMBER)
December 31, 2015
-------------------------------------------------------
(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).
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CUSIP NO. 529900102 13G PAGE 2 OF 5 PAGES
--------------------- -----------------------
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1 Name of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Advisors Asset Management, Inc.
20-0532180
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2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC Use Only
--------------------------------------------------------------------------------
4 Citizenship or Place of Organization
Delaware, U.S.A.
--------------------------------------------------------------------------------
5 Sole Voting Power
1,447,573
NUMBER OF ---------------------------------------------------------------
SHARES 6 Shared Voting Power
BENEFICIALLY 0
OWNED BY ---------------------------------------------------------------
EACH 7 Sole Dispositive Power
REPORTING 1,447,573
PERSON WITH ---------------------------------------------------------------
8 Shared Dispositive Power
0
--------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person
1,447,573
--------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
instructions) [_]
--------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
5.848%
--------------------------------------------------------------------------------
12 Type of Reporting Person (See instructions)
BD
IA
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--------------------- -----------------------
CUSIP NO. 529900102 13G PAGE 3 OF 5 PAGES
--------------------- -----------------------
--------------------------------------------------------------------------------
ITEM 1.
(a) Name of Issuer:
Liberty All-Star Growth Fund, Inc.
(b) Address of Issuer's Principal Executive Offices:
c/o Alps Fund Services, Inc.
1290 Broadway, Suite 1100
Denver, CO 80203
ITEM 2.
(a) Name of Person Filing:
Advisors Asset Management, Inc.
(b) Address of Principal Business Office:
18925 Base Camp Road, Monument, Colorado 80132
(c) Citizenship: Delaware, U.S.A.
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 529900102
ITEM 3. If this statement is filed pursuant to ss. 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [X] 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 ss. 240.13d-1(b)(ii)(E).
(f) [_] An employee benefit plan or endowment fund in accordance with
ss. 240.13d-1(b)(1)(ii)(F).
(g) [_] A parent holding company or control person in accordance with
ss. 240.13d-1(b)(1)(ii)(G).
(h) [_] A savings association 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 ss. 240.13d-1(b)(1)(ii)(J).
3
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CUSIP NO. 529900102 13G PAGE 4 OF 5 PAGES
--------------------- -----------------------
--------------------------------------------------------------------------------
ITEM 4. Ownership:
(a) Amount Beneficially Owned: 1,447,573
(b) Percent of Class: 5.848%
(c) Number of Shares as to which such person has:
(i) Sole power to vote or to direct the vote: 1,447,573
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the disposition of: 1,447,573
(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 [ ].
ITEM 6. Ownership of More than Five Percent on Behalf of Another:
Advisors Asset Management, Inc. is sponsor of several unit investment
trusts which hold shares of common stock of the issuer. No unit investment
trust sponsored by Advisors Asset Management, Inc. holds 5% or more of the
issuer's common stock. Advisors Asset Management, Inc. disclaims
beneficial ownership of such shares of the issuer identified in this
filing.
ITEM 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on by the Parent Holding Company:
See Item 6
ITEM 8. Identification and Classification of Members of the Group:
N/A
ITEM 9. Notice of Dissolution of Group:
N/A
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.
4
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CUSIP NO. 529900102 13G PAGE 5 OF 5 PAGES
--------------------- -----------------------
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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.
Advisors Asset Management, Inc.
By: /s/ Scott Colyer February 10, 2016
------------------------------- -----------------------
Scott Colyer
Chief Executive Officer
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL
CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
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