-----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, VhWwZIi01lTELTlGXcWIbXj0yjOjfGKRVpTE+CKQBIViwzWqbPGfHiX8O9208EbJ jcwV/rhHzOVB9lG/LgoMrw== 0001144204-08-059463.txt : 20081027 0001144204-08-059463.hdr.sgml : 20081027 20081027161757 ACCESSION NUMBER: 0001144204-08-059463 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20081027 DATE AS OF CHANGE: 20081027 GROUP MEMBERS: BLACKWELL PARTNERS LLC GROUP MEMBERS: DUMAC, LLC GROUP MEMBERS: EMPLOYEES' RETIREMENT PLAN OF DUKE UNIVERSITY GROUP MEMBERS: THE DUKE ENDOWMENT SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Specialty Underwriters Alliance, Inc. CENTRAL INDEX KEY: 0001297568 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 200432760 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80472 FILM NUMBER: 081142551 BUSINESS ADDRESS: STREET 1: 222 S. RIVERSIDE PLAZA CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (312) 277-1600 MAIL ADDRESS: STREET 1: 222 S. RIVERSIDE PLAZA CITY: CHICAGO STATE: IL ZIP: 60606 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Duke University CENTRAL INDEX KEY: 0001439873 IRS NUMBER: 560532129 STATE OF INCORPORATION: NC FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: DUKE UNIVERSITY CITY: DURHAM STATE: NC ZIP: 27708 BUSINESS PHONE: (919) 668-9995 MAIL ADDRESS: STREET 1: C/O DUMAC, LLC, 406 BLACKWELL STREET STREET 2: SUITE 300 CITY: DURHAM STATE: NC ZIP: 27701 SC 13G/A 1 v129803_sc13ga.htm Unassociated Document
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
____________

SCHEDULE 13G/A
Under the Securities Exchange Act of 1934

 
Specialty Underwriters Alliance, Inc.
  
 
(Name of Issuer)
  
     
 
Common Stock
  
 
(Title of Class of Securities)
  
     
 
84751T309
  
 
(CUSIP Number)
  
     
 
June 9, 2008
  
 
(Date of Event Which Requires Filing of this Statement)
  
 
Check the appropriate box to designate the rule pursuant to which the Schedule is filed:

 
o
Rule 13d-1(b)

 
x
Rule 13d-1(c)

 
o
Rule 13d-1(d)

 
 
 

 CUSIP No. 84751T309
13G
 
     
1
NAMES OF REPORTING PERSONS
  
     
 
Duke University 
  
     
 
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 
  
     
 
56-0532129 
  
     
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
  
   
(a) o
   
(b) x
3
SEC USE ONLY
  
     
     
4
CITIZENSHIP OR PLACE OF ORGANIZATION
  
     
 
North Carolina  
  
 
5
SOLE VOTING POWER
     
   
0
NUMBER OF
6
SHARED VOTING POWER
SHARES
   
BENEFICIALLY
 
0 
OWNED BY
7
SOLE DISPOSITIVE POWER
EACH
   
REPORTING
  0
PERSON WITH 
8
SHARED DISPOSITIVE POWER
     
    0
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
     
  0  
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
  
     
   
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
  
     
  0.00%  
12
TYPE OF REPORTING PERSON
  
     
 
OO 
  
 
 
 
 

 CUSIP No. 84751T309
13G
 
     
1
NAMES OF REPORTING PERSONS
  
     
 
The Duke Endowment 
  
     
 
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 
  
     
 
56-0529965 
  
     
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
  
   
(a) o
   
(b) x
3
SEC USE ONLY
  
     
     
4
CITIZENSHIP OR PLACE OF ORGANIZATION
  
     
 
North Carolina  
  
 
5
SOLE VOTING POWER
     
   
0
NUMBER OF
6
SHARED VOTING POWER
SHARES
   
BENEFICIALLY
 
0 
OWNED BY
7
SOLE DISPOSITIVE POWER
EACH
   
REPORTING
  0
PERSON WITH 
8
SHARED DISPOSITIVE POWER
     
    0
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
     
  0  
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
  
     
   
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
  
     
  0.00%  
12
TYPE OF REPORTING PERSON
  
     
 
OO 
  
 
 
 
 

 CUSIP No. 84751T309
13G
 
     
1
NAMES OF REPORTING PERSONS
  
     
 
DUMAC, LLC
  
     
 
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 
  
     
 
65-1319939
  
     
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
  
   
(a) o
   
(b) x
3
SEC USE ONLY
  
     
     
4
CITIZENSHIP OR PLACE OF ORGANIZATION
  
     
 
North Carolina  
  
 
5
SOLE VOTING POWER
     
   
0
NUMBER OF
6
SHARED VOTING POWER
SHARES
   
BENEFICIALLY
 
0 
OWNED BY
7
SOLE DISPOSITIVE POWER
EACH
   
REPORTING
  0
PERSON WITH 
8
SHARED DISPOSITIVE POWER
     
    0
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
     
  0  
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
  
     
   
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
  
     
  0.00%  
12
TYPE OF REPORTING PERSON
  
     
 
IA
  
 
 
 
 

 CUSIP No. 84751T309
13G
 
     
1
NAMES OF REPORTING PERSONS
  
     
 
Blackwell Partners LLC
  
     
 
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 
  
     
 
20-8075455
  
     
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
  
   
(a) o
   
(b) x
3
SEC USE ONLY
  
     
     
4
CITIZENSHIP OR PLACE OF ORGANIZATION
  
     
 
Georgia
 
 
5
SOLE VOTING POWER
     
   
0
NUMBER OF
6
SHARED VOTING POWER
SHARES
   
BENEFICIALLY
 
0 
OWNED BY
7
SOLE DISPOSITIVE POWER
EACH
   
REPORTING
  0
PERSON WITH 
8
SHARED DISPOSITIVE POWER
     
    0
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
     
  0  
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
  
     
   
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
  
     
  0.00%  
12
TYPE OF REPORTING PERSON
  
     
 
IV
  
 
 
 
 

 CUSIP No. 84751T309
13G
 
     
1
NAMES OF REPORTING PERSONS
  
     
 
Employees’ Retirement Plan of Duke University
  
     
 
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 
  
     
 
58-2255087
  
     
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
  
   
(a) o
   
(b) x
3
SEC USE ONLY
  
     
     
4
CITIZENSHIP OR PLACE OF ORGANIZATION
  
     
 
North Carolina  
  
 
5
SOLE VOTING POWER
     
   
0
NUMBER OF
6
SHARED VOTING POWER
SHARES
   
BENEFICIALLY
 
0 
OWNED BY
7
SOLE DISPOSITIVE POWER
EACH
   
REPORTING
  0
PERSON WITH 
8
SHARED DISPOSITIVE POWER
     
    0
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
     
  0  
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
  
     
   
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
  
     
  0.00%  
12
TYPE OF REPORTING PERSON
  
     
 
EP
  
 
 
 
 

Item 1(a).
Name of Issuer:

Specialty Underwriters Alliance, Inc.

Item 1(b).
Address of Issuer’s Principal Executive Offices:

222 S. Riverside Plaza
Chicago, IL 60606

Item 2(b).
Name of Person Filing:

Duke University

The Duke Endowment

DUMAC, LLC

Blackwell Partners LLC

Employees’ Retirement Plan of Duke University

Item 2(b).
Address of Principal Business Office:

Duke University
c/o DUMAC, LLC
406 Blackwell Street, Suite 300
Durham, NC 27701

The Duke Endowment
c/o DUMAC, LLC
406 Blackwell Street, Suite 300
Durham, NC 27701

DUMAC, LLC
406 Blackwell Street, Suite 300
Durham, NC 27701

Blackwell Partners LLC
c/o DUMAC, LLC
406 Blackwell Street, Suite 300
Durham, NC 27701

Employees’ Retirement Plan of Duke University
c/o DUMAC, LLC
406 Blackwell Street, Suite 300
Durham, NC 27701
 
 
 
 
 
Item 2(c).
Citizenship:

Duke University -- North Carolina

The Duke Endowment -- North Carolina

DUMAC, LLC -- North Carolina

Blackwell Partners LLC -- Georgia

Employees’ Retirement Plan of Duke University -- North Carolina

Item 2(d).
Title of Class of Securities

Common Stock, $0.01 par value

Item 2(e).
CUSIP Number:

84751T309

 
 
 

CUSIP No. 84751T309
    

Item 3.
If this statement is filed pursuant to rule 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.
     
(b)
___
Bank as defined in Section 3(a)(6) of the Act.
     
(c)
___
Insurance company as defined in Section 3(a)(19) of the Act.
     
(d)
___
Investment company registered under Section 8 of the Investment Company Act of 1940.
     
(e)
___
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 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.
     
(j)
___
Group, in accordance with Section 240.13d-1(b)(1)(ii)(J).
 
 
Item 4.
Ownership

This Schedule 13G/A amends the Schedule 13G filed on August 7, 2008 to reflect the disposition of all shares beneficially owned by Duke University, The Duke Endowment, Blackwell Partners LLC (“Blackwell”), DUMAC, LLC (“DUMAC”) and the Employees Retirement Plan of Duke University. As of the date of this filing, none of Duke University, The Duke Endowment, Blackwell, DUMAC nor the Employees’ Retirement Plan of Duke University beneficially own any shares of Specialty Underwriters’ Alliance.

DUMAC is a North Carolina limited liability company formed by Duke University and The Duke Endowment, a charitable trust established in 1924 by James B. Duke, to provide the members and their affiliated entities with investment management services on a not-for-profit basis. Duke University owns approximately 74% of the membership interests in DUMAC, while The Duke Endowment owns the remainder, or approximately 26%. As a result, Duke University is deemed to control DUMAC. Blackwell Partners LLC (“Blackwell”) is a Georgia limited liability company through which Duke University and the Duke Endowment make certain of their segregated account investments. Duke University owns approximately 77.9% of the membership interests of Blackwell through its wholly-owned subsidiary, Gothic Corporation, while The Duke Endowment owns approximately 22.0% of the membership interests of Blackwell. Each of Duke University, the Duke Endowment and Blackwell receive investment management services from DUMAC.
 
 
 
 
 
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 5 percent of the class of securities, check the following [ X ].

Item 6
Ownership of More Than 5 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 or Control Person

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

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were 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.

DATED: October 27, 2008
     
  Duke University
 
 		  
 		  
 
By:   /s/ Bart J. Brunk
 
Name: Bart J. Brunk
 
Title: Controller
DUMAC, LLC
 
     
  DUMAC, LLC
 
 		  
 		  
 
By:   /s/ Bart J. Brunk
 
Name: Bart J. Brunk
 
Title: Controller
DUMAC, LLC
 
     
  Blackwell Partners LLC
 
 		  
 		  
 
By:   /s/ Bart J. Brunk
 
Name: Bart J. Brunk
 
Title: Controller
DUMAC, LLC
 
     
  The Duke Endowment
 
 		  
 		  
 
By:   /s/ Bart J. Brunk
 
Name: Bart J. Brunk
 
Title: Controller
DUMAC, LLC
 
     
  Employees’ Retirement Plan of Duke University
 
 		  
 		  
 
By:   /s/ Bart J. Brunk
 
Name: Bart J. Brunk
 
Title: Controller
DUMAC, LLC
 
 
 
 
 
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