0001133639-15-000006.txt : 20150211
0001133639-15-000006.hdr.sgml : 20150211
20150210184452
ACCESSION NUMBER: 0001133639-15-000006
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150211
DATE AS OF CHANGE: 20150210
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: Claymore Exchange-Traded Fund Trust
CENTRAL INDEX KEY: 0001364089
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-82978
FILM NUMBER: 15595575
BUSINESS ADDRESS:
STREET 1: C/O GUGGENHEIM FUNDS INVESTMENT ADVISORS
STREET 2: 227 W. MONROE STREET
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 312-357-0394
MAIL ADDRESS:
STREET 1: C/O GUGGENHEIM FUNDS INVESTMENT ADVISORS
STREET 2: 227 W. MONROE STREET
CITY: CHICAGO
STATE: IL
ZIP: 60606
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CENTRAL INDEX KEY: 0001133639
IRS NUMBER: 522206685
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 51 MADISON AVE
CITY: NEW YORK
STATE: NY
ZIP: 10010
BUSINESS PHONE: 2125767000
MAIL ADDRESS:
STREET 1: 51 MADISON AVE
CITY: NEW YORK
STATE: NY
ZIP: 10010
SC 13G/A
1
r13g0115_GSY.txt
FORM 13G/A - 1/31/15
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION STATEMENT
PURSUANT TO RULES 13d-1 AND 13d-2
Under the Securities Exchange Act of 1934
(Amendment No. 1)
GUGGENHEIM ENHANCED SHORT DURATION ETF
(Name of Issuer)
COMMON STOCK
(Title of Class of Securities)
18383M654
(CUSIP Number)
*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).
SCHEDULE 13G
CUSIP NO. 18383M654 Page 2 of 4 Pages
GUGGENHEIM ENHANCED SHORT DURATION ETF
1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
NEW YORK LIFE INVESTMENT MANAGEMENT, LLC.
EIN # 52-2206685
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK, NY
NUMBER OF 5. SOLE VOTING POWER 659,122
SHARES
BENEFICIALLY 6. SHARED VOTING POWER 0
OWNED BY
EACH 7. SOLE DISPOSITIVE POWER 659,122
REPORTING
PERSON 8. SHARED DISPOSITIVE POWER 0
WITH
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 659,122
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.58%
12. TYPE OF REPORTING PERSON*
Qualified Institutional Investor
SCHEDULE 13G
CUSIP NO. 18383M654 Page 3 of 4 Pages
GUGGENHEIM ENHANCED SHORT DURATION ETF
Item 1(a) Name of Issuer: GUGGENHEIM ENHANCED SHORT DURATION ETF
Item 1(b) Address of Issuer's principal executive offices:
Claymore Exchange-Traded Fund Trust
227 West Monroe Street
Chicago, Illinois 60606
Item 2(a) Name of person filing: New York Life Investment
Management, LLC.
Item 2(b) Address of principal business office:
51 Madison Avenue
New York, NY 10010
Item 2(c) Citizenship: See Item 4 of Cover Page
Item 2(d) Title of class of securities: See Cover Page
Item 2(e) Cusip No.: See Cover Page
Item 3 Type of Person: See Item 12 of Cover Page
Item 4(a) Amount beneficially owned: 659,122
Item 4(b) Percent of class: 7.58%
Item 4(c) For information regarding voting and dispositive power with
respect to the above listed shares see items 5-8 of Cover
Page.
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 FIVE
PERCENT OF THE CLASS SECURITIES, CHECK THE
FOLLOWING ( ).
Item 6 Ownership of more than 5 percent on behalf of another person:
NOT APPLICABLE
SCHEDULE 13G
CUSIP NO. 18383M654 Page 4 of 4 Pages
GUGGENHEIM ENHANCED SHORT DURATION ETF
Item 7 Identification and classification of subsidiary which acquired the
security being reported on by the parent holding company:
NOT APPLICABLE
Item 8 Identification and classification of members of the group: NOT
APPLICABLE
Item 9 Notice of dissolution of the 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.
Dated: February 10, 2015
/s/ Todd Minichino
-----------------------------
Name: Todd Minichino
Title: Senior Director