-----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, HfP9CSJM7JQLar/Fpb9Cv3NxgRtqWdsg+xXXopTqyy4QbTuF+RKm/uzY0Z6nOnqW VqBBxYkbIl/GtOc9QSmvvw== 0000914208-09-001380.txt : 20091013 0000914208-09-001380.hdr.sgml : 20091012 20091013143930 ACCESSION NUMBER: 0000914208-09-001380 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20091013 DATE AS OF CHANGE: 20091013 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PowerShares Exchange-Traded Fund Trust II CENTRAL INDEX KEY: 0001378872 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-83054 FILM NUMBER: 091116470 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 FORMER COMPANY: FORMER CONFORMED NAME: PowerShares Global Exchange-Traded Fund Trust DATE OF NAME CHANGE: 20061023 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Invesco Ltd. CENTRAL INDEX KEY: 0000914208 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 980557567 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1555 PEACHTREE STREET NE STREET 2: SUITE 1800 CITY: ATLANTA STATE: GA ZIP: 30309 BUSINESS PHONE: 404-892-0896 MAIL ADDRESS: STREET 1: 1555 PEACHTREE STREET NE STREET 2: SUITE 1800 CITY: ATLANTA STATE: GA ZIP: 30309 FORMER COMPANY: FORMER CONFORMED NAME: Invesco Ltd DATE OF NAME CHANGE: 20080508 FORMER COMPANY: FORMER CONFORMED NAME: Invesco PLC DATE OF NAME CHANGE: 20080429 FORMER COMPANY: FORMER CONFORMED NAME: Invesco Ltd. DATE OF NAME CHANGE: 20071205 SC 13G 1 powershares.htm POWERSHARES 1-30 LADDERED TREASURY PORTFOLIO

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b)

AND AMENDMENTS FILED THERETO FILED PURSUANT TO RULE 13D-2(b)

Under the Securities Exchange Act of 1934

(Amendment No. )*

PowerShares 1-30 Laddered Treasury Portfolio

(Name of Issuer)

 

ETF

(Title of Classes of Securities)

73936T524

(CUSIP Numbers)

 

September 30, 2009

(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.: 73936T524

1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)

 

Invesco Ltd.

IRS # 980557567

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)

(b)

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Invesco Ltd. - Bermuda

 

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5

SOLE VOTING POWER

 

Invesco Global Asset Management (N.A.), Inc. – 182,190

Invesco Powershares Capital Management – 76,230

6

SHARED VOTING POWER

 

 

7

SOLE DISPOSITIVE POWER

 

Invesco Global Asset Management (N.A.), Inc. – 182,190

Invesco Powershares Capital Management – 76,230

8

SHARED DISPOSITIVE POWER

 

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

258,420

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

N/A

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

10.8%

12

TYPE OF REPORTING PERSON*

 

See Item 3 of this statement

 

 


Item 1(a). Name of Issuer:

PowerShares 1-30 Laddered Treasury Portfolio.

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

PowerShares XTF; 301 W. Roosevelt Road, Wheaton, IL 60187, United States

Item 2(a). Name of Person Filing:

Invesco Ltd.

(b). Address of Principal Business Office or, if none, residence of filing person:

1555 Peachtree Street NE; Atlanta, GA 30309; United States

(c). Citizenship of filing person:

Bermuda

(d). Title of Classes of Securities:

Common Stock .01 par value per share

(e). CUSIP Numbers:

73936T524

 

Item 3. If this statement is filed pursuant to ss240.13d-1(b) or

240.13d-2(b) or (c), check whether the person filing is a:

 

(e) x An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E)

 

(g) x A parent holding company or control person in accordance with section 240.13d-1(b)(1)(ii)(G)

 

Item 4. Ownership:

 

Please see responses to Items 5-8 on the cover of this statement, which are incorporated herein by reference.

 

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 o

 

Item 6. Ownership of More than Five Percent on Behalf of Another Person:

Invesco Global Asset Management (N.A.), Inc.  is a subsidiary of Invesco Ltd. and its clients in the Invesco Aim VI Powershares ETF Fund own 182,190 shares or 7.6 % of the securities reported herein.  Those clients have the right to receive or the power to direct the receipt of dividends and proceeds from the sale of securities listed above.

 


 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being

reported on By the Parent Holding Company:

 

The following subsidiaries of Invesco Ltd. are investment advisers which hold shares of the security being reported:

 

Invesco Global Asset Management (N.A.), Inc.

Invesco Powershares Capital Management

 

Item 8. Identification and Classification of Members of the Group:

 

N/A

 

Item 9. Notice of Dissolution of a 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 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.

 

10/08/09

Date

 

Invesco Ltd.

 

By:

/s/ Lisa Brinkley

Lisa Brinkley

Global Assurance Officer

 

 

EX-99.1 2 jfa09.htm JOINT FILING AGREEMENT

JOINT FILING AGREEMENT

 

 

In accordance with Rule 13d-1(k)(l) under the Securities Exchange Act of 1934,

as amended, the undersigned hereby agree to the joint filing of the attached

Schedule 13G, and any and all amendments thereto, and expressly authorize

Invesco Ltd., as the ultimate parent company of each of its undersigned

subsidiaries, to file such Schedule 13G, and any and all amendments thereto, on

behalf of each of them.

 

 

Dated: 10/08/09

 

 

Invesco Ltd.

 

By: /s/ Lisa Brinkley

Name: Lisa Brinkley

Title: Global Assurance Officer

 

Invesco Aim Advisors, Inc.

 

By: /s/ Todd L. Spillane

 

Name: Todd L. Spillane

Title: Chief Compliance Officer

 

 

Invesco Aim Capital Management, Inc.

 

By: /s/ Todd L. Spillane

 

 

Name: Todd L. Spillane

Title: Chief Compliance Officer

 

 

Invesco Trimark Ltd.

 

By: /s/ Wayne Bolton

 

 

Name: Wayne Bolton

Title: Vice President, Compliance & Chief Compliance Officer

 

Invesco Aim Private Asset Management, Inc.

 

By: /s/ Todd L. Spillane

 

 

Name: Todd L. Spillane

Title: Chief Compliance Officer

 

 

Invesco National Trust Company

 

By:  /s/ Kevin Lyman

 

Name: Kevin Lyman

Title: Assistant General Counsel

 

 

Invesco Hong Kong Limited

 

By: /s/ Asha Balachandra

 

Name: Asha Balachandra

Title: Reg. Head of Legal AP

 

 

Invesco Asset Management Deutschland GmbH

 

By:  /s/  Stephanie Ehrenfried

 

Name: Stephanie Ehrenfried

Title: Head of Legal CE

 

 

Invesco Asset Management Limited

 

By:  /s/ Nick Styman

 

Name: Nick Styman

Title: Director of European Compliance

 

 

Invesco Asset Management S.A.

 

By:  /s/ Nicolas Bouet

 

Name: Nicolas Bouet

Title:  Deputy Managing Director

 

 

Invesco Asset Management S.A.

 

By: /s/ Bernard Aybran

 

Name: Bernard Aybran

Title:  Deputy Managing Director

 

 

Invesco Asset Management Oesterreich GmbH

 

By: /s/ Thomas Kraus

 

Name: Thomas Kraus

Title: Head of Sales

 

Invesco Global Asset Management (N.A.), Inc.

 

By:  /s/ Jeffrey Kupor

 

Name: Jeffrey Kupor

Title: Head of Legal WW Institutional

 

 

Invesco GT Management Company S.A.

 

By: /s/ Nick Styman

 

Name: Nick Styman

Title: Director of European Compliance

 

 

Invesco Institutional (N.A.), Inc.

 

By: /s/ Jeffrey Kupor

 

Name: Jeffrey Kupor

Title: Head of Legal WW Institutional

 

 

Invesco Management S.A.

 

By: /s/ John Rowland

 

Name: John Rowland

Title: Director

 

Invesco Taiwan Limited

 

By:  /s/ Asha Balachandra

 

Name: Asha Balachandra

Title: Reg. Head of Legal, AP

 

 

Invesco Asset Management (Japan) Limited

 

By: /s/ Asha Balachandra

 

Name: Asha Balachandra

Title: Reg. Head of Legal, AP

 

 

Invesco Asset Management Ireland Limited

 

By: /s/ John Rowland

 

Name: John Rowland

Title: Director

 

Invesco Kapitalanlagegesellschaft GmbH

 

By:  /s/ Stephanie Ehrenfried

 

Name: Stephanie Ehrenfried

Title: Head of Legal CE

 

Invesco PowerShares Capital Management LLC

 

By:  /s/ Kevin Gustafson

 

Name: Kevin Gustafson

Title: General Counsel, COO & CCO

 

 

Stein Roe Investment Counsel, Inc.

 

By:  /s/ Greg Campbell

 

Name: Greg Campbell

Title: General Counsel

 

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