0000950123-11-059284.txt : 20110616 0000950123-11-059284.hdr.sgml : 20110616 20110615184131 ACCESSION NUMBER: 0000950123-11-059284 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110616 DATE AS OF CHANGE: 20110615 GROUP MEMBERS: AMERIPRISE FINANCIAL, INC GROUP MEMBERS: COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 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: 11913825 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: Seligman Spectrum Focus (Master) Fund CENTRAL INDEX KEY: 0001404098 IRS NUMBER: 980498128 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: PO BOX 309 UGLAND HOUSE STREET 2: 113 SOUTH CHURCH STREET CITY: GEORGE TOWN, GRAND CAYMAN STATE: E9 ZIP: BWI BUSINESS PHONE: 212-850-1864 MAIL ADDRESS: STREET 1: 100 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 SC 13D/A 1 c65162sc13dza.htm SC 13D/A sc13dza
 
 
UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
[Rule 13d-101]
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
Advanced Analogic Technologies Incorporated
 
(Name of Issuer)
Common Stock, $0.001 par value per share
 
(Title of Class of Securities)
00752J108
 
(CUSIP Number)
Seligman Spectrum Focus (Master) Fund
P.O. Box 309
Ugland House, South Church Street
George Town, Grand Cayman KY1-1104, Cayman Islands
Telephone: (212) 850-1864
with copies to:
Michael J. Kennedy, Esq.
Steve L. Camahort, Esq.
Shearman & Sterling LLP
525 Market Street
San Francisco, CA 94105
Telephone: (415) 616-1100
 
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
June 14, 2011
 
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
* 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 disclosures provided in a prior cover page.
The information required on 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   NAMES OF REPORTING PERSONS.

Ameriprise Financial, Inc.

I.R.S. Identification Nos. of above persons (entities only)
13-3180631
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o 
  (b)   þ 
     
3   SEC USE ONLY
   
   
     
4   SOURCE OF FUNDS (SEE INSTRUCTIONS)
   
  OO
     
5   CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
   
  o
     
6   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Delaware
       
  7   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 8   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   2,438,492
       
EACH 9   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH 10   SHARED DISPOSITIVE POWER
     
    2,438,492
     
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  2,438,492
     
12   CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   
  5.69%
     
14   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  CO


 

                     
CUSIP No.
 
00752J108 
 

 

           
1   NAMES OF REPORTING PERSONS.

Columbia Management Investment Advisers, LLC
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o 
  (b)   þ 
     
3   SEC USE ONLY
   
   
     
4   SOURCE OF FUNDS (SEE INSTRUCTIONS)
   
  OO
     
5   CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
   
  o
     
6   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Minnesota
       
  7   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 8   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   2,438,492
       
EACH 9   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH 10   SHARED DISPOSITIVE POWER
     
    2,438,492
     
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  2,438,492
     
12   CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   
  5.69%
     
14   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IA


 

                     
CUSIP No.
 
00752J108 
 

 

           
1   NAMES OF REPORTING PERSONS.

Seligman Spectrum Focus (Master) Fund

I.R.S. Identification Nos. of above persons (entities only)
98-0498128
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o 
  (b)   þ 
     
3   SEC USE ONLY
   
   
     
4   SOURCE OF FUNDS (SEE INSTRUCTIONS)
   
  WC
     
5   CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
   
  o
     
6   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Cayman Islands
       
  7   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 8   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   2,162,669
       
EACH 9   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH 10   SHARED DISPOSITIVE POWER
     
    2,162,669
     
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  2,162,669
     
12   CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   
  5.05%
     
14   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  CO


 

     This Amendment No. 3 to Schedule 13D is being filed jointly by the following (each a “Reporting Person” and collectively, the “Reporting Persons”): (1) Ameriprise Financial, Inc., a Delaware corporation (“AFI”), (2) Columbia Management Investment Advisers, LLC, a Minnesota limited liability company (formerly known as RiverSource Investments, LLC, “Columbia Management”), and (3) Seligman Spectrum Focus (Master) Fund, an exempted company incorporated in the Cayman Islands (“Focus Fund”), to supplement and amend the Schedule 13D filed on behalf of the Reporting Persons. Each item below amends and supplements the information disclosed under the corresponding item of Schedule 13D. Capitalized terms defined in the Schedule 13D are used herein with their defined meaning. The information set forth in response to each separate Item below shall be deemed to be a response to all Items where such information is relevant.
Item 3. Source Amount of Funds or Other Consideration
     The shares of Common Stock purchased by Focus Fund were purchased with working capital in open market purchases. The aggregate purchase cost of the 2,162,669 shares of Common Stock beneficially owned by Focus Fund is approximately $13,084,147, excluding brokerage commissions.
Item 5. Interest in Securities of the Issuer
     (a-b) The following disclosure assumes there are 42,829,856 shares of Common Stock outstanding, which the Issuer represented to be the number of shares of Common Stock outstanding as of April 27, 2011 in the Issuer’s Quarterly Report on Form 10-Q, as filed with the Securities and Exchange Commission on May 3, 2011.
     As of June 14, 2011, Focus Fund beneficially owned 2,162,669 shares of Common Stock, which constitutes approximately 5.05% of the shares of Common Stock outstanding.
     As of June 14, 2011, Columbia Management and AFI do not directly own any shares of Common Stock of the Issuer. As the investment adviser of Focus Fund and various other unregistered and registered investment companies and other managed accounts, Columbia Management may be deemed to beneficially own 2,438,492 shares of Common Stock held by Focus Fund and eight other clients of Columbia Management, which constitutes approximately 5.69% of the shares of Common Stock outstanding. To the knowledge of the Reporting Persons, as of June 14, 2011, only eight other clients of Columbia Management besides Focus Fund beneficially owned shares of Common Stock and only Focus Fund beneficially owned more than 5% of the shares of Common Stock outstanding.
     As the sole owner and parent company of Columbia Management, AFI may be deemed to beneficially own 2,438,492 shares of Common Stock, which constitutes approximately 5.69% of the shares of Common Stock outstanding.
     Except as set forth in this Item 5(a), none of the Reporting Persons beneficially owns any shares of Common Stock.
     (c) Schedule A annexed hereto lists all transactions in the shares of Common Stock during the past 60 days by the Reporting Persons.
     (d) To the knowledge of the Reporting Persons, no other persons besides the stockholders and those persons for whose shares of Common Stock the stockholders report beneficial ownership have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities of the Issuer reported herein; provided, however, that eight Columbia Management clients (each not a Reporting Person hereunder) owning in the aggregate 275,823 shares of Common Stock of the Issuer have the right to receive any dividends paid by the Issuer and could terminate their respective investment advisory relationship with Columbia Management and then subsequently direct the use of proceeds from the sale of the Common Stock owned by such client.
     (e) Not applicable.
     Except as set forth above, to the knowledge of the Reporting Persons, none of the other persons listed in Item 2 above has beneficial ownership of any shares of Common Stock.

 


 

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: June 14, 2011  Seligman Spectrum Focus (Master) Fund
 
 
  By:   /s/ Eric Brandt    
  Name:   Eric Brandt   
  Title:   Authorized Person   
 
  Ameriprise Financial, Inc.
 
 
  By:   /s/ Wade M. Voigt    
  Name:   Wade M. Voigt   
  Title:   Director — Fund Administration   
 
  Columbia Management Investment Advisers, LLC
 
 
  By:   /s/ Eric Brandt    
  Name:   Eric Brandt   
  Title:   Vice President and Assistant Secretary   

 


 

         
Schedule A
Transactions in the Shares During the Past 60 days
                         
For the   Shares of Common Stock   Price Per   Date of
Account of   Purchased/(Sold)   Share ($U.S.)   Purchase/(Sale)
Client 1
    19,000       4.3350       05/03/2011  
Client 1
    (67,200 )     3.9000       05/27/2011  
Focus Fund
    (578,500 )     6.0400       06/06/2011  
Focus Fund
    (572,800 )     6.0400       06/06/2011  
Client 2
    (16,900 )     6.0500       06/09/2011  
Client 3
    (12,400 )     6.0500       06/09/2011  
Focus Fund
    (318,400 )     6.0500       06/09/2011  
Client 2
    (500 )     6.0500       06/10/2011  
Client 3
    (400 )     6.0500       06/10/2011  
Focus Fund
    (9,100 )     6.0500       06/10/2011  
Client 2
    (200 )     6.0500       06/13/2011  
Client 3
    (100 )     6.0500       06/13/2011  
Focus Fund
    (3,600 )     6.0500       06/13/2011  
Client 2
    (3,900 )     6.0500       06/14/2011  
Client 3
    (2,900 )     6.0500       06/14/2011  
Focus Fund
    (74,200 )     6.0500       06/14/2011