0001133639-14-000009.txt : 20140314
0001133639-14-000009.hdr.sgml : 20140314
20140314092120
ACCESSION NUMBER: 0001133639-14-000009
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20140314
DATE AS OF CHANGE: 20140314
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: ALPS ETF Trust
CENTRAL INDEX KEY: 0001414040
IRS NUMBER: 000000000
FISCAL YEAR END: 1130
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-87325
FILM NUMBER: 14692972
BUSINESS ADDRESS:
STREET 1: P.O. Box 328
CITY: Denver
STATE: CO
ZIP: 80201-0328
BUSINESS PHONE: 303.623.2577
MAIL ADDRESS:
STREET 1: P.O. Box 328
CITY: Denver
STATE: CO
ZIP: 80201-0328
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
r13g0214_ALPS.txt
SCHEDULE 13 G/A 2/28/14
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
(Rule 13d-102)
INFORMATION STATEMENT
PURSUANT TO RULES 13d-1 AND 13d-2
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
ALPS Equity High Volatility Put Write Index Fund
(Name of Issuer)
COMMON STOCK
(Title of Class of Securities)
00162Q734
(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/A
CUSIP NO. 00162Q734 Page 2 of 4 Pages
ALPS Equity High Volatility Put Write Index Fund
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 249,499
SHARES
BENEFICIALLY 6. SHARED VOTING POWER 0
OWNED BY
EACH 7. SOLE DISPOSITIVE POWER 249,499
REPORTING
PERSON 8. SHARED DISPOSITIVE POWER 0
WITH
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 249,499
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11.34%
12. TYPE OF REPORTING PERSON*
Qualified Institutional Investor
SCHEDULE 13G/A
CUSIP NO. 00162Q734 Page 3 of 4 Pages
ALPS Equity High Volatility Put Write Index Fund
Item 1(a) Name of Issuer: ALPS Equity High Volatility Put Write Index Fund
Item 1(b) Address of Issuer's principal executive offices:
ALPS ETF Trust
1290 Broadway, Suite 1100
Denver, Colorado 80203
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: 249,499
Item 4(b) Percent of class: 11.34%
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:
NOT APPLICABLE
Item 6 Ownership of more than 5 percent on behalf of another person:
NOT APPLICABLE
SCHEDULE 13G/A
CUSIP NO. 00162Q734 Page 4 of 4 Pages
ALPS Equity High Volatility Put Write Index Fund
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: March 14, 2014
/s/ Todd Minichino
-----------------------------
Name: Todd Minichino
Title: Senior Director