0001133639-14-000024.txt : 20140910 0001133639-14-000024.hdr.sgml : 20140910 20140910141100 ACCESSION NUMBER: 0001133639-14-000024 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140910 DATE AS OF CHANGE: 20140910 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: 141095570 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 r13g0814_ALPS.txt FORM 13G/A AS OF 8/31/14 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. 7)** 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). ** This Amendment No. 7 is Final and Terminating Amendment. 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 0 SHARES BENEFICIALLY 6. SHARED VOTING POWER 0 OWNED BY EACH 7. SOLE DISPOSITIVE POWER 0 REPORTING PERSON 8. SHARED DISPOSITIVE POWER 0 WITH 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% 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: 0 Item 4(b) Percent of class: 0% 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: September 10, 2014 /s/ Todd Minichino ----------------------------- Name: Todd Minichino Title: Senior Director