-----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, OlzMzCqOkgWPh3W9OU1MtrCb1gQlXh6bOEkCaffBWzhOxunRQkCifz5ngXPHsiyo fxeeE+3LD3BVDc2NYod4pg== 0001488446-10-000009.txt : 20100607 0001488446-10-000009.hdr.sgml : 20100607 20100607172524 ACCESSION NUMBER: 0001488446-10-000009 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100607 DATE AS OF CHANGE: 20100607 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPDR SERIES TRUST CENTRAL INDEX KEY: 0001064642 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78784 FILM NUMBER: 10882117 BUSINESS ADDRESS: STREET 1: ONE LINCOLN STREET STREET 2: CPH0326 CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 866-787-2257 MAIL ADDRESS: STREET 1: ONE LINCOLN STREET STREET 2: CPH0326 CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: STREETTRACKS SERIES TRUST DATE OF NAME CHANGE: 20000925 FORMER COMPANY: FORMER CONFORMED NAME: INDEX EXCHANGE LISTED SECURITIES TRUST DATE OF NAME CHANGE: 19980622 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Astor Asset Management, LLC CENTRAL INDEX KEY: 0001488446 IRS NUMBER: 364471134 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 111 S WACKER DRIVE STREET 2: SUITE 3910 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-373-6280 MAIL ADDRESS: STREET 1: 111 S WACKER DRIVE STREET 2: SUITE 3910 CITY: CHICAGO STATE: IL ZIP: 60606 SC 13G 1 xph13g20100531.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SPDR S&P PHARMACEUTICALS ETF - -------------------------------------------------------------------------------- (Name of Issuer) EXCHANGE-TRADED FUND - -------------------------------------------------------------------------------- (Title of Class of Securities) 78464A722 - -------------------------------------------------------------------------------- (CUSIP Number) MAY 28, 2010 - -------------------------------------------------------------------------------- (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 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. 78464A722 1. NAME OF REPORTING PERSON Astor Asset Management, LLC 36-4471134 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Illinois NUMBER OF 5. SOLE VOTING POWER 19,576 SHARES BENEFICIALLY 6. SHARED VOTING POWER 0 OWNED BY EACH 7. SOLE DISPOSITIVE POWER 588,755 REPORTING PERSON WITH 8. SHARED DISPOSITIVE POWER 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 588,755 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.1% 12. TYPE OF REPORTING PERSON IA Schedule 13G Additional Information Item 1. (a) Name of Issuer SSGA Funds Management Inc (b) Address of Issuer's Principal Executive Offices State Street Bank and Trust Company One Lincoln Center Boston, MA 02211 Item 2. (a) Name of Person Filing Astor Asset Management, LLC (b) Address of Principal Business Office for Each of the Above 111 S Wacker Drive, Suite 3910 Chicago, IL 60606 (c) Citizenship Illinois (d) Title of Class of Securities Exchange-Traded Fund (e) CUSIP Number 78464A722 3. If this statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker of dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) [X] An investment advisor in accordance with 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investement Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with 240.13d-1(b)(ii)(J). 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 588,755 (b) Percent of class: 17.1% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 19,576 (ii) Shared power to vote or to direct the vote 0 (iii) Sole power to dispose or to direct the disposition of 588,755 (iv) Shared power to dispose or to direct the disposition of 0 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 [ ]. 6. Ownership of More than Five Percent on Behalf of Another Person. Securities reported on this Schedule 13G as being beneficially owned are held on behalf of investment advisory clients, which may included investment companies registered under the Investment Company Act, employee benefit plans, pension funds or other institution and/or individual clients. 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company Not applicable. 8. Identification and Classification of Members of the Group Not applicable. 9. Notice of Dissolution of Group Not applicable. 10. Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such 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. Date 06/07/2010 ----------------------- Date /s/Robert Stein ----------------------- Signature Managing Director ----------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----