0001104659-15-013535.txt : 20150224 0001104659-15-013535.hdr.sgml : 20150224 20150224172015 ACCESSION NUMBER: 0001104659-15-013535 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150224 DATE AS OF CHANGE: 20150224 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Legg Mason BW Global Income Opportunities Fund Inc. CENTRAL INDEX KEY: 0001504545 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-87255 FILM NUMBER: 15644849 BUSINESS ADDRESS: STREET 1: 55 WATER STREET CITY: NEW YORK STATE: NY ZIP: 10041 BUSINESS PHONE: (888) 777-0102 MAIL ADDRESS: STREET 1: 55 WATER STREET CITY: NEW YORK STATE: NY ZIP: 10041 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WESTERN & SOUTHERN LIFE INSURANCE CO CENTRAL INDEX KEY: 0000784940 IRS NUMBER: 310487145 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 400 BROADWAY CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5136291800 MAIL ADDRESS: STREET 1: 400 BROADWAY CITY: CINCINNATI STATE: OH ZIP: 45202 SC 13G 1 a15-5185_1sc13g.htm SC 13G

 

 

 

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No.     )*

 

Legg Mason BW Global Income Opportunities Fund Inc.

(Name of Issuer)

Mandatory Redeemable Preferred Stock (Series A)

(Title of Class of Securities)

52469B 2#6

(CUSIP Number)

Jeffrey L. Stainton

Vice President and Associate General Counsel

The Western and Southern Life Insurance Company

400 Broadway

Cincinnati, OH 45202

(513) 629-2014

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

February 18, 2015

(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)

o

Rule 13d-1(c)

o

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 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. 52469B 2#6

13G

 

 

 

1.

Names of Reporting Persons
I.R.S. Identification Nos. of Above Persons (Entities Only)

 

The Western and Southern Life Insurance Company

IRS Employer Identification No. 31-0487145

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

x See Item 4.

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Ohio

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
None.

 

6.

Shared Voting Power
200. See item 4.

 

7.

Sole Dispositive Power
None.

 

8.

Shared Dispositive Power
200. See item 4.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
200. See item 4.

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
50%

 

 

12.

Type of Reporting Person (See Instructions)
IC

 

2



 

 

13G

 

 

Item 1.

 

(a)

Name of Issuer
Legg Mason BW Global Income Opportunities Fund Inc.

 

(b)

Address of Issuer’s Principal Executive Offices
620 Eighth Avenue, 49th, New York, New York 10018

 

Item 2.

 

(a)

Name of Person Filing
The Western and Southern Life Insurance Company

 

(b)

Address of  the Principal Office or, if none, Residence
400 Broadway, Cincinnati, Ohio 45202

 

(c)

Citizenship
Ohio

 

(d)

Title of Class of Securities
Mandatory Redeemable Preferred Stock (Series A)

 

(e)

CUSIP Number
52469B 2#6

 

Item 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)

o

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

x

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

 

(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

o

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

 

(h)

o

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

o

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)

o

Group, in accordance with §240.13d–1(b)(1)(ii)(J).

 

3



 

Item 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:   

200

 

(b)

Percent of class:   

50%

 

(c)

Number of shares as to which the person has:

 

 

 

(i)

Sole power to vote or to direct the vote   

None.

 

 

(ii)

Shared power to vote or to direct the vote    

200

 

 

(iii)

Sole power to dispose or to direct the disposition of   

None.

 

 

(iv)

Shared power to dispose or to direct the disposition of   

200.

 

Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

 

Western and Southern has shared power to vote or to direct the vote and shared power to dispose of or direct the disposition of an aggregate of 200 shares of the Issuer’s Mandatory Redeemable Preferred Stock (Series A) which amount includes: (i) 100 shares held by Western-Southern Life Assurance Company, a wholly owned subsidiary of Western and Southern, (ii) 50 shares held by Integrity Life Insurance Company, a wholly owned subsidiary of Western and Southern, and (iii) 50 shares held by National Integrity Life Insurance Company, a wholly owned subsidiary of Western and Southern.

 

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.

 

Instruction. Dissolution of a group requires a response to this item.

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

 

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

 

 

Item 8.

Identification and Classification of Members of the Group.

 

 

Item 9.

Notice of Dissolution of Group.

 

 

4



 

 

13G

 

 

Item 10.

Certification.

 

(a)

The following certification shall be included if the statement is filed pursuant to §240.13d-1(b):

 

 

 

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.

 

 

(b)

The following certification shall be included if the statement is filed pursuant to §240.13d-1(c):

 

 

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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.

 

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.

 

 

February 24, 2015

 

Date

 


/s/ Jeffrey L. Stainton

 

Signature

 


Jeffrey L. Stainton, Vice President

 

Name/Title

 

5