0001193125-13-295980.txt : 20130722 0001193125-13-295980.hdr.sgml : 20130722 20130719185932 ACCESSION NUMBER: 0001193125-13-295980 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130722 DATE AS OF CHANGE: 20130719 GROUP MEMBERS: ARTISAN INVESTMENT CORP GROUP MEMBERS: CARLENE M. ZIEGLER GROUP MEMBERS: ZFIC, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Artisan Partners Asset Management Inc. CENTRAL INDEX KEY: 0001517302 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 450969585 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-87358 FILM NUMBER: 13977905 BUSINESS ADDRESS: STREET 1: 875 E. WISCONSIN AVENUE STREET 2: SUITE 800 CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 414-390-6100 MAIL ADDRESS: STREET 1: 875 E. WISCONSIN AVENUE STREET 2: SUITE 800 CITY: MILWAUKEE STATE: WI ZIP: 53202 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ZIEGLER ANDREW A CENTRAL INDEX KEY: 0001086157 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: C/O ARTISAN PARTNERS LIMITED PARTNERSHIP STREET 2: 875 EAST WISCONSIN AVE STE 800 CITY: MILWAUKEE STATE: WI ZIP: 53202 SC 13D/A 1 d571217dsc13da.htm SCHEDULE 13D AMENDMENT NO. 1 Schedule 13D Amendment No. 1

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

(RULE 13d-101)

Amendment No. 1

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO

§ 204.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO

§240.13d-2(a)

Under the Securities Exchange Act of 1934

 

 

Artisan Partners Asset Management Inc.

(Name of Issuer)

Class A Common Stock, $0.01 par value per share

(Title of Class of Securities)

04316A-108

(CUSIP Number)

Janet D. Olsen

875 E. Wisconsin Ave., Suite 800

Milwaukee, WI 53202

(414) 390-6100

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

July 17, 2013

(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.  ¨

 

 

 


SCHEDULE 13D

 

CUSIP No. 04316A-108   Page 2 of 7

 

  1.   

Name of reporting person

 

Andrew A. Ziegler

  2.  

Check the appropriate box if a member of a group (see instructions)

(a)  ¨        (b)  ¨

 

  3.  

SEC use only

 

  4.  

Source of funds:

 

    OO

  5.  

Check box if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)    ¨

 

  6.  

Citizenship or place of organization:

 

    United States of America

Number of

shares

beneficially

owned by

each

reporting

person

with

 

     7.    

Sole voting power

 

    36,854.3181

     8.   

Shared voting power

 

    0

     9.   

Sole dispositive power

 

    0

   10.   

Shared dispositive power

 

    9,627,6442

11.  

Aggregate amount beneficially owned by each reporting person

 

    36,854,318

12.  

Check box if the aggregate amount in Row (11) excludes certain shares (see instructions)    ¨

 

13.  

Percent of class represented by amount in Row (11)

 

    74.4%3

14.  

Type of reporting person (see instructions)

 

    IN

 

1 

Represents all shares of Class A common stock, Class B common stock and Class C common stock of Artisan Partners Asset Management Inc. that Andrew A. Ziegler has the sole right to vote pursuant to the Stockholders Agreement. Mr. Ziegler disclaims beneficial ownership of all shares subject to the Stockholders Agreement except for those shares owned by Artisan Investment Corporation.

2 

Represents all shares of Class C common stock of Artisan Partners Asset Management Inc. owned by Artisan Investment Corporation. Andrew A. Ziegler is one of two directors of Artisan Investment Corporation.

3 

Represents the amount in Row 11 divided by the sum of the total number of outstanding shares of Class A common stock of Artisan Partners Asset Management Inc. and the amount in Row 11.


SCHEDULE 13D

 

CUSIP No. 04316A-108   Page 3 of 7

 

  1.   

Name of reporting person

 

Artisan Investment Corporation

  2.  

Check the appropriate box if a member of a group (see instructions)

(a)  ¨        (b)  ¨

 

  3.  

SEC use only

 

  4.  

Source of funds:

 

    OO

  5.  

Check box if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)    ¨

 

  6.  

Citizenship or place of organization:

 

    Wisconsin

Number of

shares

beneficially

owned by

each

reporting

person

with

 

     7.    

Sole voting power

 

    04

     8.   

Shared voting power

 

    0

     9.   

Sole dispositive power

 

    0

   10.   

Shared dispositive power

 

    9,627,6445

11.  

Aggregate amount beneficially owned by each reporting person

 

    9,627,644

12.  

Check box if the aggregate amount in Row (11) excludes certain shares (see instructions)    ¨

 

13.  

Percent of class represented by amount in Row (11)

 

    40.3%6

14.  

Type of reporting person (see instructions)

 

    CO

 

4 

Pursuant to the Stockholders Agreement, Andrew A. Ziegler has the power to vote all shares of Class C common stock of Artisan Partners Asset Management Inc. owned by Artisan Investment Corporation.

5 

Represents all shares of Class C common stock of Artisan Partners Asset Management Inc. owned by Artisan Investment Corporation.

6 

Represents the amount in Row 11 divided by the sum of the total number of outstanding shares of Class A common stock of Artisan Partners Asset Management Inc. and the amount in Row 11.


SCHEDULE 13D

 

CUSIP No. 04316A-108   Page 4 of 7

 

  1.   

Name of reporting person

 

ZFIC, Inc.

  2.  

Check the appropriate box if a member of a group (see instructions)

(a)  ¨        (b)  ¨

 

  3.  

SEC use only

 

  4.  

Source of funds:

 

    OO

  5.  

Check box if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)    ¨

 

  6.  

Citizenship or place of organization:

 

    Wisconsin

Number of

shares

beneficially

owned by

each

reporting

person

with

 

     7.    

Sole voting power

 

    07

     8.   

Shared voting power

 

    0

     9.   

Sole dispositive power

 

    0

   10.   

Shared dispositive power

 

    9,627,6448

11.  

Aggregate amount beneficially owned by each reporting person

 

    9,627,644

12.  

Check box if the aggregate amount in Row (11) excludes certain shares (see instructions)    ¨

 

13.  

Percent of class represented by amount in Row (11)

 

    40.3%9

14.  

Type of reporting person (see instructions)

 

    CO

 

7 

Pursuant to the Stockholders Agreement, Andrew A. Ziegler has the power to vote all shares of Class C common stock of Artisan Partners Asset Management Inc. owned by Artisan Investment Corporation, of which ZFIC Inc. is the sole shareholder.

8 

Represents all shares of Class C common stock of Artisan Partners Asset Management Inc. owned by Artisan Investment Corporation, of which ZFIC Inc. is the sole shareholder.

9 

Represents the amount in Row 11 divided by the sum of the total number of outstanding shares of Class A common stock of Artisan Partners Asset Management Inc. and the amount in Row 11.

 

-4-


SCHEDULE 13D

 

CUSIP No. 04316A-108   Page 5 of 7

 

  1.   

Name of reporting person

 

Carlene M. Ziegler

  2.  

Check the appropriate box if a member of a group (see instructions)

(a)  ¨        (b)  ¨

 

  3.  

SEC use only

 

  4.  

Source of funds:

 

    OO

  5.  

Check box if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)    ¨

 

  6.  

Citizenship or place of organization:

 

    United States of America

Number of

shares

beneficially

owned by

each

reporting

person

with

 

     7.    

Sole voting power

 

    010

     8.   

Shared voting power

 

    0

     9.   

Sole dispositive power

 

    0

   10.   

Shared dispositive power

 

    9,627,64411

11.  

Aggregate amount beneficially owned by each reporting person

 

    9,627,644

12.  

Check box if the aggregate amount in Row (11) excludes certain shares (see instructions)    ¨

 

13.  

Percent of class represented by amount in Row (11)

 

    40.3%12

14.  

Type of reporting person (see instructions)

 

    IN

 

10 

Pursuant to the Stockholders Agreement, Andrew A. Ziegler has the power to vote all shares of Class C common stock of Artisan Partners Asset Management Inc. owned by Artisan Investment Corporation.

11 

Represents all shares of Class C common stock of Artisan Partners Asset Management Inc. owned by Artisan Investment Corporation. Carlene M. Ziegler is one of two directors of Artisan Investment Corporation.

12 

Represents the amount in Row 11 divided by the sum of the total number of outstanding shares of Class A common stock of Artisan Partners Asset Management Inc. and the amount in Row 11.

 

-5-


SCHEDULE 13D

 

CUSIP No. 04316A-108    Page 6 of 7

This Amendment No. 1 to Schedule 13D (this “Amendment No. 1”) amends or amends and restates, where indicated, the statement on Schedule 13D relating to the Class A common stock of the Company filed by the Reporting Persons with the Securities and Exchange Commission on March 20, 2013. Capitalized terms used in this Amendment No. 1 but not otherwise defined herein have the meanings given to them in the initial Schedule 13D.

This Amendment No. 1 is being made to reflect changes in the number of shares subject to the Stockholders Agreement described in the original filing, including the issuance by the Company of shares of Class A common stock that are subject to that agreement and changes in the percentages deemed to be beneficially owned by the Reporting Persons as a result of that issuance. Except as otherwise set forth herein, this Amendment No. 1 does not modify any of the information previously reported by the Reporting Persons in the Schedule 13D as amended to date.

 

Item 5. Interest in Securities of the Issuer

(a) – (b)

 

Name

   Aggregate
Number of
Shares of Class
A Common
Stock
Beneficially
Owned
     Percentage
of
Outstanding
Class A
Common
Stock
    Sole Voting
Power
     Shared
Voting
Power
     Sole
Power to
Dispose
     Shared
Power to
Dispose
 

Andrew A. Ziegler

     36,854,318         74.4     36,854,318         0         0         9,627,644   

Artisan Investment Corporation

     9,627,644         40.3     0         0         0         9,627,644   

ZFIC Inc.

     9,627,644         40.3     0         0         0         9,627,644   

Carlene M. Ziegler

     9,627,644         40.3     0         0         0         9,627,644   

The percentages in the column titled Percentage of Outstanding Class A Common Stock are calculated in accordance with Rule 13d-3(d)(1)(i) and thereby represent each Reporting Person’s aggregate number of shares of Class A common stock beneficially owned, divided by the sum of the total number of outstanding shares of Class A common stock and the Reporting Person’s aggregate number of shares of Class A common stock beneficially owned.

(d) With respect to the 36,854,318 shares of Class A common stock beneficially owned by Mr. Ziegler, 9,627,644 of those shares are directly owned by AIC and the balance of the shares are owned by employees of the Company. Mr. Ziegler disclaims beneficial ownership of all 36,854,318 shares except for those shares owned by AIC.


SCHEDULE 13D

 

CUSIP No. 04316A-108    Page 7 of 7

SIGNATURES

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: July 19, 2013
ANDREW A. ZIEGLER
By:  

Sarah A. Johnson *

CARLENE M. ZIEGLER
By:  

Sarah A. Johnson *

ARTISAN INVESTMENT CORPORATION
By:  

Sarah A. Johnson *

ZFIC, INC.
By:  

Sarah A. Johnson *

*By:   /s/ Sarah A. Johnson
  Attorney-in-Fact for Andrew A. Ziegler
  Attorney-in-Fact for Carlene M. Ziegler
  Attorney-in-Fact for Artisan Investment Corporation
  Attorney-in-Fact for ZFIC, Inc.