Exchange Traded Fund
(Title of class of securities)
78355W304
(CUSIP number)
April 10, 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:
¨ Rule
13d-1(b)
x Rule 13d-1(c)
¨ 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 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).
Page 1 of 5 pages
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CUSIP No. 78355W304
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13G |
Page 2 of 5 Pages |
1. Name of Reporting Person
Gareth Morgan Investments Limited Partnership
2. Check the Appropriate Box if a Member of
a Group
(a) ¨
(b) ¨
3. SEC Use Only
4. Citizenship or Place of Organization
New Zealand
| Number of |
5. |
Sole Voting Power |
| Shares |
|
13,452 |
| Beneficially |
|
|
| Owned by |
6. |
Shared Voting Power |
| Each |
|
925,834 |
| Reporting |
|
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| Person |
7. |
Sole Dispositive Power |
| With: |
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13,452 |
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8. |
Shared Dispositive Power |
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925,834 |
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9. Aggregate Amount Beneficially Owned by
Each Reporting Person
939,286*
10. Check
if the Aggregate Amount in Row (9) Excludes Certain Shares
¨
11. Percent
of Class Represented by Amount in Row (9)
5.10% (based on 18,402,836 units outstanding as at April 10, 2015 (as reported on Bloomberg LP))
12. Type
of Reporting Person
PN
*The securities reported herein are beneficially owned by portfolio accounts managed by
Gareth Morgan Investments Limited Partnership ("GMILP") and superannuation schemes for which GMILP is the manager and/or investment manager, none of which, to
its knowledge, owns five per cent or more of the class. The economic interest or beneficial ownership in any of the securities is held for the benefit of the
owners of the portfolio accounts or the members of the schemes and, accordingly, GMILP disclaims beneficial ownership.
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CUSIP No. 78355W304
|
13G |
Page 3 of 5 Pages |
| Item 1 |
(a) |
Name of Issuer: |
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Guggenheim S&P 500 Pure Value ETF |
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(b) |
Address Of Issuer's Principal Executive Offices:
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227 West Monroe Street, Chicago, IL 60606, USA |
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| Item 2 |
(a) |
Name of Person Filing: |
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Gareth Morgan Investments Limited Partnership |
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(b) |
Address of Principal Business Office, or, if none, Residence: |
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Level 10, 109 Featherston Street, Wellington 6143, New Zealand |
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(c) |
Citizenship: |
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New Zealand |
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(d) |
Title of Class of Securities: |
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Exchange Traded Fund
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(e) |
Cusip Number: |
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78355W304
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| 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: |
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(a) |
o Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
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(b) |
o Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
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(c) |
o Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C.
78c). |
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(d) |
o Investment company registered under section 8 of the Investment Company
Act (15 U.S.C. 80a-8). |
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(e) |
o An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E). |
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(f) |
o An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(ii)(F). |
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(g) |
o A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G). |
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(h) |
o A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). |
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(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); |
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(j) |
o Group in accordance with §240.13d-1(b)(ii)(J). |
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None of the above |
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CUSIP No. 78355W304
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13G |
Page 4 of 5 Pages |
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(a) Amount beneficially owned 939,286 |
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(b) Percent of class: 5.10% (based on 18,402,836 units outstanding as at April 10, 2015 (as reported on Bloomberg LP)) |
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(c) Number of shares as to which the person has: |
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(i) Sole power to vote or to direct the vote |
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13,452 |
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(ii) Shared power to vote or to direct the vote |
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925,834 |
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(iii) Sole power to dispose or to direct the disposition of |
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13,452 |
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(iv) Shared power to dispose or to direct the disposition of |
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925,834 |
| Item 5 |
Ownership of Five Percent or Less of a Class |
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Not applicable |
| Item 6 |
Ownership of More Than Five Percent on Behalf Of Another Person |
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Not applicable |
| Item 7 |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company |
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Not applicable |
| Item 8 |
Identification and Classification of Members of The Group |
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Not applicable |
| Item 9 |
Notice of Dissolution of Group |
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Not applicable |
| Item 10 |
Certification |
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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. |
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CUSIP No. 78355W304
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13G |
Page 5 of 5 Pages |
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.
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April 29, 2015 |
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Date |
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/s/ Christian Sobell |
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Signature |
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Christian Sobell, Compliance Officer |
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Name/Title |
POWER OF ATTORNEY
GMI GENERAL PARTNER LIMITED, a company registered under the laws of the New Zealand and the general partner of the GARETH MORGAN INVESTMENTS LIMITED PARTNERSHIP (the "Partnership"), a limited partnership registered under the laws of New Zealand, hereby appoints for and on behalf of the Partnership each of Robert Taylor, Joe Bishop, Simon O'Grady, Susan Easton, Bojan Cvetkovic, Stephan Clark, Natalie Curran, Christian Sobell, Anthony Haughie and Hilary McWhinnie (acting jointly or severally) as its true and lawful attorneys-in-fact for the purpose of, from time to time, executing in its name and on its behalf, whether the Partnership is acting individually or as representative of others, any and all documents, certificates, instruments, statements, other filings and amendments to the foregoing (collectively, "documents") determined by such person to be necessary or appropriate to comply with ownership or control-person reporting requirements imposed by any United States or non-United States governmental or regulatory authority, including without limitation Forms 3, 4, 5, 13D, 13F, 13G and 13H and any amendments to any of the foregoing as may be required to be filed with the Securities and Exchange Commission, and delivering or filing any such documents with the appropriate governmental, regulatory authority or other person, and the Partnership hereby ratifies and confirms all that any said attorney-in-fact shall lawfully do or cause to be done by virtue hereof.
Any determination by an attorney-in-fact named herein shall be conclusively evidenced by such person's execution, delivery or filing of the applicable document.
This power of attorney shall be valid from the date hereof and shall remain in full force and effect until either revoked in writing or, with respect to an attorney-in-fact named herein, until such person ceases to be an employee of the Partnership or one of its affiliates.
The undersigned have caused this power of attorney to be executed as of this 24th day of September, 2013.
GMI GENERAL PARTNER LIMITED for and on behalf of GARETH MORGAN INVESTMENTS LIMITED PARTNERSHIP
By:_ /s/ Paul Brock
Name: Paul Brock
Title: Director
By:_ /s/ Brian Roche
Name: Brian Roche
Title: Director