0001140361-16-050230.txt : 20160204 0001140361-16-050230.hdr.sgml : 20160204 20160204102850 ACCESSION NUMBER: 0001140361-16-050230 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160204 DATE AS OF CHANGE: 20160204 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: iSHARES TRUST CENTRAL INDEX KEY: 0001100663 IRS NUMBER: 943351276 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-59405 FILM NUMBER: 161387174 BUSINESS ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: (415) 670-2000 MAIL ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 FORMER COMPANY: FORMER CONFORMED NAME: ISHARES TRUST DATE OF NAME CHANGE: 19991213 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BARING ASSET MANAGEMENT Ltd CENTRAL INDEX KEY: 0001606779 IRS NUMBER: 980241935 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 155 BISHOPSGATE CITY: LONDON STATE: X0 ZIP: EC2M 3XY BUSINESS PHONE: 44 (0) 207 214 1404 MAIL ADDRESS: STREET 1: 155 BISHOPSGATE CITY: LONDON STATE: X0 ZIP: EC2M 3XY SC 13G 1 formsc13g.htm BARING ASSET MANAGEMENT LTD SC 13G 12-31-2015 (ISHARES U.S. REGIONAL BANKS ETF)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. n/a )*

iShares U.S. Regional Banks ETF
(Name of Issuer)

COMMON
(Title of Class of Securities)

464288778
(CUSIP Number)

12/31/2015
(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)

☐
 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 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. 464288778

1
NAMES OF REPORTING PERSONS
 
 
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
 
Baring Asset Management Ltd
 
 
 
 
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
    
(a)☐
    
(b)☐
 
 
3
SEC USE ONLY
 
 
 
 
 
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
 
United Kingdom
 
 
 
 
 
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5
SOLE VOTING POWER
 
 
0
 
 
 
 
 
6
SHARED VOTING POWER
 
 
1,187,859
 
 
 
 
 
7
SOLE DISPOSITIVE POWER
 
 
0
 
 
 
 
 
8
SHARED DISPOSITIVE POWER
 
 
1,187,859
 
 
 
 
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
 
1,187,859
 
 
 
 
 
10
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
 
☐
 
 
 
 
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
 
6.3%
 
 
 
 
 
12
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
 
HC FI
 
 
 
 
 
 
Item 1.

 
(a)
Name of Issuer
   
iShares U.S. Regional Banks ETF
     
 
(b)
Address of Issuer’s Principal Executive Offices
   
400 Howard Street
San Francisco, CA 94105

Item 2.

 
(a)
Name of Person Filing
   
Baring Asset Management Ltd
     
 
(b)
Address of Principal Business Office or, if none, Residence
   
155 Bishopsgate
London EX2M 3XY, United Kingdom
     
 
(c)
Citizenship
   
United Kingdom
     
 
(d)
Title of Class of Securities
   
Common
     
 
(e)
CUSIP Number
   
464288778

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)
☐
Broker or 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)
☐
An investment adviser 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 Investment Company Act of 1940 (15 U.S.C. 80a-3);
       
 
(j)
☑
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).
       
 
(k)
☐
A group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
 
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:
   
1,187,859
 
(b)
Percent of class:
   
6.3%
 
(c)
Number of shares as to which the person has:
       
   
(i)
Sole power to vote or to direct the vote:
     
0
   
(ii)
Shared power to vote or to direct the vote:
     
1,187,859
   
(iii)
Sole power to dispose or to direct the disposition of:
     
0
   
(iv)
Shared power to dispose or to direct the disposition of:
     
1,187,859

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 ☐.

Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Not Applicable

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
Baring Asset Management Limited as Parent Company reporting consolidated holdings with the following subsidiaries: Baring International Investment Limited; Baring Asset Management Asia

Item 8. Identification and Classification of Members of the Group
Not Applicable

Item 9. Notice of Dissolution of 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.

Date: 2016-02-03
By:
/s/ Christopher Gerald Biggins
   
Name: Christopher Gerald Biggins
   
Title: Head of Operational Risk and Compliance

Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)