-----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, WLvZlqe69kfwOd88uBIQA1lkgTrwgpJ1/ywDtF4QY+jufVW4Z+CNYVhTPkJZHE33 rmj+4zBqBh2EcMutwRihNg== 0001193125-11-036471.txt : 20110215 0001193125-11-036471.hdr.sgml : 20110215 20110215122652 ACCESSION NUMBER: 0001193125-11-036471 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110215 DATE AS OF CHANGE: 20110215 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Virtus Investment Advisers, Inc. CENTRAL INDEX KEY: 0000019481 IRS NUMBER: 042453743 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-86075 FILM NUMBER: 11613212 BUSINESS ADDRESS: STREET 1: 100 PEARL STREET CITY: HARTFORD STATE: CT ZIP: 06103 BUSINESS PHONE: 800-248-7971 MAIL ADDRESS: STREET 1: 100 PEARL STREET CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX INVESTMENT COUNSEL INC DATE OF NAME CHANGE: 19920929 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX INVESTMENT COUNSEL OF BOSTON INC DATE OF NAME CHANGE: 19600201 FORMER COMPANY: FORMER CONFORMED NAME: CHASE JOHN P INC DATE OF NAME CHANGE: 19600201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Virtus Investment Advisers, Inc. CENTRAL INDEX KEY: 0000019481 IRS NUMBER: 042453743 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 100 PEARL STREET CITY: HARTFORD STATE: CT ZIP: 06103 BUSINESS PHONE: 800-248-7971 MAIL ADDRESS: STREET 1: 100 PEARL STREET CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX INVESTMENT COUNSEL INC DATE OF NAME CHANGE: 19920929 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX INVESTMENT COUNSEL OF BOSTON INC DATE OF NAME CHANGE: 19600201 FORMER COMPANY: FORMER CONFORMED NAME: CHASE JOHN P INC DATE OF NAME CHANGE: 19600201 SC 13G 1 dsc13g.htm VIRTUS INVESTMENT ADVISERS Virtus Investment Advisers

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. n/a)*

 

 

 

POWERSHARES DB G10 CURRENCY HARVEST FUND

(Name of Issuer)

 

 

EXCHANGE TRADED FUND

(Title of Class of Securities)

73935Y102

(CUSIP Number)

December 31, 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 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 coverage 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. 73935Y102

 

  1.   

Names of Reporting Persons

 

Virtus Investment Advisers, Inc.

04-2453743

  2.  

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

(a)  ¨        (b)  ¨

 

  3.  

SEC use only

 

  4.  

Citizenship of Place of Organization

 

Virtus Investment Advisers is a Massachusetts corporation.

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

   5.    

SOLE VOTING POWER

 

948,170

   6.   

SHARED VOTING POWER

 

0

   7.   

SOLE DISPOSITIVE POWER

 

948,170

   8.   

SHARED DISPOSITIVE POWER

 

0

  9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

948,170

10.

 

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See instructions)    ¨

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

6.24%

12.

 

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS

 

IA

 


CUSIP No. 73935Y102

 

  1.   

Names of Reporting Persons

 

Virtus Opportunities Trust, on behalf of Virtus Alternatives Diversifier Fund

65-1263085

  2.  

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

(b)  ¨        (b)  ¨

 

  3.  

SEC use only

 

  4.  

Citizenship of Place of Organization

 

Virtus Opportunities Trust is a Delaware business trust.

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

   5.    

SOLE VOTING POWER

 

948,170

   6.   

SHARED VOTING POWER

 

0

   7.   

SOLE DISPOSITIVE POWER

 

948,170

   8.   

SHARED DISPOSITIVE POWER

 

0

  9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

948,170

10.

 

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See instructions)    ¨

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

6.24%

12.

 

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

IV

 


ITEM 1: (a) Name of Issuer

POWERSHARES DB G10 CURRENCY HARVEST FUND

 

  (b)   Address of Issuer’s Principal Executive Offices

60 Wall Street

New York, NY 10005

ITEM 2:

 

  (a)   Name of Person(s) Filing
  1.   VIRTUS INVESTMENT ADVISERS, INC.

 

  2.   VIRTUS OPPORTUNITIES TRUST, on behalf of VIRTUS ALTERNATIVES DIVERSIFIER FUND

 

  (b)   Address of Principal Business Office or, if none, Residence

1. 100 PEARL STREET, 8th FLOOR

     HARTFORD, CT 06103

2. 101 MUNSON STREET

     GREENFIELD, MA 01301

 

  (c)   Citizenship
  1.   IS A MASSACHUSETTS CORPORATION
  2.   IS A DELAWARE BUSINESS TRUST

 

  (d)   Title of Class of Securities

EXCHANGE TRADED FUNDS

 

  (e)   CUSIP Number

73935Y102

 

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

The securities reported herein (the “Securities”) are beneficially owned by Virtus Opportunities Trust, on behalf of Virtus Alternatives Diversifier Fund, which is advised by Virtus Investment Advisers. The advisory contract between Virtus Opportunities Trust, on behalf of Virtus Alternatives Diversifier Fund, and Virtus Investment Advisers grants to Virtus Investment Advisers all investment and voting power over the securities owned by Virtus Opportunities Trust on behalf of Virtus Alternatives Diversifier Fund. Therefore, for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, Virtus Investment Advisers may be deemed to be the beneficial owner of the Securities.

 

  (a)   Amount beneficially owned: 948,170
  (b)   Percent of class: 6.24
  (c)   Number of shares as to which the person has:
  (i)   Sole Power to vote or to direct the vote: 948,170
  (ii)   Shared power to vote or to direct the vote: 0
  (iii)   Sole power to dispose or to direct the disposition of: 948,170
  (iv)   Shared power to dispose or to direct the disposition of: 0

 

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             .

NOT APPLICABLE

 

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.

NOT APPLICABLE

 

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 participate in any transaction having that purpose or effect.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and believe, I certify that the information set forth in this statement is true, complete and correct.

 

VIRTUS INVESTMENT ADVISERS, INC.

     

By:

 

/s/ Kevin J. Carr

    Date:   February 14, 2011

Name:

 

Kevin J. Carr

     
Title:   Vice President and Clerk      

VIRTUS ALTERNATIVES DIVERSIFIER FUND

     

By:

 

/s/ Kevin J. Carr

    Date:   February 14, 2011

Name:

 

Kevin J. Carr

     
Title:   Secretary      


EXHIBIT A

AGREEMENT

JOINT FILING OF SCHEDULE 13G

Virtus Investment Advisers, Inc. (an investment adviser registered under the Investment Advisers Act of 1940) and Virtus Opportunities Trust, on behalf of Virtus Alternatives Diversifier Fund, a Delaware business trust, hereby agree to file jointly the statement on Schedule 13G to which this Agreement is attached, and any amendments thereto which may be deemed necessary, pursuant to Regulation 13D-G under the Securities Exchange Act of 1934.

It is understood and agreed that each of the parties hereto is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the information concerning such party contained therein, but such party is not responsible for the completeness or accuracy of information concerning the other party unless such party knows or has reason to believe that such information is inaccurate.

It is under stood and agreed that a copy of this Agreement shall be attached as an exhibit to the statement on Schedule 13G, and any amendments thereto, filed on behalf of each of the parties hereto.

 

Dated: February 14, 2011

   Dated: February 14, 2011
VIRTUS OPPORTUNITIES TRUST   

VIRTUS INVESTMENT ADVISERS, INC.

On behalf of

  

VIRTUS ALTERNATIVES DIVERSIFIER FUND

  

 

By:  

/s/ Kevin J. Carr

    By:  

/s/ Kevin J. Carr

  Kevin J. Carr       Kevin J. Carr
  Secretary       Vice President and Clerk
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