UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Consumer Discretionary Select Sector SPDR |
(Name of issuer)
EXCHANGE TRADED FUND |
(Title of class of securities)
81369Y407 |
(CUSIP number)
June 30, 2011 |
(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 persons 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. 81369Y407 |
1. |
Names of Reporting Persons
Virtus Investment Advisers, Inc. | |||||
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
a Massachusetts corporation. | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5. | SOLE VOTING POWER
7,094,314 ** See Note 1 ** | ||||
6. | SHARED VOTING POWER
0 | |||||
7. | SOLE DISPOSITIVE POWER
7,094,314 ** See Note 1 ** | |||||
8. | SHARED DISPOSITIVE POWER
0 | |||||
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,094,314 ** See Note 1 ** | |||||
10. |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) ¨
| |||||
11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.08% | |||||
12. |
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IA |
CUSIP No. 81369Y407 |
1. |
Names of Reporting Persons
Virtus Opportunities Trust, on behalf of Virtus AlphaSector Rotation Fund Virtus Premium AlphaSector Fund Virtus Allocator Premium AlphaSector Fund Virtus Global Premium AlphaSector Fund 65-1263085 | |||||
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
a Delaware statutory trust. | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5. | SOLE VOTING POWER
a. Virtus AlphaSector Rotation Fund
1,400,990
b. Virtus Premium AlphaSector Fund
5,408,300
c. Virtus Allocator Premium AlphaSector Fund
23,650
d. Virtus Global Premium AlphaSector Fund
15,880 | ||||
6. | SHARED VOTING POWER
0 | |||||
7. | SOLE DISPOSITIVE POWER
a. Virtus AlphaSector Rotation Fund
1,400,990
b. Virtus Premium AlphaSector Fund
5,408,300
c. Virtus Allocator Premium AlphaSector Fund
23,650
d. Virtus Global Premium AlphaSector Fund
15,880 | |||||
8. | SHARED DISPOSITIVE POWER
0 | |||||
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
a. Virtus AlphaSector Rotation Fund
1,400,990
b. Virtus Premium AlphaSector Fund
5,408,300
c. Virtus Allocator Premium AlphaSector Fund
23,650
d. Virtus Global Premium AlphaSector Fund
15,880 | |||||
10. |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) ¨
| |||||
11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
a. Virtus AlphaSector Rotation Fund
2.19%
b. Virtus Premium AlphaSector Fund
8.45%
c. Virtus Allocator Premium AlphaSector Fund
0.02%
d. Virtus Global Premium AlphaSector Fund
0.04%
Total
10.70% | |||||
12. |
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IV |
ITEM 1: | (a) Name of Issuer |
Consumer Discretionary Select Sector SPDR
(b) | Address of Issuers 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 ALPHASECTOR ROTATION FUND
VIRTUS PREMIUM ALPHASECTOR FUND
VIRTUS GLOBAL PREMIUM ALPHASECTOR FUND
VIRTUS ALLOCATOR PREMIUM ALPHASECTOR 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 STATUTORY TRUST |
(d) | Title of Class of Securities |
EXCHANGE TRADED FUND
(e) | CUSIP Number |
81369Y407
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. |
** Note 1 **
Virtus Investment Advisers, Inc., an investment adviser registered under Section 203 of the Investment Advisers Act of 1940, as amended, furnishes investment advice and/or serves as investment manager to a number of investment companies, including that/those listed herein, as well as certain separate accounts (collectively, the Funds). In its role as investment adviser and/or manager, Virtus Investment Advisers, Inc. possesses voting and/or investment power over the securities of the Issuer that are owned by the Funds, and may be deemed to be the beneficial owner of the shares of the Issuer held by the Funds. However, all securities reported on this Schedule 13G are owned by the Funds. Virtus Investment Advisers, Inc. disclaims beneficial ownership of such securities, and the filing of this Schedule 13G shall not be construed as an admission that the reporting person (or any of its affiliates) is the beneficial owner of any securities covered by this Schedule 13G for any purpose other than compliance with Section 13 of the Securities Exchange Act of 1934, as amended.
(a) | Amount beneficially owned: 7,094,314 ** See Note 1 ** |
(b) | Percent of class: 11.08 |
(c) | Number of shares as to which the person has: |
(i) | Sole Power to vote or to direct the vote: 7,094,314 ** See Note 1 ** |
(ii) | Shared power to vote or to direct the vote: 0 |
(iii) | Sole power to dispose or to direct the disposition of: 7,094,314 ** See Note 1 ** |
(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. |
The Funds described in Note 1 have the right to receive, or the power to direct the receipt of, dividends from, or the proceeds from the sale of the securities held in their respective accounts. To the knowledge of Virtus Investment Advisers, Inc., the interest of no single such fund exceeds 5% of the class of securities. Virtus Investment Advisers, Inc. disclaims beneficial ownership of all such securities.
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: August 30, 2011 | ||||||
Name: Kevin J. Carr | ||||||||
Title: Vice President and Clerk | ||||||||
VIRTUS OPPORTUNITIES TRUST | ||||||||
By: | /s/ Kevin J. Carr | Date: August 30, 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 AlphaSector Rotation Fund, Virtus Premium AlphaSector Fund, Virtus Global Premium AlphaSector Fund, and Virtus Allocator Premium AlphaSector Fund) a Delaware statutory 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 understood 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: August 30, 2011 | Dated: August 30, 2011 | |||||||
VIRTUS OPPORTUNITIES TRUST On behalf of VIRTUS ALPHASECTOR ROTATION FUND VIRTUS PREMIUM ALPHA SECTOR FUND VIRTUS GLOBAL PREMIUM ALPHASECTOR FUND VIRTUS ALLOCATOR PREMIUM ALPHASECTOR FUND |
VIRTUS INVESTMENT ADVISERS, INC. | |||||||
By: | /s/ Kevin J. Carr | By: | /s/ Kevin J. Carr | |||||
Kevin J. Carr Secretary |
Kevin J. Carr Vice President and Clerk |