0001193125-17-041774.txt : 20170214 0001193125-17-041774.hdr.sgml : 20170214 20170214061356 ACCESSION NUMBER: 0001193125-17-041774 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 GROUP MEMBERS: BMO HARRIS BANK N.A. GROUP MEMBERS: BMO HARRIS FINANCIAL ADVISORS, INC. GROUP MEMBERS: CTC MYCFO GROUP MEMBERS: STOKER OSTLER WEALTH ADVISORS, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPDR INDEX SHARES FUNDS (Formerly streetTRACKS Index Shares Funds) CENTRAL INDEX KEY: 0001168164 IRS NUMBER: 421537593 STATE OF INCORPORATION: MA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79116 FILM NUMBER: 17602190 BUSINESS ADDRESS: STREET 1: ONE LINCOLN STREET STREET 2: CPH0326 CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 866-787-2257 MAIL ADDRESS: STREET 1: ONE LINCOLN STREET STREET 2: CPH0326 CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: STREETTRACKS INDEX SHARES FUNDS (Formerly Fresco Index Shares Funds) DATE OF NAME CHANGE: 20041202 FORMER COMPANY: FORMER CONFORMED NAME: FRESCO INDEX SHARES FUNDS DATE OF NAME CHANGE: 20020225 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANK OF MONTREAL /CAN/ CENTRAL INDEX KEY: 0000927971 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1 FIRST CANADIAN PLACE CITY: TORONTO STATE: A6 ZIP: M5X 1A1 BUSINESS PHONE: 4168677191 MAIL ADDRESS: STREET 1: 1 FIRST CANADIAN PLACE CITY: TORONTO STATE: A6 ZIP: M5X 1A1 SC 13G/A 1 d345723dsc13ga.htm SCHEDULE 13G AMENDMENT NO. 3 Schedule 13G Amendment No. 3

 

 

UNITED STATES

Securities and Exchange Commission

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 3)*

 

 

SPDR INDEX SHS FDS

(Name of Issuer)

S&P INTL SMLCP

(Title of Class of Securities)

78463X871

(CUSIP Number)

Dec 31, 2016

(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 in 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, as amended (the “Act”), or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

 

 

 

SCHEDULE 13G

CUSIP No. 78463X871

 

  1)   

Name of Reporting Person

 

Bank Of Montreal

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Canada

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5)    

Sole Voting Power:

 

1,342,760(1)

   6)   

Shared Voting Power:

 

53,578(2)

   7)   

Sole Dispositive Power:

 

1,191,532(1)

   8)   

Shared Dispositive Power:

 

225,964(1)

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

1,417,496(1)

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares  ☐

 

11)  

Percent of Class Represented by Amount in Row (9)

 

6.0318%

12)  

Type of Reporting Person

 

HC

 

 

(1) Shares are held indirectly by the Reporting Person’s subsidiaries, BMO Harris Bank N.A., BMO Harris Financial Advisors, Inc., CTC myCFO, LLC, and Stoker Ostler Wealth Advisors, Inc.
(2) Beneficial ownership of 53,578 shares is specifically disclaimed. See Item 4

SCHEDULE 13G

CUSIP No. 78463X871

 

  1)   

Name of Reporting Person

 

BMO HARRIS BANK N.A.

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Delaware, United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5)    

Sole Voting Power:

 

1,299,011

   6)   

Shared Voting Power:

 

1,940(1)

   7)   

Sole Dispositive Power:

 

1,147,783

   8)   

Shared Dispositive Power:

 

158,638

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

1,306,421

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares  ☐

 

11)  

Percent of Class Represented by Amount in Row (9)

 

5.5592%

12)  

Type of Reporting Person

 

BK

 

(1) Beneficial ownership of 1,940 shares is specifically disclaimed. See Item 4

SCHEDULE 13G

CUSIP No. 78463X871

 

  1)   

Name of Reporting Person

 

BMO HARRIS FINANCIAL ADVISORS, INC.

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Delaware, United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5)    

Sole Voting Power:

 

31,948

   6)   

Shared Voting Power:

 

51,638(1)

   7)   

Sole Dispositive Power:

 

31,948

   8)   

Shared Dispositive Power:

 

51,638

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

83,586

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares  ☐

 

11)  

Percent of Class Represented by Amount in Row (9)

 

0.3556%

12)  

Type of Reporting Person

 

BD, IA

 

(1) Beneficial ownership of 51,638 shares is specifically disclaimed. See Item 4.

SCHEDULE 13G

CUSIP No. 78463X871

 

  1)   

Name of Reporting Person

 

CTC MYCFO

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5)    

Sole Voting Power:

 

   6)   

Shared Voting Power:

 

   7)   

Sole Dispositive Power:

 

   8)   

Shared Dispositive Power:

 

15,687

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

15,687

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares  ☐

 

11)  

Percent of Class Represented by Amount in Row (9)

 

0.0667%

12)  

Type of Reporting Person

 

IA

SCHEDULE 13G

CUSIP No. 78463X871

 

  1)   

Name of Reporting Person

 

STOKER OSTLER WEALTH ADVISORS, INC.

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Arizona, United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5)    

Sole Voting Power:

 

11,801

   6)   

Shared Voting Power:

 

   7)   

Sole Dispositive Power:

 

11,801

   8)   

Shared Dispositive Power:

 

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

11,801

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares  ☐

 

11)  

Percent of Class Represented by Amount in Row (9)

 

0.0502%

12)  

Type of Reporting Person

 

IA

SCHEDULE 13G

CUSIP No. 78463X871

 

ITEM 1(a). Name of Issuer.

SPDR INDEX SHS FDS

 

ITEM 1(b). Address of Issuer’s Principal Executive Offices.

SPDR Index Shares Funds

One Lincoln Street

CPH0326

Boston, MA 02111

 

ITEM 2(a). Names of Persons Filing.

Bank Of Montreal

BMO HARRIS BANK N.A.

BMO HARRIS FINANCIAL ADVISORS, INC.

CTC MYCFO, LLC

STOKER OSTLER WEALTH ADVISORS, INC.

 

ITEM 2(b). Address of Principal Business Office or, if none, Residence.

Bank Of Montreal

1 First Canadian Place

Toronto, Ontario, Canada M5X 1A1

BMO Harris Bank N.A.

111 W Monroe Street

Floor 6E

Chicago, IL 60603

BMO Harris Financial Advisors, Inc.

311 West Monroe

14th Floor

Chicago, IL 60603

CTC myCFO, LLC

2200 Geng Road, Suite 100

Palo Alto, CA 94303

Stoker Ostler Wealth Advisors, Inc.

4900 N. Scottsdale Road, Suite 2600

Scottsdale, AZ 85251

 

ITEM 2(c). Citizenship or Place of Organization.

Bank Of Montreal is organized under the laws of Canada.

BMO HARRIS BANK N.A. is organized under the laws of Delaware, United States.

BMO HARRIS FINANCIAL ADVISORS INC. is organized under the laws of Delaware, United States.

CTC MYCFO is organized under the laws of the United States.

STOKER OSTLER WEALTH ADVISORS INC. is organized under the laws of Arizona, United States.

 

ITEM 2(d). Title of Class of Securities.

S&P INTL

SMLCP

 

ITEM 2(e). CUSIP Number.

78463X871

ITEM 3. If this statement is filed pursuant to Sections 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 Section 240.13d-1(b)(1)(ii)(E);

(f)

   ☐    An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

(g)

   ☒    A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G);

(h)

   ☐    A savings association 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 Section 240.13d-1(b)(1)(ii)(J);

(k)

   ☐    Group, in accordance with Section 240.13d-1(b)(1)(ii)(K).

 

ITEM 4. Ownership.

The information contained in Items 5 – 11 on the cover pages is incorporated herein by reference. The information included in Items 5-11 for Bank of Montreal, BMO Harris Financial Advisors, Inc., and BMO Harris Bank N.A. includes 53,578 shares held in one or more employee benefit plans where BMO Harris Financial Advisors, Inc., and BMO Harris Bank N.A., as directed trustees, may be viewed as having voting or dispositive authority in certain situations pursuant to SEC and Department of Labor regulations or interpretations. Pursuant to Rule 13d-4 under the Act, inclusion of such shares in this statement shall not be construed as an admission that the Reporting Person or its subsidiaries are, for purposes of Section 13(d) or 13(g) of the Act, the beneficial owners of such securities.

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.

Bank of Montreal is reporting on this Schedule 13G securities held through its subsidiaries, BMO Harris Bank N.A., BMO Harris Financial Advisors, Inc., CTC myCFO LLC, and Stoker Ostler Wealth Advisors, Inc. as fiduciaries for certain employee benefit plans, trust and/or customer accounts. As a result, participants in the plans, trust beneficiaries and customers are entitled to receive, or have the power to direct the receipt of, dividends and proceeds from the sale of such securities. No such person is known to have such an interest relating to more than five percent of the class of subject securities.

 

ITEM 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

Bank of Montreal is the ultimate parent company of BMO Harris Bank, N.A., a bank as defined in section 3(a)6 of the Act and a U.S. institution, BMO Harris Financial Advisors, Inc., a broker-dealer registered under Section 15 of the Securities Exchange Act of 1934 and an investment adviser registered under Section 203 of the Investment Advisers Act of 1940 and a U.S. institution, CTC myCFO LLC., an investment adviser registered under Section 203 of the Investment Advisers Act of 1940 and a U.S. institution, and Stoker Ostler Wealth Advisors, Inc., an investment adviser registered under Section 203 of the Investment Advisers Act of 1940 and a U.S. institution.

 

ITEM 8. Identification and Classification of Members of the Group.

Not Applicable

ITEM 9. Notice of Dissolution of Group.

Not Applicable

 

ITEM 10. Certifications.

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.

Dated as of the 14th day of February, 2017.

 

BANK OF MONTREAL

/s/ Barbara Muir

Barbara Muir
SVP, Deputy General Counsel Corporate Affairs & Corporate Secretary
BMO HARRIS BANK N.A.

*

BMO HARRIS FINANCIAL ADVISORS, INC.

*

CTC myCFO, LLC

*

STOKER OSTLER WEALTH ADVISORS, INC.

*

 

 

* Pursuant to Power of Attorney filed as Exhibit 2 to Schedule 13G filed on February 14, 2014 by Reporting Persons named herein (File No. 005-59405), which is incorporated by reference.
EX-99.1 2 d345723dex991.htm EX-99.1 EX-99.1

Exhibit 1

JOINT FILING AGREEMENT

In accordance with rule 13d-1(k) under the Securities Act of 1934, as amended, each of the undersigned entities, as applicable, pursuant to a duly executed power of attorney, hereby agrees to this and any future joint filing of Schedule 13G (including any and all amendments thereto) to be made on their behalf and further agrees to the filing of this Agreement as an Exhibit thereto. In addition, each party to this Agreement consents to the filing of this and any future Schedule 13G (including any and all amendments thereto) by Bank of Montreal.

This Agreement may be executed in any number of counterparts all of which taken together shall constitute one and the same instrument.

IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this 14th day of February, 2017.

 

BANK OF MONTREAL
By:  

/s/ Barbara Muir

  Barbara Muir
  Senior Vice President, Deputy General Counsel of Corporate Affairs, and Corporate Secretary

 

BANK OF MONTREAL IRELAND PLC     BMO ASSET MANAGEMENT CORP.

*

    

*

   
BMO ASSET MANAGEMENT INC.     BMO CAPITAL MARKETS CORP.

*

    

*

   
BMO CAPITAL MARKETS LIMITED     BMO DELAWARE TRUST COMPANY

*

    

*

   
BMO FINANCIAL CORP.     BMO GLOBAL ASSET MANAGEMENT (ASIA) LIMITED

*

    

*

   

BMO HARRIS BANK N.A.     BMO HARRIS FINANCIAL ADVISORS, INC.

*

    

*

   
BMO HARRIS INVESTMENT MANAGEMENT INC.     BMO INVESTORLINE, INC.

*

    

*

   
BMO LIFE ASSURANCE COMPANY     BMO NESBITT BURNS INC.

*

    

*

   
F&C ASSET MANAGEMENT PLC     CTC MYCFO, LLC

**

    

*

   
LGM (BERMUDA) LTD. (formerly, LLOYD GEORGE MANAGEMENT (BERMUDA) LTD.)     LGM INVESTMENTS LIMITED (formerly, LLOYD GEORGE MANAGEMENT (EUROPE) LTD.)

*

    

*

   
MONEGY INC.     PYRFORD INTERNATIONAL LIMITED

*

    

*

   
STOKLER OSTLER WEALTH ADVISORS INC.     TAPLIN, CANIDA & HABACHT, LLC

*

    

*

   

 

* Pursuant to Power of Attorney filed as Exhibit 2 to Schedule 13G filed on February 14, 2014 by the Reporting Persons named herein (File No. 005-59405), which is incorporated by reference.
** Pursuant to Power of Attorney filed as Exhibit 2 to Schedule 13G filed on February 13, 2015 by the Reporting Person named herein (File No. 005-79749), which is incorporated by reference.

 

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