-----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, L60c+zovwi0Bocv8WXmYdpVXQuoy6q+9zasE90cazKhwmMS++A6GTS6FOT/cWAxm I6CEagvm8zMynfotPQeRGw== 0000914208-11-000207.txt : 20110214 0000914208-11-000207.hdr.sgml : 20110214 20110211200752 ACCESSION NUMBER: 0000914208-11-000207 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: POWERSHARES EXCHANGE TRADED FUND TRUST CENTRAL INDEX KEY: 0001209466 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-81469 FILM NUMBER: 11601659 BUSINESS ADDRESS: STREET 1: 301 WEST ROOSEVELT ROAD CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 800-983-0903 MAIL ADDRESS: STREET 1: 301 WEST ROOSEVELT ROAD CITY: WHEATON STATE: IL ZIP: 60187 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Invesco Ltd. CENTRAL INDEX KEY: 0000914208 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 980557567 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1555 PEACHTREE STREET NE STREET 2: SUITE 1800 CITY: ATLANTA STATE: GA ZIP: 30309 BUSINESS PHONE: 404-892-0896 MAIL ADDRESS: STREET 1: 1555 PEACHTREE STREET NE STREET 2: SUITE 1800 CITY: ATLANTA STATE: GA ZIP: 30309 FORMER COMPANY: FORMER CONFORMED NAME: Invesco Ltd DATE OF NAME CHANGE: 20080508 FORMER COMPANY: FORMER CONFORMED NAME: Invesco PLC DATE OF NAME CHANGE: 20080429 FORMER COMPANY: FORMER CONFORMED NAME: Invesco Ltd. DATE OF NAME CHANGE: 20071205 SC 13G 1 psdynamicfinancial123110.htm POWERSHARES DYNAMIC FINANCIAL SECTOR PORTFOLIO psdynamicfinancial123110.htm
 
 

 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G
(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b) AND
 AMENDMENTS FILED THERETO FILED PURSUANT TO RULE 13D-2(b)
 
Under the Securities Exchange Act of 1934
(Amendment No. _)*
 
PowerShares Dynamic Financial Sector Portfolio
(Name of Issuer)

ETF
(Title of Classes of Securities)
 
73935X377
(CUSIP Numbers)

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 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.: 73935X377
1
NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
 
Invesco Ltd.
IRS # 980557567
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)
(b)
3
SEC USE ONLY
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Invesco Ltd. – Bermuda
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
5
SOLE VOTING POWER
 
Invesco Powershares Capital Management – 69,350
6
SHARED VOTING POWER
 
 
7
SOLE DISPOSITIVE POWER
 
    Invesco Powershares Capital Management – 69,350
8
SHARED DISPOSITIVE POWER
 
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
69,350
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
 
N/A
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
6.9%
12
TYPE OF REPORTING PERSON*
 
See Item 3 of this statement

 
 

 

Item 1(a). Name of Issuer:
 
PowerShares Dynamic Financial Sector Portfolio
 
(b). Address of Issuer’s Principal Executive Offices:
 
Invesco PowerShares Capital Mgmt LLC; 300 West Roosevelt Road; Wheaton, IL 60187; United States
 
Item 2(a). Name of Person Filing:
 
Invesco Ltd.
 
(b). Address of Principal Business Office or, if none, residence of filing person:
 
1555 Peachtree Street NE; Atlanta, GA 30309; United States
 
(c). Citizenship of filing person:
 
Bermuda
 
(d). Title of Classes of Securities:
 
ETF .01 par value per share

(e). CUSIP Numbers:
 
73935X377

Item 3. If this Statement is Filed Pursuant to ss240.13d-1(b) or 240.13d-2(b) or (c), Check Whether the Person Filing is a:
 
(e) [x] An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E)

(g) [x] A parent holding company or control person in accordance with section 240.13d-1(b)(1)(ii)(G)

Item 4. Ownership:

Please see responses to Items 5-8 on the cover of this statement, which are incorporated herein by reference.

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:

N/A




 
 

 

Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company:

The following subsidiary of Invesco Ltd. is the investment adviser which holds shares of the security being reported:
 
Invesco Powershares Capital Management

Item 8. Identification and Classification of Members of the Group:

N/A

Item 9. Notice of Dissolution of a Group:

N/A

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.


02/07/2011
Date

Invesco Ltd.

By:           /s/ Lisa Brinkley
Lisa Brinkley
Global Assurance Officer

 
 

 

EX-99 2 jointfileagreement123110.htm JOINT FILING AGREEMENT jointfileagreement123110.htm

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k) (l) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing of the attached Schedule 13G, and any and all amendments thereto, and expressly authorize Invesco Ltd., as the ultimate parent company of each of its undersigned subsidiaries, to file such Schedule 13G, and any and all amendments thereto, on behalf of each of them.

Dated:  12/31/10


Invesco Ltd.

By: /s/ Lisa Brinkley
Name: Lisa Brinkley
Title: Global Assurance Officer


Invesco Advisers, Inc.

By: /s/ Jeffrey Kupor
Name: Jeffrey Kupor
Title: Senior Vice President


Invesco Trimark Ltd.

By: /s/ Wayne Bolton
Name: Wayne Bolton
Title: Vice President, Compliance & Chief Compliance Officer


Invesco National Trust Company

By: /s/ Kevin Lyman
Name: Kevin Lyman
Title: Assistant General Counsel


Invesco Hong Kong Limited

By: /s/ Asha Balachandra
Name: Asha Balachandra
Title: Reg. Head of Legal AP
 

Invesco Asset Management Deutschland GmbH

By: /s/ Stephanie Ehrenfried
Name: Stephanie Ehrenfried
Title: Head of Legal CE
 

Invesco Asset Management Limited

By: /s/ Nick Styman
Name: Nick Styman
Title: Director of European Compliance


Invesco Asset Management S.A.

By: /s/ Nicolas Bouet
Name: Nicolas Bouet
Title: Deputy Managing Director


Invesco Asset Management S.A.

By: /s/ Bernard Aybran
Name: Bernard Aybran
Title: Deputy Managing Director


Invesco Asset Management Oesterreich GmbH

By: /s/ Thomas Kraus
Name: Thomas Kraus
Title: Head of Sales


Invesco GT Management Company S.A.

By: /s/ Nick Styman
Name: Nick Styman
Title: Director of European Compliance


Invesco Management S.A.

By: /s/ John Rowland
Name: John Rowland
Title: Director


Invesco Taiwan Limited

By: /s/ Asha Balachandra
Name: Asha Balachandra
Title: Reg. Head of Legal, AP


Invesco Asset Management (Japan) Limited

By: /s/ Asha Balachandra
Name: Asha Balachandra
Title: Reg. Head of Legal, AP


Invesco Asset Management Ireland Limited

By: /s/ John Rowland
Name: John Rowland
Title: Director


Invesco Kapitalanlagegesellschaft GmbH

By: /s/ Stephanie Ehrenfried
Name: Stephanie Ehrenfried
Title: Head of Legal CE


Invesco PowerShares Capital Management LLC

By: /s/ Deanna Marotz
Name: Deanna Marotz
Title: Chief Compliance Officer


Stein Roe Investment Counsel, Inc.

By: /s/ Greg Campbell
Name: Greg Campbell
Title: General Counsel


Van Kampen Asset Management

By: /s/ Christopher C. Joe
Name: Christopher C. Joe
Title: Chief Compliance Officer



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