0001193125-18-044096.txt : 20180214 0001193125-18-044096.hdr.sgml : 20180214 20180214072203 ACCESSION NUMBER: 0001193125-18-044096 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20180214 DATE AS OF CHANGE: 20180214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Columbia ETF Trust II CENTRAL INDEX KEY: 0001450501 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-85404 FILM NUMBER: 18607065 BUSINESS ADDRESS: STREET 1: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 888.800.4347 MAIL ADDRESS: STREET 1: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 FORMER COMPANY: FORMER CONFORMED NAME: EGA Emerging Global Shares Trust DATE OF NAME CHANGE: 20081120 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 d533010dsc13ga.htm SC 13G/A SC 13G/A

 

 

UNITED STATES

Securities and Exchange Commission

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

COLUMBIA ETF TR II

(Name of Issuer)

EMRG MARKETS ETF

(Title of Class of Securities)

19762B509

(CUSIP Number)

Dec 31, 2017

(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. 19762B509

ITEM 1(a).    Name of Issuer.

COLUMBIA ETF TR II

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

COLUMBIA ETF TR II

225 Franklin Street

Boston, MA 02110

ITEM 2(a).    Names of Persons Filing.

Bank Of Montreal

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

Bank Of Montreal

1 First Canadian Place

Toronto, Ontario, Canada M5X 1A1

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

Bank Of Montreal is organized under the laws of Canada.

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

EMRG

MARKETS ETF

ITEM 2(e).    CUSIP Number.

19762B509

 

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.

 

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 or Control Person

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. 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, 2018.

 

BANK OF MONTREAL
/s/ Barbara Muir
Barbara Muir
SVP, Deputy General Counsel Corporate Affairs & Corporate Secretary
 EX-99.1 2 d533010dex991.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, 2018.

 

     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.)

*

     

*

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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