0000904454-16-001509.txt : 20161014 0000904454-16-001509.hdr.sgml : 20161014 20161014164447 ACCESSION NUMBER: 0000904454-16-001509 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20161014 DATE AS OF CHANGE: 20161014 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SIGULER GUFF SMALL BUSINESS CREDIT OPPORTUNITIES FUND, INC CENTRAL INDEX KEY: 0001614173 IRS NUMBER: 471290650 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-89248 FILM NUMBER: 161937444 BUSINESS ADDRESS: STREET 1: 825 THIRD AVENUE, FLOOR 10 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-332-5100 MAIL ADDRESS: STREET 1: 825 THIRD AVENUE, FLOOR 10 CITY: NEW YORK STATE: NY ZIP: 10022 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Carpenters' Pension Trust Fund of St. Louis CENTRAL INDEX KEY: 0001664406 IRS NUMBER: 000000000 STATE OF INCORPORATION: MO FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1401 HAMPTON AVENUE CITY: ST. LOUIS STATE: MO ZIP: 63139 BUSINESS PHONE: 314-644-4800 MAIL ADDRESS: STREET 1: 1401 HAMPTON AVENUE CITY: ST. LOUIS STATE: MO ZIP: 63139 SC 13G/A 1 s13ga_101416-sigguffsbcoppfd.htm FORM SC 13G/A FOR SIGULER GUFF SMALL BUSINESS CREDIT OPPORTUNITIES FUND, INC BY SIGULER GUFF SMALL BUSINESS CREDIT OPPORTUNITIES FUND, INC

UNITED STATES
 SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G
Under the Securities Exchange Act of 1934
 
(Amendment No. 1)*
Siguler Guff Small Business Credit Opportunities Fund, Inc.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
NONE
(CUSIP Number)
October 7, 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:
 
[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).


1
Name of Reporting Person:
 
Carpenters' Pension Trust Fund of St. Louis
 
I.R.S. Identification No. of above Person (entities only) (voluntary)
 
  
2
Check the Appropriate Box if a Member of a Group
 
(a)  [ ]
 (b)  [ ]
  
3
SEC USE ONLY
 
  
4
Citizenship or Place of Organization

 Missouri
  

NUMBER OF
5
SOLE VOTING POWER
0
SHARES
BENEFICIALLY
 OWNED BY
6
SHARED VOTING POWER
25,990 *
EACH
REPORTING
 PERSON
7
SOLE  DISPOSITIVE POWER
0
WITH
8
SHARED DISPOSITIVE POWER
25,990*
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED
25,990*
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ]
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
25.99% *
 
12
TYPE OF REPORTING PERSON
 
EP


* Based on a total of 100,000 shares of Common Stock outstanding, and the ownership by the Reporting Person as of the filing date of this Schedule 13G of  a limited partnership interest in Siguler Guff  Small Business Credit Opportunities Fund, LP (the "Fund") representing 25.99% of the total limited partnership interests in the Fund, which owns all of the outstanding shares of Common Stock of the Issuer.  The limited partners of the Fund have pass-through voting rights with respect to the shares of Common Stock held by the Fund.
2

AMENDMENT NO. 1 TO SCHEDULE 13G

Reference is hereby made to the Statement on Schedule 13G with respect to the Issuer filed by the Reporting Person with the Securities and Exchange Commission on January 21, 2016 (the "Schedule 13G").  Terms defined in the Schedule 13G are used herein as so defined.

The following items of the Schedule 13G are hereby amended and restated as follows:

Item 4
Ownership:
 
(a) through (c):
 
The information set forth in Items 5 through 9 and 11 of the cover pages to this Amendment No. 1 to Schedule 13G is incorporated herein by reference thereto.



3
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.
Date:  October 14, 2016


 
CARPENTERS' PENSION TRUST FUND OF ST. LOUIS
  
 
 
 
 
  
 
By:
/s/ Ilomai Kurrik
  
 
Name:
Ilomai Kurrik
  
 
Title:
Attorney-in-Fact
  
4