-----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, JdWD1EfYpybYTuhwGIHzEdsMibm8g4QhQtIOuxtq46naTzOpRoVBwhcLq9ojCgYa WdoEtTMiCLJWhxPGeFOT3g== 0000950123-10-065270.txt : 20100713 0000950123-10-065270.hdr.sgml : 20100713 20100713171311 ACCESSION NUMBER: 0000950123-10-065270 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20100713 DATE AS OF CHANGE: 20100713 GROUP MEMBERS: COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC GROUP MEMBERS: SELIGMAN SPECTRUM FOCUS (MASTER) FUND SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED ANALOGIC TECHNOLOGIES INC CENTRAL INDEX KEY: 0001104042 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 770462930 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-81524 FILM NUMBER: 10950757 BUSINESS ADDRESS: STREET 1: 3230 SCOTT BOULEVARD CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: (408) 737-4600 MAIL ADDRESS: STREET 1: 3230 SCOTT BOULEVARD CITY: SANTA CLARA STATE: CA ZIP: 95054 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC CENTRAL INDEX KEY: 0000820027 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 133180631 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-2018 MAIL ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL CORP DATE OF NAME CHANGE: 20030513 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL ADVISORS DATE OF NAME CHANGE: 19950711 FORMER COMPANY: FORMER CONFORMED NAME: IDS FINANCIAL CORP/MN/ DATE OF NAME CHANGE: 19920703 SC 13D 1 c59060sc13d.txt SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D [RULE 13d-101] UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. __)* ADVANCED ANALOGIC TECHNOLOGIES INCORPORATED (Name of Issuer) COMMON STOCK, $0.001 PAR VALUE PER SHARE (Title of Class of Securities) 00752J108 (CUSIP Number) SELIGMAN SPECTRUM FOCUS (MASTER) FUND P.O. BOX 309 UGLAND HOUSE, SOUTH CHURCH STREET GEORGE TOWN, GRAND CAYMAN KY1-1104, CAYMAN ISLANDS TELEPHONE: (212) 850-1864 with copies to: MICHAEL J. KENNEDY, ESQ. STEVE L. CAMAHORT, ESQ. SHEARMAN & STERLING LLP 525 MARKET STREET SAN FRANCISCO, CA 94105 TELEPHONE: (415) 616-1100 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) JULY 8, 2010 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ] NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Section 240.13d-7 for other parties to whom copies are to be sent. * 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 disclosures provided in a prior cover page. The information required on 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. 00752J108 1. Names of Reporting Persons. Ameriprise Financial, Inc. I.R.S. Identification Nos. of above persons (entities only) 13-3180631 --------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] --------------------------------------------------------------------------- 3. SEC Use Only --------------------------------------------------------------------------- 4. Source of Funds (See Instructions) OO --------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] --------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware --------------------------------------------------------------------------- 7. Sole Voting Power 0 Number of ------------------------------------------------------------ Shares Beneficially 8. Shared Voting Power Owned by 2,901,930 Each ------------------------------------------------------------ Reporting Person With 9. Sole Dispositive Power 0 ------------------------------------------------------------ 10. Shared Dispositive Power 2,901,930 ------------------------------------------------------------ 11. Aggregate Amount Beneficially Owned by Each Reporting Person 2,901,930 --------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] --------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 6.75% --------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) CO --------------------------------------------------------------------------- CUSIP No. 00752J108 1. Names of Reporting Persons. Columbia Management Investment Advisers, LLC --------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] --------------------------------------------------------------------------- 3. SEC Use Only --------------------------------------------------------------------------- 4. Source of Funds (See Instructions) OO --------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] --------------------------------------------------------------------------- 6. Citizenship or Place of Organization Minnesota --------------------------------------------------------------------------- 7. Sole Voting Power 0 Number of ------------------------------------------------------------ Shares Beneficially 8. Shared Voting Power Owned by 2,901,930 Each ------------------------------------------------------------ Reporting Person With 9. Sole Dispositive Power 0 ------------------------------------------------------------ 10. Shared Dispositive Power 2,901,930 ------------------------------------------------------------ 11. Aggregate Amount Beneficially Owned by Each Reporting Person 2,901,930 --------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] --------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 6.75% --------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) IA --------------------------------------------------------------------------- CUSIP No. 00752J108 1. Names of Reporting Persons. Seligman Spectrum Focus (Master) Fund I.R.S. Identification Nos. of above persons (entities only) 98-0498128 --------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] --------------------------------------------------------------------------- 3. SEC Use Only --------------------------------------------------------------------------- 4. Source of Funds (See Instructions) WC --------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] --------------------------------------------------------------------------- 6. Citizenship or Place of Organization Cayman Islands --------------------------------------------------------------------------- 7. Sole Voting Power 0 Number of ------------------------------------------------------------ Shares Beneficially 8. Shared Voting Power Owned by 2,676,000 Each ------------------------------------------------------------ Reporting Person With 9. Sole Dispositive Power 0 ------------------------------------------------------------ 10. Shared Dispositive Power 2,676,000 ------------------------------------------------------------ 11. Aggregate Amount Beneficially Owned by Each Reporting Person 2,676,000 --------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] --------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 6.22% --------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) CO --------------------------------------------------------------------------- 1 The information set forth in response to each separate Item below shall be deemed to be a response to all Items where such information is relevant. The information set forth in the Exhibits and Schedule attached hereto is expressly incorporated herein by reference and the response to each item of this Schedule 13D is qualified in its entirety by the provisions of such Exhibits and Schedule. ITEM 1. SECURITY AND ISSUER This statement on Schedule 13D (this "Statement") relates to the shares of common stock, $0.001 par value per share ("Common Stock"), of Advanced Analogic Technologies Incorporated, a Delaware corporation (the "Issuer"). The principal executive offices of the Issuer are located at 3230 Scott Blvd., Santa Clara, California 95054. ITEM 2. IDENTITY AND BACKGROUND (a) This Statement is being filed jointly by the following (each a "Reporting Person" and collectively, the "Reporting Persons"): (1) Ameriprise Financial, Inc., a Delaware corporation ("AFI"), (2) Columbia Management Investment Advisers, LLC, a Minnesota limited liability company ("Columbia Management"), and (3) Seligman Spectrum Focus (Master) Fund, an exempted company incorporated in the Cayman Islands ("Focus Fund"). The agreement among the Reporting Persons relating to the joint filing of this statement is attached as Exhibit 99.1 hereto. (b) The business address for AFI, Columbia Management and each executive officer and director of Columbia Management is c/o Ameriprise Financial, Inc., 145 Ameriprise Financial Center, Minneapolis, MN 55474. The business address for Focus Fund and each executive officer and director of Focus Fund is P.O. Box 309, Ugland House, South Church Street, George Town, Grand Cayman KY1-1104, Cayman Islands. The name and principal occupation of each director and executive officer of AFI and Columbia Management are set forth on Schedule A and incorporated herein by reference. The name and principal occupation of each director of Focus Fund are also set forth on Schedule A and incorporated herein by reference. Focus Fund does not have any officers. (c) The principal business of Focus Fund is serving as a private investment fund formed for the purpose of making equity investments. The principal business of Columbia Management is acting as the investment adviser to Focus Fund and various other investment companies, including other unregistered investment companies, investment companies registered under the Investment Company Act of 1940 and other managed accounts. AFI is a financial services firm that serves as the sole owner and parent company of Columbia Management. (d) During the last five years, none of the Reporting Persons, and to the knowledge of the Reporting Persons, none of the other persons listed in this Item 2, has been convicted in any criminal proceeding (excluding traffic violations and similar misdemeanors). (e) In November and December 2005, without admitting or denying the allegations, American Express Financial Corporation ("AEFC," which is now known as AFI, the parent company of Columbia Management) finalized settlement agreements with the Securities and Exchange Commission ("SEC") and the Minnesota Department of Commerce ("MDOC") relating to market timing activities. The SEC and MDOC allegations indicated that AEFC failed to: (i) adequately disclose market timing activities in mutual fund and variable annuity product prospectuses; (ii) implement procedures to detect and prevent market timing in 401(k) plans for employees of AEFC and related companies and adequately disclose that there were no such procedures; and (iii) in the case of MDOC only, establish written policies and procedures and properly supervise its employees. AEFC was censured and ordered to cease and desist from committing or causing any violations of certain federal and Minnesota securities laws. AEFC agreed to: (i) pay disgorgement of $10 million and civil money penalties of $7 million; (ii) make presentations at least annually to its board of directors and the relevant mutual funds' board relating to market timing policies and procedures and related disclosures; (iii) retain an independent distribution consultant to assist in distributing disgorgement and civil penalties; and (iv) submit to MDOC a compliance review of its market timing procedures within one year, including a certification by a senior officer regarding compliance and supervisory procedures. The SEC order is available at http://www.sec.gov/litigation/admin/ia-2451.pdf. Except as set forth in the preceding paragraph, during the last five years, none of the Reporting Persons, and to the knowledge of the Reporting Persons, none of the other persons listed in this Item 2, has been party to any civil proceeding 2 of a judicial or administrative body of competent jurisdiction as a result of which such person was or is subject to any judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (f) AFI is a Delaware corporation. Columbia Management is a Minnesota limited liability company. Focus Fund is an exempted company incorporated in the Cayman Islands. Each director and executive officer of AFI, Columbia Management and Focus Fund is a United States citizen, except for Messrs. Litton Banks, and Moore (a lawful permanent resident of the United States) who are citizens of Great Britain, and Mr. Bannister, who is a citizen of Malta. ITEM 3. SOURCE AMOUNT OF FUNDS OR OTHER CONSIDERATION The shares of Common Stock purchased by Focus Fund were purchased with working capital in open market purchases. The aggregate purchase cost of the 2,676,000 shares of Common Stock beneficially owned by Focus Fund is approximately $9,969,428.32, excluding brokerage commissions. ITEM 4. PURPOSE OF TRANSACTION Focus Fund acquired the shares of Common Stock beneficially owned by it for investment purposes. Focus Fund expects to continually monitor and re-evaluate its investments in the shares of Common Stock. Representatives of Focus Fund intend to contact members of the Issuer's management in order to communicate the views of Focus Fund, and to commence active discussions with the Issuer's management, as to how best to maximize shareholder value. No Reporting Person has any present plan or proposal which would relate to or result in any matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon completion of any of the actions discussed above. The Reporting Persons reserve the right to acquire additional securities of the Issuer, to dispose of such securities of the Issuer at any time, or to formulate other purposes, plans or proposals regarding the Issuer or the securities of the Issuer, to the extent deemed advisable in light of their general investment polices, market conditions or other factors. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a-b) The following disclosure assumes there are 43,002,402 shares of Common Stock outstanding, which the Issuer represented to be the number of shares of Common Stock outstanding as of April 23, 2010 in the Issuer's Quarterly Report on Form 10-Q, as filed with the Securities and Exchange Commission on April 28, 2010. As of July 8, 2010, Focus Fund beneficially owned 2,676,000 shares of Common Stock, which constitutes approximately 6.22% of the shares of Common Stock outstanding. Columbia Management and AFI do not directly own any shares of Common Stock of the Issuer. As the investment adviser of Focus Fund and various other unregistered and registered investment companies and other managed accounts, Columbia Management may be deemed to beneficially own 2,901,930 shares of Common Stock held by Focus Fund and six other clients of Columbia Management, which constitutes approximately 6.75% of the shares of Common Stock outstanding. To the knowledge of the Reporting Persons, as of July 8, 2010, only six other clients of Columbia Management besides Focus Fund beneficially owned shares of Common Stock and only Focus Fund beneficially owned more than 5% of the shares of Common Stock outstanding. As the sole owner and parent company of Columbia Management, AFI may be deemed to beneficially own 2,901,930 shares of Common Stock, which constitutes approximately 6.75% of the shares of Common Stock outstanding. 3 Except as set forth in this Item 5(a), none of the Reporting Persons beneficially owns any shares of Common Stock. (c) Schedule B annexed hereto lists all transactions in the shares of Common Stock during the past 60 days by the Reporting Persons. (d) To the knowledge of the Reporting Persons, no other persons besides the stockholders and those persons for whose shares of Common Stock the stockholders report beneficial ownership have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities of the Issuer reported herein; provided, however, that six Columbia Management clients (each not a Reporting Person hereunder) owning in the aggregate 225,930 shares of Common Stock of the Issuer have the right to receive any dividends paid by the Issuer and could terminate their respective investment advisory relationship with Columbia Management and then subsequently direct the use of proceeds from the sale of the Common Stock owned by such client. (e) Not applicable. Except as set forth above, to the knowledge of the Reporting Persons, none of the other persons listed in Item 2 above has beneficial ownership of any shares of Common Stock. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER The responses set forth in Items 3, 4 and 5 of this Statement are incorporated herein by reference. Other than as described herein, to the knowledge of the Reporting Persons, there are no contracts, arrangements, understandings or relationships (legal or otherwise), including, but not limited to, transfer or voting of any of the securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or losses, or the giving or withholding of proxies, between the Reporting Persons, and any other person, with respect to any securities of the Issuer. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
EXHIBIT NUMBER DOCUMENT - ------- ---------------------------------------------------------------------- 99.1 Joint Filing Agreement, dated July 13, 2010 by and among AFI, Columbia Management and Focus Fund.
4 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: July 13, 2010 Seligman Spectrum Focus (Master) Fund By: /s/ Paul Goucher ------------------------------------- Name: Paul Goucher Title: Authorized Person Ameriprise Financial, Inc. By: /s/ Wade M. Voigt ------------------------------------- Name: Wade M. Voigt Title: Director - Fund Administration Columbia Management Investment Advisers, LLC By: /s/ Paul Goucher ------------------------------------- Name: Paul Goucher Title: Vice President and Assistant Secretary 5 SCHEDULE A DIRECTORS OF SELIGMAN SPECTRUM FOCUS (MASTER) FUND
NAME AND POSITION PRINCIPAL OCCUPATION - ----------------- -------------------- John Banks - Director Executive Chairman of Bridgewater (IOM) Limited Joseph V. Bannister - Director Professor at Cranfield Institute of Technology and University of Malta David C. Litton - Director Managing Director of Devonshire Corporate Services Limited Jeffrey F. Peters - Director Senior Vice President and Head of Institutional Distribution of Columbia Management Investment Advisers, LLC William F. Truscott - Director Chief Executive Officer of U.S. Asset Management and President of Annuities of Ameriprise Financial, Inc.
DIRECTORS AND EXECUTIVE OFFICERS OF COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
NAME AND POSITION PRINCIPAL OCCUPATION - ----------------- -------------------- William F. Truscott - Chairman of the Board Chief Executive Officer of U.S. Asset Management and President of Annuities of Ameriprise Financial, Inc. Michael A. Jones - Director and President Director and President of Columbia Management Investment Advisers, LLC Brian J. McGrane - Director, Senior Vice President Director, Senior Vice President and Chief Financial and Chief Financial Officer Officer of Columbia Management Investment Advisers, LLC Colin Moore - Director and Chief Investment Officer Director and Chief Investment Officer of Columbia Management Investment Advisers, LLC Beth Ann Brown - Senior Vice President of Senior Vice President of Intermediary Distribution Intermediary Distribution Asset Management Asset Management of Columbia Management Investment Advisers, LLC J. Kevin Connaughton - Senior Vice President and Senior Vice President and General Manager of Mutual General Manager of Mutual Fund Products Fund Products of Columbia Management Investment Advisers, LLC Amy K. Johnson - Senior Vice President and Chief Senior Vice President and Chief Operating Officer of Operating Officer Columbia Management Investment Advisers, LLC Robert McConnaughey - Senior Vice President and Senior Vice President and Head of Equities of Columbia Head of Equities Management Investment Advisers, LLC Jeffrey F. Peters - Senior Vice President and Head Senior Vice President and Head of Institutional of Institutional Distribution Distribution of Columbia Management Investment Advisers, LLC Scott R. Plummer - Chief Legal Officer Chief Legal Officer of Columbia Management Investment Advisers, LLC; Vice President and Lead Chief Counsel of Ameriprise Financial, Inc.
Christopher Thompson - Senior Vice President and Senior Vice President and Head of Investment Products Head of Investment Products and Marketing and Marketing of Columbia Management Investment Advisers, LLC Amy Unckless - Senior Vice President and Chief Senior Vice President and Chief Administrative Officer Administrative Officer of Columbia Management Investment Advisers, LLC Linda J. Wondrack - Vice President and Chief Vice President and Chief Compliance Officer of Compliance Officer Columbia Management Investment Advisers, LLC
DIRECTORS AND EXECUTIVE OFFICERS OF AMERIPRISE FINANCIAL, INC.
NAME AND POSITION PRINCIPAL OCCUPATION - ----------------- -------------------- James M. Cracchiolo - Chairman and Chief Executive Chairman and Chief Executive Officer of Ameriprise Officer Financial, Inc. Warren D. Knowlton - Director Retired W. Walker Lewis - Director Chairman of Devon Value Advisers Siri S. Marshall - Director Retired Jeffrey Noddle - Director Retired H. Jay Sarles - Director Retired Robert F. Sharpe, Jr. - Director President of Commercial Foods and Executive Vice President and Chief Administrative Officer of ConAgra Foods, Inc. William H. Turner - Director Retired Walter S. Berman - Executive Vice President and Executive Vice President and Chief Financial Officer Chief Financial Officer of Ameriprise Financial, Inc. Deirdre N. Davey - Executive Vice President of Executive Vice President of Corporate Communications Corporate Communications and Community Relations and Community Relations of Ameriprise Financial, Inc. Donald E. Froude - President of The Personal President of The Personal Advisors Group of Ameriprise Advisors Group Financial, Inc. Kelli A. Hunter - Executive Vice President of Human Executive Vice President of Human Resources of Resources Ameriprise Financial, Inc. John C. Junek - Executive Vice President and Executive Vice President and General Counsel of General Counsel Ameriprise Financial, Inc. Glen Salow - Executive Vice President of Service Executive Vice President of Service Delivery and Delivery and Technology Technology of Ameriprise Financial, Inc. Kim M. Sharan - President of Financial Planning, President of Financial Planning, Retirement and Wealth Retirement and Wealth Strategies and Chief Strategies and Chief Marketing Officer of Ameriprise Marketing Officer Financial, Inc. David K. Stewart - Senior Vice President and Senior Vice President and Controller (Principal Controller (Principal Accounting Officer) Accounting Officer) of Ameriprise Financial, Inc. Joseph E. Sweeney - President of Advice and President of Advice and Wealth Management and
2 Wealth Management and Products and Services Products and Services of Ameriprise Financial, Inc. William F. Truscott - Chief Executive Officer of Chief Executive Officer of U.S. Asset Management and U.S. Asset Management and President of Annuities President of Annuities of Ameriprise Financial, Inc. John R. Woerner - President of Insurance and Chief President of Insurance and Chief Strategy Officer of Strategy Officer Ameriprise Financial, Inc.
3 SCHEDULE B TRANSACTIONS IN THE SHARES DURING THE PAST 60 DAYS
FOR THE SHARES OF COMMON STOCK PRICE PER DATE OF ACCOUNT OF PURCHASED/(SOLD) SHARE ($U.S.) PURCHASE/(SALE) - ---------- ---------------------- ------------- --------------- Client 7* 1,890 3.7207 05/11/2010 Client 1 300 3.65 05/11/2010 Client 2 200 3.65 05/11/2010 Focus Fund 6700 3.65 05/11/2010 Client 1 700 3.7496 05/12/2010 Client 2 500 3.7496 05/12/2010 Focus Fund 17900 3.7496 05/12/2010 Client 1 400 3.75 05/13/2010 Client 2 300 3.75 05/13/2010 Focus Fund 11100 3.75 05/13/2010 Client 1 1800 3.6538 05/14/2010 Client 1 1800 3.6 05/14/2010 Client 2 1200 3.6538 05/14/2010 Client 2 1300 3.6 05/14/2010 Focus Fund 47000 3.6538 05/14/2010 Focus Fund 48000 3.6 05/14/2010 Client 1 1800 3.6691 05/17/2010 Client 1 300 3.6 05/17/2010 Client 2 1300 3.6691 05/17/2010 Client 2 200 3.6 05/17/2010 Focus Fund 46900 3.6691 05/17/2010 Focus Fund 7700 3.6 05/17/2010 Client 1 2100 3.65 05/18/2010 Client 1 5400 3.5794 05/18/2010 Client 2 1500 3.65 05/18/2010 Client 2 3900 3.5794 05/18/2010 Focus Fund 53500 3.65 05/18/2010 Focus Fund 141300 3.5794 05/18/2010 Client 3 (7000) 3.5089 05/19/2010 Client 1 600 3.35 05/20/2010 Client 2 400 3.35 05/20/2010 Focus Fund 15100 3.35 05/20/2010 Client 1 200 3.347 05/21/2010 Client 2 200 3.347 05/21/2010 Focus Fund 5900 3.347 05/21/2010 Client 1 2300 3.3996 05/26/2010 Client 2 1700 3.3996 05/26/2010 Focus Fund 61000 3.3996 05/26/2010 Focus Fund 400 3.4 05/27/2010 Client 1 1900 3.4396 05/28/2010
* As of the date of this filing, such client did not hold any shares of AATI. Client 2 1200 3.4396 05/28/2010 Focus Fund 47600 3.4396 05/28/2010 Client 1 500 3.4506 06/01/2010 Client 2 400 3.4506 06/01/2010 Focus Fund 13700 3.4506 06/01/2010 Client 1 1600 3.5845 06/02/2010 Client 2 1100 3.5845 06/02/2010 Focus Fund 40400 3.5845 06/02/2010 Client 1 4200 3.598 06/03/2010 Client 2 2900 3.598 06/03/2010 Focus Fund 106300 3.598 06/03/2010 Client 1 3200 3.5989 06/04/2010 Client 1 9000 3.5906 06/04/2010 Client 2 1400 3.5989 06/04/2010 Client 2 3900 3.5906 06/04/2010 Focus Fund 66800 3.5989 06/04/2010 Focus Fund 187100 3.5906 06/04/2010 Client 6 160 3.6438 06/14/2010 Client 8* (40) 3.63 06/14/2010 Client 4 (75) 3.40 06/25/2010 Client 5 310 3.46 06/28/2010 Client 7* (1,890) 3.4602 06/28/2010
* As of the date of this filing, such client did not hold any shares of AATI. 2 EX-99.1 2 c59060exv99w1.txt EX-99.1 EXHIBIT 99.1 TO SCHEDULE 13D JOINT FILING AGREEMENT The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13D dated July 13, 2010 in connection with their beneficial ownership of Advanced Analogic Technologies Incorporated, and any amendments thereto. Each of Ameriprise Financial, Inc. and Columbia Management Investment Advisers, LLC authorizes Seligman Spectrum Focus (Master) Fund to execute the Schedule 13D to which this Exhibit is attached and make any necessary amendments thereto. Ameriprise Financial, Inc. By: /s/ Wade M. Voigt --------------------------------- Wade M. Voigt Director - Fund Administration Seligman Spectrum Focus (Master) Fund By: /s/ Paul Goucher --------------------------------- Paul Goucher Authorized Person Columbia Management Investment Advisers, LLC By: /s/ Paul Goucher --------------------------------- Paul Goucher Vice President and Assistant Secretary -----END PRIVACY-ENHANCED MESSAGE-----