0000909012-11-000353.txt : 20110610
0000909012-11-000353.hdr.sgml : 20110610
20110610114832
ACCESSION NUMBER: 0000909012-11-000353
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20110610
DATE AS OF CHANGE: 20110610
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: SMART BALANCE, INC.
CENTRAL INDEX KEY: 0001331301
STANDARD INDUSTRIAL CLASSIFICATION: FOOD & KINDRED PRODUCTS [2000]
IRS NUMBER: 202949397
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-81234
FILM NUMBER: 11904854
BUSINESS ADDRESS:
STREET 1: 115 WEST CENTURY ROAD
STREET 2: SUITE 260
CITY: PARAMUS
STATE: NJ
ZIP: 07652-1432
BUSINESS PHONE: 3036821982
MAIL ADDRESS:
STREET 1: 115 WEST CENTURY ROAD
STREET 2: SUITE 260
CITY: PARAMUS
STATE: NJ
ZIP: 07652-1432
FORMER COMPANY:
FORMER CONFORMED NAME: Boulder Specialty Brands, Inc.
DATE OF NAME CHANGE: 20050624
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: NWQ INVESTMENT MANAGEMENT CO LLC
CENTRAL INDEX KEY: 0000763848
IRS NUMBER: 470875103
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 2049 CENTURY PARK EAST
STREET 2: 18TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: (310) 552-5114
MAIL ADDRESS:
STREET 1: 2049 CENTURY PARK EAST
STREET 2: 18TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
FORMER COMPANY:
FORMER CONFORMED NAME: NWQ INVESTMENT MANAGEMENT CO /CA/
DATE OF NAME CHANGE: 19990407
SC 13G/A
1
t306392.txt
SMART BAL
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO.1)*
SMART BALANCE INCORPORATED
------------------------------------
(Name of Issuer)
Common Stock
------------------------------------
(Title of Class of Securities)
83169Y108
--------------------
(CUSIP Number)
May 31, 2011
-------------------------------------------------------------
(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).
PAGE 1 OF 4 PAGES
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
NWQ Investment Management Company, LLC 47-0875103
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_]
(b) [_]
N/A
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware -- U.S.A.
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
1,908,861
NUMBER OF -----------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
EACH -----------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 2,591,911
-----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,591,911
--------------------------------------------------------------------------------
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
4.36%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IA
--------------------------------------------------------------------------------
PAGE 2 OF 4 PAGES
Item 1(a) Name of Issuer:
SMART BALANCE INCORPORATED
Item 1(b) Address of Issuer's Principal Executive Offices:
115 West Century Road
Suite 260
Paramus, NJ 07652
UNITED STATES
Item 2(a) Name of Person Filing:
NWQ Investment Management Company, LLC
Item 2(b) Address of the Principal Office or, if none, Residence:
2049 Century Park East, 16th Floor
Los Angeles, CA 90067
Item 2(c) Citizenship:
Delaware -- U.S.A.
Item 2(d) Title of Class of Securities:
Common Stock
Item 2(e) CUSIP Number:
83169Y108
Item 3 If the Statement is being filed pursuant to Rule
13d-1(b), or 13d-2(b), check whether the person filing
is a:
(e) [X] An investment advisor in accordance with
section 240.13d-1(b)(1)(ii)(E)
Item 4 Ownership:
a) Amount Beneficially Owned:
2,591,911
(b) Percent of Class:
4.36%
(c) Number of shares as to which such person has:
(i) sole power to vote or direct the vote: 1,908,861
(ii) shared power to vote or direct the vote: 0
(iii) sole power to dispose or to direct the
disposition of: 2,591,911
(iv) shared power to dispose or to direct the
disposition of: 0
PAGE 3 OF 4 PAGES
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 [ X ].
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:
Not applicable.
Item 8 Identification and Classification of Members of the
Group:
Not applicable.
Item 9 Notice of Dissolution of a Group:
Not applicable.
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 such securities and were
were not acquired in connection with or as a participant
in any transaction having such 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: June 10, 2011
NWQ Investment Management Company, LLC
By: /s/ Jon D. Bosse
--------------------------------
Jon D. Bosse, CFA
Title: Chief Investment Officer
PAGE 4 OF 4 PAGES