0001488446-12-000006.txt : 20120214
0001488446-12-000006.hdr.sgml : 20120214
20120214163140
ACCESSION NUMBER: 0001488446-12-000006
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20120214
DATE AS OF CHANGE: 20120214
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: PROSHARES TRUST
CENTRAL INDEX KEY: 0001174610
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0531
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-82989
FILM NUMBER: 12610445
BUSINESS ADDRESS:
STREET 1: 7501 WISCONSIN AVENUE
STREET 2: SUITE 1000
CITY: BETHESDA
STATE: MD
ZIP: 20814
BUSINESS PHONE: 240-497-6400
MAIL ADDRESS:
STREET 1: 7501 WISCONSIN AVENUE
STREET 2: SUITE1000
CITY: BETHESDA
STATE: MD
ZIP: 20814
FORMER COMPANY:
FORMER CONFORMED NAME: XTRASHARES TRUST
DATE OF NAME CHANGE: 20030409
FORMER COMPANY:
FORMER CONFORMED NAME: PROFUNDS ETF TRUST
DATE OF NAME CHANGE: 20020531
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Astor Asset Management, LLC
CENTRAL INDEX KEY: 0001488446
IRS NUMBER: 364471134
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 111 S WACKER DRIVE
STREET 2: SUITE 3910
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 312-373-6280
MAIL ADDRESS:
STREET 1: 111 S WACKER DRIVE
STREET 2: SUITE 3910
CITY: CHICAGO
STATE: IL
ZIP: 60606
SC 13G
1
sh13g20111231.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
PROSHARES SHORT S&P500
--------------------------------------------------------------------------------
(Name of Issuer)
EXCHANGE-TRADED FUND
--------------------------------------------------------------------------------
(Title of Class of Securities)
74347R503
--------------------------------------------------------------------------------
(CUSIP Number)
DECEMBER 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 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. 74347R503
1. NAME OF REPORTING PERSON
Astor Asset Management LLC 36-4471134
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Illinois
NUMBER OF 5. SOLE VOTING POWER 3,856,239
SHARES
BENEFICIALLY 6. SHARED VOTING POWER 0
OWNED BY
EACH 7. SOLE DISPOSITIVE POWER 3,900,165
REPORTING PERSON
WITH 8. SHARED DISPOSITIVE POWER 0
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,900,165
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ]
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.7%
12. TYPE OF REPORTING PERSON
IA
Schedule 13G Additional Information
Item 1.
(a) Name of Issuer
ProShares Advisors LLC
(b) Address of Issuer's Principal Executive Offices
ProShares Trust
7501 Wisconsin Avenue
Suite 1000
Bethesda, MD 20814
Item 2.
(a) Name of Person Filing
Astor Asset Management LLC
(b) Address of Principal Business Office for Each of the Above
111 S Wacker Drive, Suite 3910
Chicago, IL 60606
(c) Citizenship
Illinois
(d) Title of Class of Securities
Exchange-Traded Fund
(e) CUSIP Number
74347R503
3. If this statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c),
check whether the person filing is a:
(a) [ ] Broker of 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) [X] An investment advisor in accordance with 240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance with
240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings associations 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 Investement Company Act of
1940 (15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with 240.13d-1(b)(ii)(J).
4. Ownership.
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned: 3,900,165
(b) Percent of class: 6.7%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote 3,856,239
(ii) Shared power to vote or to direct the vote 0
(iii) Sole power to dispose or to direct the disposition of 3,900,165
(iv) Shared power to dispose or to direct the disposition of 0
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 [ ].
6. Ownership of More than Five Percent on Behalf of Another Person.
Securities reported on this Schedule 13G as being beneficially owned are
held on behalf of investment advisory clients, which may included investment
companies registered under the Investment Company Act, employee benefit
plans, pension funds or other institution and/or individual clients.
7. Identification and Classification of the Subsidiary which Acquired the
Security Being Reported on by the Parent Holding Company
Not applicable.
8. Identification and Classification of Members of the Group
Not applicable.
9. Notice of Dissolution of Group
Not applicable.
10. Certification:
By signing below I certify that, to the best of my knowledge and belief, the
securities referred to above were acquired in the ordinary course of
business and were not acquired for the purpose of and do not have the effect
of changing or influencing the control of the issuer of such securities and
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.
Date 02/14/2012
-----------------------
Date
/s/Althea Trevor
-----------------------
Signature
CCO
-----------------------
Name/Title