0000950123-11-022603.txt : 20110307 0000950123-11-022603.hdr.sgml : 20110307 20110307151919 ACCESSION NUMBER: 0000950123-11-022603 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110307 DATE AS OF CHANGE: 20110307 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPDR SERIES TRUST CENTRAL INDEX KEY: 0001064642 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78784 FILM NUMBER: 11668439 BUSINESS ADDRESS: STREET 1: ONE LINCOLN STREET STREET 2: CPH0326 CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 866-787-2257 MAIL ADDRESS: STREET 1: ONE LINCOLN STREET STREET 2: CPH0326 CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: STREETTRACKS SERIES TRUST DATE OF NAME CHANGE: 20000925 FORMER COMPANY: FORMER CONFORMED NAME: INDEX EXCHANGE LISTED SECURITIES TRUST DATE OF NAME CHANGE: 19980622 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CURIAN CAPITAL LLC CENTRAL INDEX KEY: 0001275431 IRS NUMBER: 300024958 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 7601 TECHNOLOGY WAY CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 7204896408 MAIL ADDRESS: STREET 1: 7601 TECHNOLOGY WAY CITY: DENVER STATE: CO ZIP: 80237 SC 13G/A 1 c13771sc13gza.htm SCHEDULE 13G/A Schedule 13G/A

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 2)*

SPDR Series Trust Barclay’s Capital ETF (CIK#0001064642)
(Name of Issuer)
Exchange Traded Fund
(Title of Class of Securities)
78464A474
(CUSIP Number)
02/28/11
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     þ Rule 13d-1(b)

     o Rule 13d-1(c)

     o 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).

 
 

 

                     
CUSIP No.
  
78464A474 
  

 

           
1   NAMES OF REPORTING PERSONS
Curian Capital, LLC
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Michigan
       
  5   SOLE VOTING POWER
     
NUMBER OF   1,102,967
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   —
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   1,102,967
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    —
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  1,102,967
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  10.21%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IA

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Item 1.  
  (a)   Name of Issuer

SSGA Funds Management Inc
 
  (b)   Address of Issuer’s Principal Executive Offices
 
      State Street Bank and Trust Company
One Lincoln Center
Boston, MA 02211
Item 2.  
  (a)   Name of Person Filing

Curian Capital, LLC
 
  (b)   Address of Principal Business Office or, if none, Residence

7601 Technology Way
Denver, CO 80237
 
  (c)   Citizenship
Michigan
 
  (d)   Title of Class of Securities

ETF
 
  (e)   CUSIP Number

78464A474
Item 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) o Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
 
  (b) o Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
 
  (c) o Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
 
  (d) o Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
 
  (e) þ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
 
  (f) o An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
 
  (g) o A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
 
  (h) o A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
  (i) o 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) o Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

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Item 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:
 
      1,102,967
 
  (b)   Percent of class:
 
      10.21%
 
  (c)   Number of shares as to which the person has:
 
      See rows (5) through (8) on page 2.
  (i)   Sole power to vote or to direct the vote
 
      1,102,967
 
  (ii)   Shared power to vote or to direct the vote
 
  (iii)   Sole power to dispose or to direct the disposition of
 
      1,102,967
 
  (iv)   Shared power to dispose or to direct the disposition of
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 o.
Not applicable.
Item 6.   Ownership of More than Five Percent on Behalf of Another Person
Securities reported on this Schedule 13G as being beneficially owned by [Fill in here] are held on behalf on investment advisory clients, which may include investment companies registered under the Investment Company Act, employee benefit plans, pension funds or other institutional clients.
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.

 

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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 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.
     
    Date 03/04/2011
   
    Date
     
    /s/ Lewis J. Dellaro
   
    Signature
     
    VP, Chief Compliance Officer
   
    Name/Title

 

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