0001085146-24-004537.txt : 20240904 0001085146-24-004537.hdr.sgml : 20240904 20240904142749 ACCESSION NUMBER: 0001085146-24-004537 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20240904 DATE AS OF CHANGE: 20240904 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AltShares Trust CENTRAL INDEX KEY: 0001779306 ORGANIZATION NAME: IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-94129 FILM NUMBER: 241276947 BUSINESS ADDRESS: STREET 1: 41 MADISON AVENUE STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 1-800-560-8210 MAIL ADDRESS: STREET 1: 41 MADISON AVENUE STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 FORMER COMPANY: FORMER CONFORMED NAME: wicShares Trust DATE OF NAME CHANGE: 20190930 FORMER COMPANY: FORMER CONFORMED NAME: AltShares Trust DATE OF NAME CHANGE: 20190926 FORMER COMPANY: FORMER CONFORMED NAME: wicShares Trusts DATE OF NAME CHANGE: 20190926 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEW YORK LIFE INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001133639 ORGANIZATION NAME: IRS NUMBER: 522206685 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 51 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 2125767000 MAIL ADDRESS: STREET 1: 51 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10010 SC 13G 1 arbainitial_90424.htm NEW YORK LIFE INVESTMENT MANAGEMENT LLC arbainitial_90424.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
ALTSHARES TRUST
(Name of Issuer)
MERGER ARBITRAGE
(Title of Class of Securities)
02210T108
(CUSIP Number)
August 31, 2024
(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 Instructions).
CUSIP No.: 02210T108
       
1
NAME OF REPORTING PERSON
New York Life Investment Management LLC
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
52-2206685
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [   ]
(b) [   ]
3 SEC USE ONLY
4
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5
SOLE VOTING POWER
321,025
6
SHARED VOTING POWER
0
7
SOLE DISPOSITIVE POWER
321,025
8
SHARED DISPOSITIVE POWER
0
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
321,025
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[   ]
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
12.6%
12
TYPE OF REPORTING PERSON
Registered Investment Adviser
CUSIP No.: 02210T108
ITEM 1(a). NAME OF ISSUER:
ALTSHARES TRUST
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
41 Madison Avenue, 42nd Floor
New York, NY 10010
ITEM 2(a). NAME OF PERSON FILING:
New York Life Investment Management LLC
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
51 Madison Avenue
New York, NY 10010
ITEM 2(c). CITIZENSHIP:
United States
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
MERGER ARBITRAGE
ITEM 2(e). CUSIP NUMBER:
02210T108
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTION 240.13d-1(b), or 13d-2(b) or (c) CHECK WHETHER THE PERSON FILING IS A:
(a)
[ ]
Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78c);
(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 adviser 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 Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)
[ ]
A non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J);
(k)
[ ]
Group, in accordance with 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with 240.13d1(b)(1)(ii)(J), please specify the type of institution:
ITEM 4. OWNERSHIP
(a) Amount beneficially owned:
321,025
(b) Percent of class:
12.6%
(c) Number of shares as to which the person has:
(i) sole power to vote or to direct the vote:
New York Life Investment Management LLC
: 321,025
(ii) shared power to vote or to direct the vote:
New York Life Investment Management LLC
: 0
(iii) sole power to dispose or direct the disposition of:
New York Life Investment Management LLC
: 321,025
(iv) shared power to dispose or to direct the disposition of:
New York Life Investment Management LLC
: 0
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 [ ].
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY:
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
ITEM 9. NOTICE OF DISSOLUTION OF GROUP:
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.
CUSIP No.: 02210T108
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.
September 04 2024
By:
/s/ Paul Vengrow
Name:
Paul Vengrow
Title:
Corporate Vice President
Attention — Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001).