0001193125-14-229698.txt : 20140624 0001193125-14-229698.hdr.sgml : 20140624 20140609104653 ACCESSION NUMBER: 0001193125-14-229698 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140609 DATE AS OF CHANGE: 20140609 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND IV CENTRAL INDEX KEY: 0001517936 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-87789 FILM NUMBER: 14898397 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 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 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 1 d740988dsc13g.htm SC 13G SC 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.     )*

 

 

 

First Trust Exchange Traded Fund IV,

North American Energy Infrastructure Fund,

CIK 0001517936

(Name of Issuer)

 

 

 

Exchange Traded Fund

(Title of Class of Securities)

 

33738D101

(CUSIP Number)

 

5/31/2014

(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).

 

 

 


CUSIP No. 33738D101  

 

  1   

NAMES OF REPORTING PERSONS

 

Curian Capital, LLC

30-0024958

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

(a)  ¨        (b)  ¨

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Michigan

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

     

SOLE VOTING POWER

 

4,654,872

   6   

SHARED VOTING POWER

 

   7   

SOLE DISPOSITIVE POWER

 

4,654,872

   8   

SHARED DISPOSITIVE POWER

 

  9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

4,654,872

10

 

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

 

¨

11

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

15.99%

12

 

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

IA


Item 1(a) Name of issuer: First Trust Portfolios LP

Item 1(b) Address of issuer’s principal executive offices:

120 East Liberty Drive, Ste. 400, Wheaton, IL 60187

2(a) Name of person filing:

Curian Capital, LLC

2(b) Address or principal business office or, if none, residence:

7601 Technology Way, Denver, Colorado 80237

2(c) Citizenship:

Michigan

2(d) Title of class of securities:

Mutual Fund ETF

2(e) CUSIP No.:

33738D101

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)      ¨      Broker or 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 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 §240.13d–1(b)(1)(ii)(J), please specify the type of institution:       


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: 4,654,872.

 

(b) Percent of class: 15.99%

 

(c) Number of shares as to which the person has:

 

(i) Sole power to vote or to direct the vote 4,654,872.

 

(ii) Shared power to vote or to direct the vote _____.

 

(iii) Sole power to dispose or to direct the disposition of 4,654,872.

 

(iv) Shared power to dispose or to direct the disposition of _____.

Item 5. Ownership of 5 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 5 percent of the class of securities, check the following ¨.

Item 6. Ownership of More than 5 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 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


Item 10. Certifications

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.

 

June 5, 2014
Date
By:   /s/ Lewis J. Dellarco, Jr.
Signature
VP, Chief Compliance Officer
Name/Title