0001193125-17-037540.txt : 20170210 0001193125-17-037540.hdr.sgml : 20170210 20170210112403 ACCESSION NUMBER: 0001193125-17-037540 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20170210 DATE AS OF CHANGE: 20170210 GROUP MEMBERS: COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Rand Logistics, Inc. CENTRAL INDEX KEY: 0001294250 STANDARD INDUSTRIAL CLASSIFICATION: WATER TRANSPORTATION [4400] IRS NUMBER: 201195343 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80134 FILM NUMBER: 17590873 BUSINESS ADDRESS: STREET 1: 333 WASHINGTON STREET STREET 2: SUITE 201 CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 212-863-9427 MAIL ADDRESS: STREET 1: 333 WASHINGTON STREET STREET 2: SUITE 201 CITY: JERSEY CITY STATE: NJ ZIP: 07302 FORMER COMPANY: FORMER CONFORMED NAME: Rand Acquisition CORP DATE OF NAME CHANGE: 20040618 FORMER COMPANY: FORMER CONFORMED NAME: Grand Slam Acquisition CORP DATE OF NAME CHANGE: 20040617 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC CENTRAL INDEX KEY: 0000820027 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 133180631 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-7449 MAIL ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL CORP DATE OF NAME CHANGE: 20030513 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL ADVISORS DATE OF NAME CHANGE: 19950711 FORMER COMPANY: FORMER CONFORMED NAME: IDS FINANCIAL CORP/MN/ DATE OF NAME CHANGE: 19920703 SC 13G/A 1 d269914dsc13ga.htm SC 13G/A SC 13G/A

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Amendment #2

Under the Securities and Exchange Act of 1934

 

 

 

Rand Logistics, Inc.

(Name of Issuer)

 

 

 

Common Stock

(Title of Class of Securities)

 

752182105

(CUSIP Number)

 

December 31, 2016

(Date of Event Which Requires Filing of this Statement)

 

 

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

This Schedule is filed pursuant to Rule 13d-1(b)

The information required in the remainder of this cover page (except any items to which the form provides a cross-reference) 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.

 

 

 

CUSIP NO. 752182105  

 

  1)   

Name of Reporting Person

S.S. or I.R.S. Identification No. of Above Person

 

Ameriprise Financial, Inc.

IRS No. 13-3180631

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☒*

 

*  This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

Sole Voting Power

 

0

   6)   

Shared Voting Power

 

0

   7)   

Sole Dispositive Power

 

0

   8)   

Shared Dispositive Power

 

0

  9)

  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10)

  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

Not Applicable

11)

  

Percent of Class Represented by Amount In Row (9)

 

0.00%

12)

  

Type of Reporting Person

 

HC

CUSIP NO. 752182105  

 

  1)   

Name of Reporting Person

S.S. or I.R.S. Identification No. of Above Person

 

Columbia Management Investment Advisers, LLC

IRS No. 41-1533211

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☒*

 

*  This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Minnesota

NUMBER OF

SHARES

BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

Sole Voting Power

 

0

   6)   

Shared Voting Power

 

0

   7)   

Sole Dispositive Power

 

0

   8)   

Shared Dispositive Power

 

0

  9)

  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10)

  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

Not Applicable

11)

  

Percent of Class Represented by Amount In Row (9)

 

0.00%

12)

  

Type of Reporting Person

 

IA

1(a)   Name of Issuer:   Rand Logistics, Inc.
1(b)  

Address of Issuer’s Principal

Executive Offices:

  

500 Fifth Avenue, 50th Floor

New York, NY 10110

2(a)   Name of Person Filing:   (a) Ameriprise Financial, Inc. (“AFI”)
    (b) Columbia Management Investment
    Advisers, LLC (“CMIA”)
2(b)   Address of Principal Business Office:   (a) Ameriprise Financial, Inc.
    145 Ameriprise Financial Center
    Minneapolis, MN 55474
    (b) 225 Franklin St.
    Boston, MA 02110
2(c)   Citizenship:   (a) Delaware
    (b) Minnesota
2(d)   Title of Class of Securities:   Common Stock
2(e)   Cusip Number:   752182105

 

3 Information if statement is filed pursuant to Rules 13d-1(b) or 13d-2(b):

(a) Ameriprise Financial, Inc.

A parent holding company in accordance with Rule 13d-1(b)(1)(ii)(G). (Note: See Item 7)

(b) Columbia Management Investment Advisers, LLC

An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E).

 

4 Incorporated by reference to Items (5)-(9) and (11) of the cover page pertaining to each reporting person.

AFI, as the parent company of CMIA, may be deemed to beneficially own the shares reported herein by CMIA. Accordingly, the shares reported herein by AFI include those shares separately reported herein by CMIA.

Each of AFI and CMIA disclaims beneficial ownership of any shares reported on this Schedule.

 

5 Ownership of 5% or Less of a Class:

If this statement is being filed to report the fact 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 5% on Behalf of Another Person: Not Applicable

 

7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company:

AFI: See Exhibit I

 

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 purposes 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: February 6, 2017

 

Ameriprise Financial, Inc.
By:  

/s/ Amy Johnson

Name:   Amy Johnson
Title:   Senior Vice President and Chief Operating Officer-Asset Management
Columbia Management Investment
Advisers, LLC
By:  

/s/ Amy Johnson

Name:   Amy Johnson
Title:   Chief Operating Officer and Managing Director
Contact Information
  Richard Dluzniewski
  Vice President-Control & Operational Risk-Operations and Investor Services
  Telephone: (212) 850-1434

Exhibit Index

 

Exhibit I    Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company.
Exhibit II    Joint Filing Agreement
 EX-99.I 2 d269914dex99i.htm EX-99.I EX-99.I

Exhibit I

to

Schedule 13G

Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows:

Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940.

EX-99.II 3 d269914dex99ii.htm EX-99.II EX-99.II

Exhibit II

to

Schedule 13G

Joint Filing Agreement

The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 6, 2017 in connection with their beneficial ownership of Rand Logistics, Inc., Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attached and make any necessary amendments thereto.

 

Ameriprise Financial, Inc.
By:  

/s/ Amy Johnson

  Amy Johnson
Title:   Senior Vice President and Chief Operating Officer-Asset Management
Columbia Management Investment Advisers, LLC
By:  

/s/ Amy Johnson

  Amy Johnson
Title:   Chief Operating Officer and Managing Director