0001133639-17-000066.txt : 20171108 0001133639-17-000066.hdr.sgml : 20171108 20171108154217 ACCESSION NUMBER: 0001133639-17-000066 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20171108 DATE AS OF CHANGE: 20171108 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: IndexIQ ETF Trust CENTRAL INDEX KEY: 0001415995 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86124 FILM NUMBER: 171186424 BUSINESS ADDRESS: STREET 1: C/O INDEXIQ ADVISORS LLC STREET 2: 800 WESTCHESTER AVENUE SUITE S-710 CITY: Rye Brook STATE: NY ZIP: 10573 BUSINESS PHONE: (914) 481-8397 MAIL ADDRESS: STREET 1: C/O INDEXIQ ADVISORS LLC STREET 2: 800 WESTCHESTER AVENUE SUITE S-710 CITY: Rye Brook STATE: NY ZIP: 10573 FORMER COMPANY: FORMER CONFORMED NAME: IQSHARES Trust DATE OF NAME CHANGE: 20080808 FORMER COMPANY: FORMER CONFORMED NAME: IQSHARES Trust 1 DATE OF NAME CHANGE: 20071024 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEW YORK LIFE INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001133639 IRS NUMBER: 522206685 FILING VALUES: FORM TYPE: SC 13G/A 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/A 1 r13g1017_CSML.txt FORM 13G/A 11/8/17 CSML UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 Under the Securities Exchange Act of 1934 (Amendment #5) IQ CHAIKIN SMALL CAP ETF (Name of Issuer) COMMON STOCK (Title of Class of Securities) 45409B396 (CUSIP Number) *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). SCHEDULE 13G/A CUSIP NO. 45409B396 Page 2 of 4 Pages IQ CHAIKIN SMALL CAP ETF 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON NEW YORK LIFE INVESTMENT MANAGEMENT, LLC. EIN # 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 NEW YORK, NY NUMBER OF 5. SOLE VOTING POWER 4,729,867 SHARES BENEFICIALLY 6. SHARED VOTING POWER 0 OWNED BY EACH 7. SOLE DISPOSITIVE POWER 4,729,867 REPORTING PERSON 8. SHARED DISPOSITIVE POWER 0 WITH 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,729,867 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 48.26% 12. TYPE OF REPORTING PERSON* Qualified Institutional Investor SCHEDULE 13G/A CUSIP NO. 45409B396 Page 3 of 4 Pages IQ CHAIKIN SMALL CAP ETF Item 1(a) Name of Issuer: IQ CHAIKIN SMALL CAP ETF Item 1(b) Address of Issuer's principal executive offices: IndexIQ Advisors LLC 800 Westchester Avenue Suite S-710 Rye Brook, NY 10573 Item 2(a) Name of person filing: New York Life Investment Management, LLC. Item 2(b) Address of principal business office: 51 Madison Avenue New York, NY 10010 Item 2(c) Citizenship: See Item 4 of Cover Page Item 2(d) Title of class of securities: See Cover Page Item 2(e) Cusip No.: See Cover Page Item 3 Type of Person: See Item 12 of Cover Page Item 4(a) Amount beneficially owned: 4,729,867 Item 4(b) Percent of class: 48.26% Item 4(c) For information regarding voting and dispositive power with respect to the above listed shares see items 5-8 of Cover Page. 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 FIVE PERCENT OF THE CLASS SECURITIES, CHECK THE FOLLOWING ( ). Item 6 Ownership of more than 5 percent on behalf of another person: NOT APPLICABLE SCHEDULE 13G/A CUSIP NO. 45409B396 Page 4 of 4 Pages IQ CHAIKIN SMALL CAP ETF Item 7 Identification and classification of subsidiary which acquired the security being reported on by the parent holding company: NOT APPLICABLE Item 8 Identification and classification of members of the group: NOT APPLICABLE Item 9 Notice of dissolution of the group: NOT APPLICABLE 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. Dated: November 8, 2017 /s/ Todd Minichino ----------------------------- Name: Todd Minichino Title: Senior Director