0000904454-16-001617.txt : 20161221 0000904454-16-001617.hdr.sgml : 20161221 20161221095331 ACCESSION NUMBER: 0000904454-16-001617 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20161221 DATE AS OF CHANGE: 20161221 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SIGULER GUFF SMALL BUSINESS CREDIT OPPORTUNITIES FUND, INC CENTRAL INDEX KEY: 0001614173 IRS NUMBER: 471290650 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-89248 FILM NUMBER: 162062931 BUSINESS ADDRESS: STREET 1: 825 THIRD AVENUE, FLOOR 10 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-332-5100 MAIL ADDRESS: STREET 1: 825 THIRD AVENUE, FLOOR 10 CITY: NEW YORK STATE: NY ZIP: 10022 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Carpenters' Pension Trust Fund of St. Louis CENTRAL INDEX KEY: 0001664406 IRS NUMBER: 000000000 STATE OF INCORPORATION: MO FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1401 HAMPTON AVENUE CITY: ST. LOUIS STATE: MO ZIP: 63139 BUSINESS PHONE: 314-644-4800 MAIL ADDRESS: STREET 1: 1401 HAMPTON AVENUE CITY: ST. LOUIS STATE: MO ZIP: 63139 SC 13G/A 1 s13ga_121916-sigguffsbcoppfd.htm SCHEDULE 13G - AMENDMENT NO. 2 FOR SIGULER GUFF SMALL BUSINESS CREDIT OPPORTUNITIES FUND, INC. BY CARPENTERS? PENSION TRUST FUND OF ST. LOUIS
 

 
UNITED STATES
 SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G
Under the Securities Exchange Act of 1934
 
(Amendment No. 2)*
 
Siguler Guff Small Business Credit Opportunities Fund, Inc.
(Name of Issuer)
 
Common Stock, $0.001 par value
(Title of Class of Securities)
 
NONE
(CUSIP Number)
 
December 19, 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:
 
[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).
 
 
 
 
 

 
1
Name of Reporting Person:
 
Carpenters' Pension Trust Fund of St. Louis
 
I.R.S. Identification No. of above Person (entities only) (voluntary)
 
  
2
Check the Appropriate Box if a Member of a Group
 
(a) ☐
(b) ☐
 
  
3
SEC USE ONLY
 
  
4
Citizenship or Place of Organization

 Missouri
 
  

NUMBER OF
SHARES
BENEFICIALLY
 OWNED BY
EACH
REPORTING
 PERSON
WITH
5
SOLE VOTING POWER
0
 
6
SHARED VOTING POWER
16,946 *
 
7
SOLE  DISPOSITIVE POWER
0
 
8
SHARED DISPOSITIVE POWER
16,946*
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED
16,946*
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES      ☐
 
 
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.95% *
 
12
TYPE OF REPORTING PERSON
EP
 


* Based on a total of 100,000 shares of Common Stock outstanding, and the ownership by the Reporting Person as of the filing date of this Schedule 13G of  a limited partnership interest in Siguler Guff  Small Business Credit Opportunities Fund, LP (the "Fund") representing 16.95% of the total limited partnership interests in the Fund, which owns all of the outstanding shares of Common Stock of the Issuer.  The limited partners of the Fund have pass-through voting rights with respect to the shares of Common Stock held by the Fund.
 
 
 
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AMENDMENT NO. 2 TO SCHEDULE 13G

Reference is hereby made to the Statement on Schedule 13G with respect to the Issuer filed by the Reporting Person with the Securities and Exchange Commission on January 21, 2016 and Amendment No. 1 thereto filed on October 14, 2016 (as so amended, the "Schedule 13G").  Terms defined in the Schedule 13G are used herein as so defined.

The following items of the Schedule 13G are hereby amended and restated as follows:

Item 4
Ownership:
 
(a) through (c):
 
The information set forth in Items 5 through 9 and 11 of the cover pages to this Amendment No. 2 to Schedule 13G is incorporated herein by reference thereto.

 
 
 
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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:  December 21, 2016

 
CARPENTERS' PENSION TRUST FUND OF ST. LOUIS
 
  
 
By:
/s/ Ilomai Kurrik
  
 
Name:
Ilomai Kurrik
  
 
Title:
Attorney-in-Fact
  

 
 
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