0000898531-23-000407.txt : 20230911 0000898531-23-000407.hdr.sgml : 20230911 20230911141506 ACCESSION NUMBER: 0000898531-23-000407 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20230911 DATE AS OF CHANGE: 20230911 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Invesco Exchange-Traded Self-Indexed Fund Trust CENTRAL INDEX KEY: 0001657201 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-91032 FILM NUMBER: 231247479 BUSINESS ADDRESS: STREET 1: 3500 LACEY ROAD STREET 2: SUITE 700 CITY: DOWNERS GROVE STATE: IL ZIP: 60515 BUSINESS PHONE: 800-983-0903 MAIL ADDRESS: STREET 1: 3500 LACEY ROAD STREET 2: SUITE 700 CITY: DOWNERS GROVE STATE: IL ZIP: 60515 FORMER COMPANY: FORMER CONFORMED NAME: PowerShares Exchange-Traded Self-Indexed Fund Trust DATE OF NAME CHANGE: 20151030 FORMER COMPANY: FORMER CONFORMED NAME: PowerShares Exchange-Traded Fund Trust III DATE OF NAME CHANGE: 20151030 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAIRD ROBERT W & CO INC /WI/ CENTRAL INDEX KEY: 0000810972 IRS NUMBER: 396037917 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 777 E. WISCONSIN AVENUE CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 414-765-3500 MAIL ADDRESS: STREET 1: 777 E. WISCONSIN AVENUE CITY: MILWAUKEE STATE: WI ZIP: 53202 SC 13G/A 1 rwbci_ibhycbetf-sc13ga.htm AMENDED SCHEDULE FILED TO REPORT ACQUISITION OF BENEFICIAL OWNERSHIP 8-31-23


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington D.C.  20549


SCHEDULE 13G/A

Under the Securities Exchange Act of 1934
(Amendment No. 5)*


Invesco BulletShares 2030 High Yield Corporate Bond ETF
(Name of Issuer)

Shares of Beneficial Interests
(Title of Class of Securities)

46139W841
(CUSIP Number)

August 31, 2023
(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 disclosure 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).


Page 1 of 6
SCHEDULE 13G/A
Invesco BulletShares 2030 High Yield
CUSIP No.
 
Corporate Bond ETF
46139W841

CUSIP No. 46139W841


 
1.
Names of Reporting Persons
   
I.R.S. Identification Nos. of Above Persons (Entities Only)
     
   
Robert W. Baird & Co. Incorporated
   
39-6037917
     
     
 
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
     
   
Wisconsin


 
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
  
   
(See Instructions)   [ ]
  
       
       
 
11.
Percent of Class Represented by Amount in Row (9)
0%
       
       
 
12.
Type of Reporting Person (See Instructions)
IA


Page 2 of 6
SCHEDULE 13G/A
Invesco BulletShares 2030 High Yield
CUSIP No.
 
Corporate Bond ETF
46139W841

Item 1.

 
(a)
Name of Issuer:
     
   
Invesco BulletShares 2030 High Yield Corporate Bond ETF
     
 
(b)
Address of Issuer’s Principal Executive Offices:
     
   
3500 Lacey Road, Suite 700
   
Downers Grove, IL 60515

Item 2.

 
(a)
Name of Person Filing:
     
   
Robert W. Baird & Co. Incorporated
     
 
(b)
Address of Principal Business Office or, if none, Residence:
     
   
777 East Wisconsin Avenue
   
Milwaukee, Wisconsin 53202
     
 
(c)
Citizenship:
     
   
Wisconsin corporation
     
 
(d)
Title of Class of Securities:
     
   
Shares of Beneficial Interests
     
 
(e)
CUSIP Number:
     
   
46139W841




Page 3 of 6
SCHEDULE 13G/A
Invesco BulletShares 2030 High Yield
CUSIP No.
 
Corporate Bond ETF
46139W841

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 (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 plan, in accordance with §240.13d-1(b)(1)(ii)(G).  (Note:  See Item 7).
       
 
(h)
[ ]
A savings association 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)
[ ]
Group, in accordance with §240.13d-1(b)(1)(ii)(J).

Item 4.                  Ownership.

 
(a)
Amount Beneficially Owned:
     
   
0.
     
 
(b)
Percent of Class:
     
   
0%.
     
 
(c)
Number of shares as to which such person has:

   
(i)
Sole power to vote or to direct the vote
       
     
0.
       
   
(ii)
Shared power to vote or to direct the vote
       
     
0.




Page 4 of 6
SCHEDULE 13G/A
Invesco BulletShares 2030 High Yield
CUSIP No.
 
Corporate Bond ETF
46139W841

   
(iii)
Sole power to dispose or to direct the disposition of
       
     
0.
       
   
(iv)
Shared power to dispose or to direct the disposition of
       
     
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:  [X]
   
Item 6.
Ownership of More than Five 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.
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.




Page 5 of 6
SCHEDULE 13G/A
Invesco BulletShares 2030 High Yield
CUSIP No.
 
Corporate Bond ETF
46139W841


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 11, 2023
 
Date
   
 
/s/ Paul L. Schultz
 
Signature
   
 
Paul L. Schultz, Secretary & General Counsel
 
Name/Title

















Page 6 of 6