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<SEC-DOCUMENT>0000950123-10-103922.txt : 20101110
<SEC-HEADER>0000950123-10-103922.hdr.sgml : 20101110
<ACCEPTANCE-DATETIME>20101110162223
ACCESSION NUMBER: 0000950123-10-103922
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 3
FILED AS OF DATE: 20101110
DATE AS OF CHANGE: 20101110
GROUP MEMBERS: SECURITIES AMERICA ADVISERS, INC.
GROUP MEMBERS: SECURITIES AMERICA FINANCIAL CORP
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: PROSHARES TRUST
CENTRAL INDEX KEY: 0001174610
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0531
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-82989
FILM NUMBER: 101180346
BUSINESS ADDRESS:
STREET 1: 7501 WISCONSIN AVENUE
STREET 2: SUITE 1000
CITY: BETHESDA
STATE: MD
ZIP: 20814
BUSINESS PHONE: 240-497-6400
MAIL ADDRESS:
STREET 1: 7501 WISCONSIN AVENUE
STREET 2: SUITE1000
CITY: BETHESDA
STATE: MD
ZIP: 20814
FORMER COMPANY:
FORMER CONFORMED NAME: XTRASHARES TRUST
DATE OF NAME CHANGE: 20030409
FORMER COMPANY:
FORMER CONFORMED NAME: PROFUNDS ETF TRUST
DATE OF NAME CHANGE: 20020531
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: 612-671-2018
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
</SEC-HEADER>
<DOCUMENT>
<TYPE>SC 13G/A
<SEQUENCE>1
<FILENAME>c61201bsc13gza.txt
<DESCRIPTION>SC 13G/A
<TEXT>
<PAGE>
SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
SCHEDULE 13G
Amendment #3
Under the Securities and Exchange Act of 1934
ProShares Trust
(Name of Issuer)
ProShares Ultra Consumer Services
(Title of Class of Securities)
74347R750
(CUSIP Number)
October 31, 2010
(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.
<PAGE>
CUSIP NO. 74347R750
- --------------------------------------------------------------------------------
1) Name of Reporting Person Ameriprise Financial, Inc.
S.S. or I.R.S. Identification IRS No. 13-3180631
No. of Above Person
- --------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [X]*
* 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
- --------------------------------------------------------------------------------
5) Sole Voting Power
-0-
--------------------------------------------------------
NUMBER OF SHARES 6) Shared Voting Power
BENEFICIALLY OWNED BY
EACH REPORTING PERSON -0-
WITH --------------------------------------------------------
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
CO
- --------------------------------------------------------------------------------
<PAGE>
CUSIP NO. 74347R750
- --------------------------------------------------------------------------------
1) Name of Reporting Person Securities America Financial Corporation
S.S. or I.R.S. Identification IRS No. 47-0691275
No. of Above Person
- --------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [X]*
* 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
Nebraska
- --------------------------------------------------------------------------------
5) Sole Voting Power
-0-
--------------------------------------------------------
NUMBER OF SHARES 6) Shared Voting Power
BENEFICIALLY OWNED BY
EACH REPORTING PERSON -0-
WITH --------------------------------------------------------
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
CO
- --------------------------------------------------------------------------------
<PAGE>
CUSIP NO. 74347R750
- --------------------------------------------------------------------------------
1) Name of Reporting Person Securities America Advisers, Inc.
S.S. or I.R.S. Identification IRS No. 47-0648506
No. of Above Person
- --------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [X]*
* 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
Nebraska
- --------------------------------------------------------------------------------
5) Sole Voting Power
-0-
--------------------------------------------------------
NUMBER OF SHARES 6) Shared Voting Power
BENEFICIALLY OWNED BY
EACH REPORTING PERSON -0-
WITH --------------------------------------------------------
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
- --------------------------------------------------------------------------------
<PAGE>
1(a) Name of Issuer: ProShares Trust
1(b) Address of Issuer's Principal 7501 Wisconsin Ave., Suite 1000
Executive Offices: Bethesda, MD 20814
2(a) Name of Person Filing: (a) Ameriprise Financial, Inc.
("AFI")
(b) Securities America Financial
Corporation ("SAFC")
(c) Securities America Advisers,
Inc. ("SAA")
2(b) Address of Principal Business Office:
c/o Ameriprise Financial, Inc.
145 Ameriprise Financial Center
Minneapolis, MN 55474
2(c) Citizenship: (a) Delaware
(b) Nebraska
(c) Nebraska
2(d) Title of Class of Securities: ProShares Ultra Consumer Services
2(e) Cusip Number: 74347R750
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) Securities America Financial Corporation.
A parent holding company in accordance with Rule 13d-1(b)(1)(ii)(G). (Note:
See Item 7)
(c) Securities America Advisers, Inc.
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 SAFC, and indirect parent of SAA, may be
deemed to beneficially own the shares reported herein by SAFC and SAA.
<PAGE>
Accordingly, the shares reported herein by AFI include those shares
separately reported herein by SAFC and SAA.
SAFC, as the parent company of SAA, may be deemed to beneficially own the
shares reported herein by SAA. Accordingly, the shares reported herein by
SAFC include those shares separately reported herein by SAA.
Each of the reporting persons herein 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 [X].
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:
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.
<PAGE>
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 10, 2010
Ameriprise Financial, Inc.
By /s/ Wade M. Voigt
-------------------------------------
Name: Wade M. Voigt
Title: Director - Fund Administration
Securities America Financial Corporation
By: /s/ Wade M. Voigt
------------------------------------
Name: Wade M. Voigt
Title: Attorney-in-fact
Securities America Advisers, Inc.
By: /s/ Wade M. Voigt
------------------------------------
Name: Wade M. Voigt
Title: Attorney-in-fact
Contact Information
Wade M. Voigt
Director - Fund Administration
Telephone: (612) 671-5682
<PAGE>
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 and Power of Attorney
</TEXT>
</DOCUMENT>
<DOCUMENT>
<TYPE>EX-99.I
<SEQUENCE>2
<FILENAME>c61201bexv99wi.txt
<DESCRIPTION>EX-99.I
<TEXT>
<PAGE>
Exhibit I
to
Schedule 13G
Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company.
The classification and identity of the relevant subsidiaries are as follows:
Parent Holding Company - Securities America Financial Corporation, a Nebraska
corporation
Investment Adviser - Securities America Advisors, Inc., a Nebraska corporation,
is investment adviser registered under section 203 of the Investment Advisers
Act of 1940.
</TEXT>
</DOCUMENT>
<DOCUMENT>
<TYPE>EX-99.II
<SEQUENCE>3
<FILENAME>c61201bexv99wii.txt
<DESCRIPTION>EX-99.II
<TEXT>
<PAGE>
Exhibit II
to
Schedule 13G
Joint Filing Agreement
And
Power of Attorney
The undersigned persons agree and consent to the joint filing on their behalf of
this Schedule 13G dated November 10, 2010 in connection with their beneficial
ownership of ProShares Ultra Consumer Services. Each of the undersigned
authorizes and appoints each of Wade M. Voigt, Paul B. Goucher, Scott R.
Plummer, Eric T. Brandt, Amy Johnson, attorney-in-fact and agent, with full
power of substitution and resubstitution, for in name and stead, to sign and
file with the US Securities and Exchange Commission (the "SEC") the Schedule 13G
to which this Exhibit is attached or further amendments thereto, and any and all
applications or other documents to be filed with the SEC pertaining thereto,
including, but not limited to, such applications as may be necessary to file
electronically with the SEC, with full power and authority to do and perform all
acts and things requisite and necessary to be done in connection therewith.
Ameriprise Financial, Inc.
By: /s/ Wade M. Voigt
--------------------------------
Wade M. Voigt
Director - Fund Administration
Securities America Financial Corporation
By: /s/ Terrance DeWald
--------------------------------
Name: Terrance DeWald
Title: Senior Vice President and
General Counsel
Securities America Advisers, Inc.
By: /s/ Terrance DeWald
--------------------------------
Name: Terrance DeWald
Title: Senior Vice President and
General Counsel
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
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