0001082327-17-000054.txt : 20170223
0001082327-17-000054.hdr.sgml : 20170223
20170222181750
ACCESSION NUMBER: 0001082327-17-000054
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20170223
DATE AS OF CHANGE: 20170222
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: INVESTMENT TECHNOLOGY GROUP, INC.
CENTRAL INDEX KEY: 0000920424
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 952848406
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-45125
FILM NUMBER: 17630024
BUSINESS ADDRESS:
STREET 1: ONE LIBERTY PLAZA
STREET 2: 165 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10006
BUSINESS PHONE: (212) 588-4000
MAIL ADDRESS:
STREET 1: ONE LIBERTY PLAZA
STREET 2: 165 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10006
FORMER COMPANY:
FORMER CONFORMED NAME: INVESTMENT TECHNOLOGY GROUP INC
DATE OF NAME CHANGE: 19940316
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: FULLER & THALER ASSET MANAGEMENT, INC.
CENTRAL INDEX KEY: 0001082327
IRS NUMBER: 943176968
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 411 BOREL AVENUE, SUITE 300
CITY: SAN MATEO
STATE: CA
ZIP: 94402
BUSINESS PHONE: 6509311500
MAIL ADDRESS:
STREET 1: 411 BOREL AVENUE, SUITE 300
CITY: SAN MATEO
STATE: CA
ZIP: 94402
FORMER COMPANY:
FORMER CONFORMED NAME: FULLER & THALER ASSET MANAGEMENT /CA
DATE OF NAME CHANGE: 19990322
SC 13G/A
1
r13ga1-itg20161231.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(Amendment No.1)
Under the Securities Exchange Act of 1934
Investment Technology Group Inc
(Name of Issuer)
Common Stock
(Title of Class of Securities)
46145F105
(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:
[X] Rule 13d-1(b) For IA & IAR
[ ] Rule 13d-1(c) For LP if any
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out or 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).
CUSIP No. 46145F105 SCHEDULE 13G Page 2 of 5
1 Name of Reporting Person
Fuller & Thaler Asset Management, Inc.
IRS Identification No. of Above Person 94-3176968
2 Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [ ]
3 SEC USE ONLY
4 Citizenship or Place of Organization
California
5 Sole Voting Power
1,851,712
NUMBER OF 6 Shared Voting Power
SHARES
BENEFICIALLY -0-
OWNED BY EACH
REPORTING 7 Sole Dispositive Power
PERSON WITH
1,894,442
8 Shared Dispositive Power
-0-
9 Aggregate Amount Beneficially Owned by each Reporting
Person
1,894,442
10 Check Box if the Aggregate Amount in Row (9) Excludes
Certain Shares* [ ]
11 Percent of Class Represented by Amount in Row 9
5.8%
12 Type of Reporting Person*
IA
CUSIP No. 46145F105 SCHEDULE 13G Page 3 of 5
Item 1(a). Name of Issuer.
Investment Technology Group Inc
Item 1(b). Address of Issuer's Principal Executive Offices.
One Liberty Plaza, 165 Broadway, New York, NY 10016
Item 2(a). Names of Persons Filing.
Fuller & Thaler Asset Management, Inc.
Item 2(b). Address of Principal Business Office or, if none,
Residence.
411 Borel Avenue, Suite 300, San Mateo, CA 94402.
Item 2(c). Citizenship.
California corporation.
Item 2(d). Title of Class of Securities.
Common Stock
Item 2(e). CUSIP Number.
46145F105
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 of 1940 (15 U.S.C. 80a-8).
CUSIP No. 46145F105 SCHEDULE 13G Page 4 of 5
(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 person in
accordance with 240.13b-1(b)(1)(ii)(G).
(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 form 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.
Reference is made hereby to Items 5-9 and 11 of
Page two (2) of this Schedule 13G, which Items
are incorporated by reference herein.
Item 5. Ownership of Five Percent or Less of a Class.
Not applicable.
Item 6. Ownership of More Than Five Percent on Behalf of
Another Person.
Fuller & Thaler Asset Management, Inc. is deemed to be the
beneficial owner of the number of securities reflected in Items
5-9 and 11 of page two (2) of this Schedule 13G pursuant to
separate arrangements whereby it acts as investment adviser to
certain persons. Each person for whom Fuller & Thaler Asset
Management, Inc. acts as investment adviser has the right to
receive or the power to direct the receipt of dividends from,
or the proceeds from the sale of, the Common Stock.
Item 7. Identification and Classification of the Subsidiary
which Acquired the Security Being Reported on by the Parent
Holding Company.
Not applicable.
CUSIP No. 46145F105 SCHEDULE 13G Page 5 of 5
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, Fuller & Thaler Asset Management, Inc.
certifies that, to the best of its knowledge and belief, the
securities referred to above on page two (2) of this Schedule 13G
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 its knowledge
and belief, the undersigned certifies that the information set
forth in this statement is true, complete and correct.
DATED: February 14, 2017
Fuller & Thaler Asset Management, Inc.
/s/ Hanna Zanoni
________________________
By: Hanna Zanoni
its: Chief Compliance Officer