0001193125-15-132872.txt : 20150416 0001193125-15-132872.hdr.sgml : 20150416 20150416130803 ACCESSION NUMBER: 0001193125-15-132872 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150416 DATE AS OF CHANGE: 20150416 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TELEPHONE & DATA SYSTEMS INC CENTRAL INDEX KEY: 0000096966 STANDARD INDUSTRIAL CLASSIFICATION: RADIO TELEPHONE COMMUNICATIONS [4812] IRS NUMBER: 362669023 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-14157 FILM NUMBER: 15774043 BUSINESS ADDRESS: STREET 1: 8401 GREENWAY BLVD STREET 2: PO BOX 628010 CITY: MIDDLETON STATE: WI ZIP: 535628010 BUSINESS PHONE: 3126301900 MAIL ADDRESS: STREET 1: 30 NORTH LASALLE STREET SUITE 400 CITY: CHICAGO STATE: IL ZIP: 60602 FORMER COMPANY: FORMER CONFORMED NAME: TELEPHONE SYSTEMS INC STOCK OPTION PLANS DATE OF NAME CHANGE: 19741118 FORMER COMPANY: FORMER CONFORMED NAME: TELEPHONE SYSTEMS INC DATE OF NAME CHANGE: 19740509 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Hornor, Townsend & Kent, Inc. CENTRAL INDEX KEY: 0001606217 IRS NUMBER: 231706189 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 600 DRESHER ROAD CITY: HORSHAM STATE: PA ZIP: 19044 BUSINESS PHONE: 215-956-8000 MAIL ADDRESS: STREET 1: 600 DRESHER ROAD CITY: HORSHAM STATE: PA ZIP: 19044 SC 13G 1 d910021dsc13g.htm SC 13G SC 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.     )*

 

 

TELEPHONE & DATA SYSTEMS, Inc.

(Name of Issuer)

 

 

Exchange Traded Debt Security

(Title of Class of Securities)

879433837

(CUSIP Number)

HORNOR, TOWNSEND & KENT, Inc., member FINRA/SIPC

600 Dresher Road

Horsham, Pennsylvania 19044

Telephone 215-925-7295

Attention: Joseph C. Cascarelli

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

April 13, 2015

(Date of Event which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

  ¨ Rule 13d-1(b)

 

  x 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 disclosures provided in a prior cover page.

The information required on 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. 879433837 13G Page x of x Pages

 

  1. 

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

Janice R. Cote & Scott M. Cote JT TEN

  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

 

41061 Queen Arbor Court

Mechanicsville, MD 20659-3701

NUMBER OF

SHARES

BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

   5. 

  SOLE VOTING POWER

 

  500

  6. 

  SHARED VOTING POWER

 

  00,000

  7. 

  SOLE DISPOSITIVE POWER

 

  500

  8. 

  SHARED DISPOSITIVE POWER

 

  00,000

  9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

500

10.

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see Instructions)  ¨

 

11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

6.25 %

12.

TYPE OF REPORTING PERSON (see Instructions)

 

IN (Individual)

 

CUSIP No. 879433837 13G Page x of x Pages

Item 1.

 

(a)

 Name of Issuer
Telephone & Data Systems Inc. (TDJ)

(b)

 Address of Issuer’s Principal Executive Offices
30 N. LaSalle Street
Suite 4000
Chicago, IL 60602

Item 2.

 

(a)

 Name of Person Filing
Hornor, Townsend & Kent, Inc., member FINRA/SIPC

(b)

 Address of the Principal Office or, if none, residence
600 Dresher Road, Horsham Pennsylvania 19044

(c)

 Citizenship
USA

(d)

 Title of Class of Securities
Exchange Traded Debt Security: Equity Interest Bearing Fixed Rate Cap Security

(e)

 CUSIP Number
879433837

 

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)

 x 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).

(e)

 ¨ 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 §240.13d-1(b)(1)(ii)(G);

(h)

 ¨ A savings associations 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.

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a) Amount beneficially owned: 500.00
(b) Percent of class: 6.25 %
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote 0.00
(ii) Shared power to vote or to direct the vote 500.00
(iii) Sole power to dispose or to direct the disposition of 0.00
(iv) Shared power to dispose or to direct the disposition of 500.00

Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

 

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.

Not Applicable.

 

Item 7. Identification and Classification of the 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 Group.

Not Applicable.

Item 10. Certification.

 

(a) The following certification shall be included if the statement is filed pursuant to §240.13d-1(b):
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.
(b) The following certification shall be included if the statement is filed pursuant to §240.13d-1(c):
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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.

CUSIP No. 879433837 13G Page x of x Pages

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.

 

04/16/2015

Date

/s/ Joseph C. Cascarelli

Signature

RIA Compliance Officer

Name/Title