- Amended Statement of Beneficial Ownership (SC 13D/A)
June 16 2011 - 6:01AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
[Rule 13d-101]
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
Advanced Analogic Technologies Incorporated
Common Stock, $0.001 par value per share
(Title of Class of Securities)
00752J108
Seligman Spectrum Focus (Master) Fund
P.O. Box 309
Ugland House, South Church Street
George Town, Grand Cayman KY1-1104, Cayman Islands
Telephone: (212) 850-1864
with copies to:
Michael J. Kennedy, Esq.
Steve L. Camahort, Esq.
Shearman & Sterling LLP
525 Market Street
San Francisco, CA 94105
Telephone: (415) 616-1100
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
June 14, 2011
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the
acquisition that is the subject of this Schedule 13D, and is filing this schedule
because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.
o
Note
: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See §240.13d-7 for other parties to
whom copies are to be sent.
*
The remainder of this cover page shall be filled out for a reporting
persons 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).
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1
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NAMES OF REPORTING PERSONS.
Ameriprise Financial, Inc.
I.R.S. Identification Nos. of above persons (entities only)
13-3180631
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
þ
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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OO
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5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
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o
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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7
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SOLE VOTING POWER
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NUMBER OF
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0
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SHARES
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8
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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2,438,492
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EACH
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9
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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0
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WITH
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10
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SHARED DISPOSITIVE POWER
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2,438,492
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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2,438,492
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12
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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5.69%
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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1
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NAMES OF REPORTING PERSONS.
Columbia Management Investment Advisers, LLC
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
þ
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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OO
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5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
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o
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Minnesota
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7
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SOLE VOTING POWER
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NUMBER OF
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0
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SHARES
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8
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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2,438,492
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EACH
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9
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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0
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WITH
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10
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SHARED DISPOSITIVE POWER
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2,438,492
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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2,438,492
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12
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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5.69%
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IA
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1
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NAMES OF REPORTING PERSONS.
Seligman Spectrum Focus (Master) Fund
I.R.S. Identification Nos. of above persons (entities only)
98-0498128
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
þ
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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WC
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5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
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o
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Cayman Islands
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7
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SOLE VOTING POWER
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NUMBER OF
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0
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SHARES
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8
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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2,162,669
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EACH
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9
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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0
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WITH
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10
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SHARED DISPOSITIVE POWER
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2,162,669
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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2,162,669
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12
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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5.05%
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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This Amendment No. 3 to Schedule 13D is being filed jointly by the following (each a
Reporting Person
and collectively, the
Reporting Persons
): (1) Ameriprise
Financial, Inc., a Delaware corporation (
AFI
), (2) Columbia Management Investment
Advisers, LLC, a Minnesota limited liability company (formerly known as RiverSource Investments,
LLC,
Columbia Management
), and (3) Seligman Spectrum Focus (Master) Fund, an exempted
company incorporated in the Cayman Islands (
Focus Fund
), to supplement and amend the
Schedule 13D filed on behalf of the Reporting Persons. Each item below amends and supplements the
information disclosed under the corresponding item of Schedule 13D. Capitalized terms defined in
the Schedule 13D are used herein with their defined meaning. The information set forth in response
to each separate Item below shall be deemed to be a response to all Items where such information is
relevant.
Item 3. Source Amount of Funds or Other Consideration
The shares of Common Stock purchased by Focus Fund were purchased
with working capital in open market purchases. The aggregate
purchase cost of the 2,162,669 shares of Common Stock beneficially
owned by Focus Fund is approximately $13,084,147, excluding brokerage
commissions.
Item 5. Interest in Securities of the Issuer
(a-b) The following disclosure assumes there are 42,829,856 shares
of Common Stock outstanding, which the Issuer represented to be the
number of shares of Common Stock outstanding as of April 27, 2011 in
the Issuers Quarterly Report on Form 10-Q, as filed with the
Securities and Exchange Commission on May 3, 2011.
As of June 14, 2011, Focus Fund beneficially owned 2,162,669 shares
of Common Stock, which constitutes approximately 5.05% of the shares
of Common Stock outstanding.
As of June 14, 2011, Columbia Management and AFI do not directly own
any shares of Common Stock of the Issuer. As the investment adviser
of Focus Fund and various other unregistered and registered
investment companies and other managed accounts, Columbia Management
may be deemed to beneficially own 2,438,492 shares of Common Stock
held by Focus Fund and eight other clients of Columbia Management,
which constitutes approximately 5.69% of the shares of Common Stock
outstanding. To the knowledge of the Reporting Persons, as of June
14, 2011, only eight other clients of Columbia Management besides
Focus Fund beneficially owned shares of Common Stock and only Focus
Fund beneficially owned more than 5% of the shares of Common Stock
outstanding.
As the sole owner and parent company of Columbia Management, AFI may
be deemed to beneficially own 2,438,492 shares of Common Stock, which
constitutes approximately 5.69% of the shares of Common Stock
outstanding.
Except as set forth in this Item 5(a), none of the Reporting Persons
beneficially owns any shares of Common Stock.
(c) Schedule A annexed hereto lists all transactions in the shares
of Common Stock during the past 60 days by the Reporting Persons.
(d) To the knowledge of the Reporting Persons, no other persons
besides the stockholders and those persons for whose shares of Common
Stock the stockholders report beneficial ownership have the right to
receive or the power to direct the receipt of dividends from, or the
proceeds from the sale of, the securities of the Issuer reported
herein;
provided
,
however
, that eight Columbia Management clients
(each not a Reporting Person hereunder) owning in the aggregate
275,823 shares of Common Stock of the Issuer have the right to
receive any dividends paid by the Issuer and could terminate their
respective investment advisory relationship with Columbia Management
and then subsequently direct the use of proceeds from the sale of the
Common Stock owned by such client.
(e) Not applicable.
Except as set forth above, to the knowledge of the Reporting Persons,
none of the other persons listed in Item 2 above has beneficial
ownership of any shares of Common Stock.
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.
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Dated: June 14, 2011
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Seligman Spectrum Focus (Master) Fund
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By:
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/s/ Eric Brandt
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Name:
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Eric Brandt
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Title:
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Authorized Person
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Ameriprise Financial, Inc.
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By:
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/s/ Wade M. Voigt
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Name:
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Wade M. Voigt
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Title:
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Director Fund Administration
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Columbia Management Investment Advisers, LLC
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By:
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/s/ Eric Brandt
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Name:
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Eric Brandt
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Title:
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Vice President and Assistant Secretary
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Schedule A
Transactions in the Shares During the Past 60 days
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For the
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Shares of Common Stock
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Price Per
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Date of
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Account of
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Purchased/(Sold)
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Share ($U.S.)
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Purchase/(Sale)
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Client 1
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19,000
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4.3350
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05/03/2011
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Client 1
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(67,200
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)
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3.9000
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05/27/2011
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Focus Fund
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(578,500
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)
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6.0400
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06/06/2011
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Focus Fund
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(572,800
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)
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6.0400
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06/06/2011
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Client 2
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(16,900
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)
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6.0500
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06/09/2011
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Client 3
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(12,400
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)
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6.0500
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06/09/2011
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Focus Fund
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(318,400
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)
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6.0500
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06/09/2011
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Client 2
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(500
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)
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6.0500
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06/10/2011
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Client 3
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(400
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)
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6.0500
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06/10/2011
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Focus Fund
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(9,100
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)
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6.0500
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06/10/2011
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Client 2
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(200
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)
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6.0500
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06/13/2011
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Client 3
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(100
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)
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6.0500
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06/13/2011
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Focus Fund
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(3,600
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)
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6.0500
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06/13/2011
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Client 2
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(3,900
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)
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6.0500
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06/14/2011
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Client 3
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(2,900
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)
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6.0500
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06/14/2011
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Focus Fund
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(74,200
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)
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6.0500
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06/14/2011
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