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SEC Filings
SC 13G/A
ALPS ADVISORS INC filed this Form SC 13G/A on 02/04/2019
Entire Document
 


  (c)

Number of shares as to which the person has:

 

  (i)

Sole power to vote or to direct the vote:

0

 

  (ii)

Shared power to vote or to direct the vote:

9,686,891**see Note 1**

 

  (iii)

Sole power to dispose or to direct the disposition of:

0

 

  (iv)

Shared power to dispose or to direct the disposition of:

9,686,891**see Note 1**

 

**

Note 1 ** ALPS Advisors, Inc. (“AAI’), an investment adviser registered under Section 203 of the Investment Advisors Act of 1940, furnishes investment advice to investment companies registered under the Investment Company Act of 1940 (collectively referred to as the “Funds”). In its role as investment advisor, AAI has voting and/or investment power over the securities of the Issuer that are owned by the Funds, and may be deemed to be the beneficial owner of the shares of the Issuer held by the Funds. However, all securities reported in this schedule are owned by the Funds. AAI disclaims beneficial ownership of such securities. In addition, the filing of this Schedule 13G shall not be construed as an admission that the reporting person or any of its affiliates is the beneficial owner of any securities covered by this Schedule 13G for any other purposes than Section 13(d) of the Securities Exchange Act of 1934.

Alerian MLP ETF is an investment company registered under the Investment Company Act of 1940 and is one of the Funds to which AAI provides investment advice.

 

Item 5.

Ownership of Five Percent or Less of a Class

N/A

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

The Funds described in Note 1 above have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of the securities held in their respective accounts. AAI disclaims beneficial ownership of all such securities. The interest of one person, Alerian MLP ETF, an investment company registered under the Investment Company Act of 1940, in NuStar Energy, L.P. Common Unit amounted to 9,686,891 shares or 9.05% of the total outstanding Common Units.