Filing Details
- Accession Number:
- 0000904454-16-001624
- Form Type:
- 13D Filing
- Publication Date:
- 2016-12-22 16:20:19
- Filed By:
- Dst Systems Inc
- Company:
- Liberty All Star Growth Fund Inc. (NYSE:ASG)
- Filing Date:
- 2016-12-22
- SEC Url:
- 13D Filing
Ownership Summary
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| DST Systems, Inc | 2,526,367 | 0 | 2,526,367 | 0 | 2,526,367 | 9.7% |
| West Side Investment Management, Inc | 2,526,367 | 0 | 2,526,367 | 0 | 2,526,367 | 9.7% |
Filing
| UNITED STATES | |
| SECURITIES AND EXCHANGE COMMISSION | |
| Washington, D.C. 20549 | |
| | |
| | |
| SCHEDULE 13D (Amendment No. 6) | |
| Under the Securities Exchange Act of 1934 | |
| Liberty All-Star Growth Fund, Inc. (ASG) | |
| (Name of Issuer) | |
| Common Stock, $0.10 par value | |
| (Title of Class of Securities) | |
| 529900102 | |
| (CUSIP Number) | |
| DST Systems, Inc. Attn: DST Corporate Secretary 333 W. 11th Street, 5th Floor Kansas City, MO 64105 (816) 435-1000 | Brian D. McCabe Ropes & Gray LLP Prudential Tower 800 Boylston Street Boston, MA 02199 (617) 951-7000 |
| (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) | |
| December 22, 2016 | |
| (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box: ☐
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 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. 529900102
SCHEDULE 13D
| (1) | | NAME OF REPORTING PERSON: DST Systems, Inc. I.R.S. Identification No. 43-1581814 | ||||||
| (2) | | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐ | ||||||
| (3) | | SEC USE ONLY | ||||||
| (4) | | SOURCE OF FUNDS WC | ||||||
| (5) | | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) ☐ | ||||||
| (6) | | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | | (7) | | SOLE VOTING POWER 2,526,367 | ||||
| | (8) | | SHARED VOTING POWER -0- | |||||
| | (9) | | SOLE DISPOSITIVE POWER 2,526,367 | |||||
| | (10) | | SHARED DISPOSITIVE POWER -0- | |||||
| (11) | | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,526,367 | ||||||
| (12) | | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ | ||||||
| (13) | | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.7% | ||||||
| (14) | | TYPE OF REPORTING PERSON CO | ||||||
CUSIP NO. 529900102
| (1) | | NAME OF REPORTING PERSON: West Side Investment Management, Inc. I.R.S. Identification No. 20-3477185 | ||||||
| (2) | | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐ | ||||||
| (3) | | SEC USE ONLY | ||||||
| (4) | | SOURCE OF FUNDS AF | ||||||
| (5) | | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) ☐ | ||||||
| (6) | | CITIZENSHIP OR PLACE OF ORGANIZATION Nevada | ||||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | | (7) | | SOLE VOTING POWER 2,526,367 | ||||
| | (8) | | SHARED VOTING POWER -0- | |||||
| | (9) | | SOLE DISPOSITIVE POWER 2,526,367 | |||||
| | (10) | | SHARED DISPOSITIVE POWER -0- | |||||
| (11) | | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,526,367 | ||||||
| (12) | | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ | ||||||
| (13) | | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.7% | ||||||
| (14) | | TYPE OF REPORTING PERSON CO | ||||||
CUSIP NO. 529900102
AMENDMENT NO. 6 TO SCHEDULE 13D
Reference is hereby made to the statement on Schedule 13D filed with the Securities and Exchange Commission on September 29, 2011, as amended by Amendment No. 1 thereto filed on November 23, 2011, Amendment No. 2 thereto filed on December 15, 2011, Amendment No. 3 thereto filed on December 29, 2011, Amendment No. 4 thereto filed on December 24, 2014, and Amendment No. 5 thereto filed on March 14, 2016 (as so amended, the "Schedule 13D"). Terms defined in the Schedule 13D are used herein as so defined.
The following items of the Schedule 13D are hereby amended as follows:
| Item 5. | Interest in Securities of Issuer (a) through (c) |
On June 8, 2016, September 9, 2016 and December 22, 2016, West Side Investment Management, Inc. ("West Wide") made charitable donations of 119,048, 116,550 and 117,371 shares of Common Stock of Liberty All-Star Growth Fund, Inc. (the "Fund"), respectively, to The Greater Kansas City Community Foundation for no consideration.
Following these donations, West Side is the beneficial owner of 2,526,367 shares of Common Stock, representing an aggregate beneficial ownership of approximately 9.7% of the Fund's total outstanding Common Stock, based on 26,152,284 shares of Common Stock outstanding as of December 16, 2016, as disclosed by the Fund to the Reporting Person. Such securities may be deemed to be indirectly beneficially owned by DST Systems by virtue of the fact that West Side is a wholly owned subsidiary of and is controlled by DST Systems.
CUSIP NO. 529900102
Signature
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this Statement is true, complete and correct.
DATED: December 22, 2016
| DST Systems, Inc. | |||
| By: | /s/ Gregg Wm. Givens | ||
| Name: Gregg Wm. Givens Title: Senior Vice President, Chief Financial Officer and Treasurer | |||
| West Side Investment Management, Inc. | |||
| By: | /s/ Timothy W. Bahr | ||
| Name: Timothy W. Bahr Title: Secretary and Treasurer | |||
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