Filing Details
- Accession Number:
- 0001532155-18-000096
- Form Type:
- 13G Filing
- Publication Date:
- 2018-02-13 14:11:59
- Filed By:
- Axa Financial Inc
- Company:
- Proshares Trust
- Filing Date:
- 2018-02-13
- SEC Url:
- 13G 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 |
|---|---|---|---|---|---|---|
| AXA S.A. 00-0000000 | 0 | 54,150 | 0 | 54,150 | 54,150 | 10.3% |
| AXA Assurances I.A.R.D. Mutuelle | 0 | 54,150 | 0 | 54,150 | 54,150 | 10.3% |
| AXA Assurances Vie Mutuelle | 0 | 54,150 | 0 | 54,150 | 54,150 | 10.3% |
| AXA Financial Inc. 13-36 | 0 | 54,150 | 0 | 54,150 | 54,150 | 10.3% |
Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1 )*
ProShares RAFI Long/Short
(Name of Issuer)
Exchange Traded Fund
(Title of Class of Securities)
74347X310
(CUSIP Number)
December 31, 2017
(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) |
| [ ] | 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 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 (the "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. | 74347X310 | ||||
| 1. |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) AXA S.A. 00-0000000 | ||
| 2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] | ||
| 3. | SEC USE ONLY | ||
| 4. |
CITIZENSHIP OR PLACE OF ORGANIZATION France | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. SOLE VOTING POWER | 0 | |
| 6. SHARED VOTING POWER | 54,150 | ||
| 7. SOLE DISPOSITIVE POWER | 0 | ||
| 8. SHARED DISPOSITIVE POWER | 54,150 | ||
| 9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 54,150 | ||
| 10. |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] | ||
| 11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.3% | ||
| 12. |
TYPE OF REPORTING PERSON HC | ||
| CUSIP No. | 74347X310 | ||||
| 1. |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) AXA Assurances I.A.R.D. Mutuelle | ||
| 2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] | ||
| 3. | SEC USE ONLY | ||
| 4. |
CITIZENSHIP OR PLACE OF ORGANIZATION France | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. SOLE VOTING POWER | 0 | |
| 6. SHARED VOTING POWER | 54,150 | ||
| 7. SOLE DISPOSITIVE POWER | 0 | ||
| 8. SHARED DISPOSITIVE POWER | 54,150 | ||
| 9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 54,150 | ||
| 10. |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] | ||
| 11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.3% | ||
| 12. |
TYPE OF REPORTING PERSON | ||
| CUSIP No. | 74347X310 | ||||
| 1. |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) AXA Assurances Vie Mutuelle | ||
| 2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] | ||
| 3. | SEC USE ONLY | ||
| 4. |
CITIZENSHIP OR PLACE OF ORGANIZATION France | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. SOLE VOTING POWER | 0 | |
| 6. SHARED VOTING POWER | 54,150 | ||
| 7. SOLE DISPOSITIVE POWER | 0 | ||
| 8. SHARED DISPOSITIVE POWER | 54,150 | ||
| 9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 54,150 | ||
| 10. |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] | ||
| 11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.3% | ||
| 12. |
TYPE OF REPORTING PERSON | ||
| CUSIP No. | 74347X310 | ||||
| 1. |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) AXA Financial Inc. 13-3623351 | ||
| 2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] | ||
| 3. | SEC USE ONLY | ||
| 4. |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. SOLE VOTING POWER | 0 | |
| 6. SHARED VOTING POWER | 54,150 | ||
| 7. SOLE DISPOSITIVE POWER | 0 | ||
| 8. SHARED DISPOSITIVE POWER | 54,150 | ||
| 9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 54,150 | ||
| 10. |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] | ||
| 11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.3% | ||
| 12. |
TYPE OF REPORTING PERSON | ||
| Item 1. | ||||
| (a) | Name of Issuer ProShares RAFI Long/Short | |||
| (b) | Address of Issuer's Principal Executive Offices 7501 Wisconsin Avenue, Suite 1000, Bethesda MD 20814 | |||
| Item 2. | ||||
| (a) | Name of Person Filing | |||
| (b) | Address of Principal Business Office or, if None, Residence AXA Assurances I.A.R.D Mutuelle, and AXA Assurances Vie Mutuelle, 26, rue Drouot 75009 Paris, France as a group (collectively, the 'Mutuelles AXA'). AXA 25, avenue Matignon 75008 Paris, France AXA Financial, Inc. 1290 Avenue of the Americas New York, New York 10104 (Please contact Lauren Day (212-314-3731) with any questions.) | |||
| (c) | Citizenship Mutuelles AXA and AXA - France AXA Financial, Inc. - Delaware | |||
| (d) | Title of Class of Securities Exchange Traded Fund | |||
| (e) | CUSIP Number 74347X310 | |||
| Item 3. | If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: | |||
|
AXA Financial, Inc. as a parent holding company, in accordance with 240.13d-1(b)(ii)(G).
The Mutuelles AXA, as a group, acting as a parent holding company. AXA as a parent holding company. | ||||
| (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). | ||
| (e) | [ ] | An investment adviser in accordance with Rule 240.13d-1(b)(1)(ii)(E); | ||
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with Rule 240.13d-1(b)(1)(ii)(F); | ||
| (g) | [X] | A parent holding company or control person in accordance with Rule 240.13d-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 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 Rule 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: | |||
| 54,150 shares* | ||||
| (b) | Percent of Class: | |||
| 10.3% | ||||
| (c) | Number of shares as to which such person has: | |||
| (i) | sole power to vote or to direct the vote | 0 | ||
| (ii) | shared power to vote or to direct the vote | 54,150 | ||
| (iii) | sole power to dispose or to direct the disposition of | 0 | ||
| (iv) | shared power to dispose or to direct the disposition of | 54,150 | ||
|
*Each of the Mutuelles AXA, as a group, and AXA expressly declares that the
filing of this Schedule 13G shall not be construed as an admission that it is,
for purposes of Section 13(d) of the Exchange Act, the beneficial owner of any
securities covered by this Schedule 13G.
AllianceBernstein L.P. is a majority owned subsidiary of AXA Financial, Inc. and an indirect majority owned subsidiary of AXA SA. AllianceBernstein operates under independent management and makes independent decisions from AXA and AXA Financial and their respective subsidiaries and AXA and AXA Financial calculate and report beneficial ownership separately from AllianceBernstein pursuant to guidance provided by the Securities and Exchange Commission in Release Number 34-39538 (January 12, 1998). AllianceBernstein may be deemed to share beneficial ownership with AXA reporting persons by virtue of 0 shares of common stock acquired on behalf of the general and special accounts of the affiliated entities for which AllianceBernstein serves as a subadvisor. Each of Alliance Bernstein and the AXA entities reporting herein acquired their shares of common stock for investment purposes in the ordinary course of their investment management and insurance businesses. | ||||
| Item 5. | Ownership of Five Percent or Less of Class. | |||
| If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [ ] | ||||
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person. | |||
|
The securities as to which this Schedule is filed by
AXA S.A.,
in its capacity as investment adviser, are
owned of record by clients of
AXA S.A..
Those clients
have the right to receive, or the power to direct the receipt
of, dividends from, or the proceeds from the sale of, such
securities. No such client is known to have such right or
power with respect to more than five percent of this class of
securities, except as follows:
BENAXAEQ-786-NB-VT-NX | ||||
| Item 7. | Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on by the Parent Holding Company. | |||
|
This Schedule 13G is being filed by AXA Financial, Inc.; AXA, which owns AXA Financial, Inc.; and the Mutuelles AXA, which as a group control AXA:
(X) in the Mutuelles AXAs' capacity, as a group, acting as a parent holding company with respect to the holdings of the following AXA entity or entities: (X) in AXA's capacity as a parent holding company with respect to the holdings of one or more of the following entities: AXA Investment Managers AXA Investment Managers UK Ltd. AXA Konzern AG AXA Rosenberg Investment Management LLC (X) in AXA Financial, Inc.'s capacity as a parent holding company with respect to the holdings of one or more of the following entities: AXA Equitable Life Insurance Company | ||||
| Item 8. | Identification and Classification of Members of the Group. Not Applicable. This schedule is not being filed pursuant to Rule 13d-1(b)(1)(ii)(J) or Rule 13d-1(d). | |||
| Item 9. | Notice of Dissolution of Group. Not Applicable | |||
| Item 10. | Certification. 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. | |||
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. |
|
AXA FINANCIAL, INC.*
| |
|
By: /s/
Anthony Bruccoleri
| |
|
Date:
December 31, 2017
| |
|
Name:
Anthony Bruccoleri
| |
|
Title:
Lead Director
|
| *Pursuant to the Joint Filing Agreement with respect to Schedule 13G attached hereto as Exhibit I, among AXA Financial, Inc., AXA Assurances I.A.R.D Mutuelle, AXA Assurances Vie Mutuelle, and AXA, this statement Schedule 13G is filed on behalf of each of them. |