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Heartland Advisors Inc – ‘SC 13G/A’ on 3/9/20 re: CUI Global, Inc.

On:  Monday, 3/9/20, at 11:17am ET   ·   Accession #:  892712-20-117   ·   File #:  5-79902

Previous ‘SC 13G’:  ‘SC 13G’ on 1/28/20   ·   Next:  ‘SC 13G/A’ on 2/2/21   ·   Latest:  ‘SC 13G/A’ on 2/2/23

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/09/20  Heartland Advisors Inc            SC 13G/A               1:67K  CUI Global, Inc.                  Godfrey & Kahn SC/FA

Amendment to Statement of Acquisition of Beneficial Ownership by a Passive Investor   —   Sch. 13G
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13G/A    Amendment No. 6 to Schedule 13G                     HTML     41K 


This is an HTML Document rendered as filed.  [ Alternative Formats ]



 C: 
  SCHEDULE 13G  

UNITED STATES 
SECURITIES AND EXCHANGE COMMISSION 
Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No. 6)*

 

CUI GLOBAL, INC.

(Name of Issuer)


Common Stock

(Title of Class of Securities)

 

126576206

(CUSIP Number)

 

February 28, 2020

(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 (“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.: 126576206

 

1

NAMES OF REPORTING PERSONS

 

HEARTLAND ADVISORS, INC.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  [   ]

(b)  [   ]

3

SEC USE ONLY

4

CITIZENSHIP OR PLACE OF ORGANIZATION

 

WISCONSIN, U.S.A.

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH 
REPORTING
PERSON WITH

5

SOLE VOTING POWER
0

6

SHARED VOTING POWER
1,435,000

7

SOLE DISPOSITIVE POWER
0

8

SHARED DISPOSITIVE POWER
1,435,000

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,435,000

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 
CERTAIN SHARES  [   ]

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.99%

12

TYPE OF REPORTING PERSON
IA

 

 




CUSIP No.: 126576206

 

1

NAMES OF REPORTING PERSONS

 

William J. Nasgovitz

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  [   ]

(b)  [   ]

3

SEC USE ONLY

4

CITIZENSHIP OR PLACE OF ORGANIZATION

 

U.S.A.

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH 
REPORTING
PERSON WITH

5

SOLE VOTING POWER
0

6

SHARED VOTING POWER
1,435,000

7

SOLE DISPOSITIVE POWER
0

8

SHARED DISPOSITIVE POWER
1,435,000

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,435,000

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 
CERTAIN SHARES  [   ]

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.99%

12

TYPE OF REPORTING PERSON
IN




Item 1.

 

(a)

Name of Issuer:

CUI Global, Inc.

 

 

(b)

Address of Issuer’s Principal Executive Offices:

20050 SW 112th Avenue

Tualatin, OR 97062

Item 2.

 

(a)

Name of Persons Filing:

(1)Heartland Advisors, Inc. 

(2)William J. Nasgovitz 

 

 

 

 

(b)

Address of Principal Business Office:

All reporting persons may be contacted at:

789 North Water Street

Milwaukee, WI 53202

 

 

(c)

Citizenship:

Heartland Advisors, Inc. is a Wisconsin corporation.  William J. Nasgovitz is a United States citizen.

 

 

(d)

Title of Class of Securities:

Common Stock

 

 

(e)

CUSIP Number:

126576206

 




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(n):

 

 

 

 

 

(a)

 

Broker or dealer registered under Section 15 of the Act;

 

 

 

 

 

(b)

 

Bank as defined in Section 3(a)(6) of the Act;

 

 

 

 

 

(c)

 

Insurance company as defined in Section 3(a)(19) of the Act;

 

 

 

 

 

(d)

 

Investment company registered under Section 8 of the Investment Company Act;

 

 

 

 

 

(e)

X

*Investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

 

 

 

 

 

(f)

 

Employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);

 

 

 

 

 

(g)

X

*Parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);

 

 

 

 

 

(h)

 

Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;

 

 

 

(i)

 

Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;

 

 

 

 

 

 

 

(j)

 

A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); or

 

 

 

 

 

(k)

 

Group, in accordance with § 240.13d-1(b)(1)(ii)(K).

 

 

 

*The persons filing this Schedule 13G are Heartland Advisors, Inc., an investment adviser registered with the SEC, and William J. Nasgovitz, Chairman and control person of Heartland Advisors, Inc. The reporting persons do not admit that they constitute a group.

 

 

 

Item 4.

Ownership

 

 

 

 

(a)

Amount beneficially owned:

 

 

 

 

 

1,435,000 shares may be deemed beneficially owned within the meaning of Rule 13d-3 of the Act by (1) Heartland Advisors, Inc. by virtue of its investment discretion and/or voting authority granted by certain clients; and (2) William J. Nasgovitz by virtue of his control of Heartland Advisors, Inc.

 

 

 

 

 

Mr. Nasgovitz disclaims beneficial ownership of any shares reported on the Schedule.

 

 

 

 

(b)

Percent of Class: 4.99%

 

 

 

 

(c)

For information on voting and dispositive power with respect to the above listed shares, see Items 5-9 on the Cover Pages.

 

 

 




Item 5.

Ownership of Five Percent or Less of a 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:   [ X ]

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.

 

 

 

By signing below, the undersigned certify that, to the best of their 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 their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

 

Date: March 9, 2020

 

 

WILLIAM J. NASGOVITZ

 

HEARTLAND ADVISORS, INC.

 

 

 

By:  /s/ Vinita K. Paul

 

By:   /s/ Vinita K. Paul

Vinita K. Paul

 

Vinita K. Paul

As Attorney in Fact for
William J. Nasgovitz

 

Vice President, General Counsel and Secretary

 

 

EXHIBIT INDEX

 

 

 

Exhibit

 

Description

 

 

 

1

 

Joint Filing Agreement (incorporated by reference to Exhibit 1 of the Reporting Persons’ Schedule 13G/A filed with the SEC on February 2, 2018)

 

 

 

2

 

Power of Attorney  (incorporated by reference to Exhibit 2 of the Reporting Persons’ Schedule 13G/A filed with the SEC on February 5, 2019)

 

 



Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 13G/A’ Filing    Date    Other Filings
Filed on:3/9/20
2/28/20
2/5/19SC 13G,  SC 13G/A
2/2/1813F-HR,  SC 13G,  SC 13G/A
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Filing Submission 0000892712-20-000117   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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