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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 1/09/20 Thrivent Financial for Lutherans SC 13G 1:36K BrandywineGLOBAL-Global Inco… Inc Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: SC 13G Brandywineglobal-Global Income Opportunities Fund HTML 23K
Inc
| BrandywineGLOBAL-Global Income Opportunities Fund Inc |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
BrandywineGLOBAL – Global Income Opportunities Fund
(Name of Issuer)
Mandatorily Redeemable Preferred Shares
(Title of Class of Securities)
(CUSIP Number)
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☒ 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).
| SCHEDULE 13G | Page 2 of 4 |
| (1) | Names of reporting persons
Thrivent Financial for Lutherans | |||||
| (2) | Check the appropriate box if a member of a group (see instructions) (a) ☐ (b) ☐
| |||||
| (3) | SEC use only
| |||||
| (4) | Citizenship or place of organization
Wisconsin | |||||
| Number of shares beneficially owned by each reporting person with: |
(5) | Sole voting power
700,000 | ||||
| (6) | Shared voting power
0 | |||||
| (7) | Sole dispositive power
700,000 | |||||
| (8) | Shared dispositive power
0 | |||||
| (9) |
Aggregate amount beneficially owned by each reporting person
700,000 | |||||
| (10) | Check if the aggregate amount in Row (9) excludes certain shares (see instructions)
| |||||
| (11) | Percent of class represented by amount in Row (9)
14.0% | |||||
| (12) | Type of reporting person (see instructions)
IC | |||||
| SCHEDULE 13G | Page 3 of 4 |
Item 1(a) Name of issuer: BrandywineGLOBAL – Global Income Opportunities Fund
Item 1(b) Address of issuer’s principal executive offices: c/o Legg Mason Inc. 620 Eighth Avenue, 49th New York, New York 10018
2(a) Name of person filing:
Thrivent Financial for Lutherans
2(b) Address or principal business office or, if none, residence:
625 Fourth Avenue South, Minneapolis, MN 55415
2(c) Citizenship:
Wisconsin
2(d) Title of class of securities:
Mandatorily Redeemable Preferred Shares
2(e) CUSIP No.:
| Item 3. | If this statement is filed pursuant to §§240.13d–1(b) or 240.13d–2(b) or (c), check whether the person filing is a: |
| (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 §240.13d–1(b)(1)(ii)(E); | |
| (f) ☐ | An employee benefit plan or endowment fund in accordance with §240.13d–1(b)(1)(ii)(F); | |
| (g) ☐ | A parent holding company or control person in accordance with §240.13d–1(b)(1)(ii)(G); | |
| (h) ☐ | A savings associations 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) ☐ | A non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J); | |
| (k) ☐ | Group, in accordance with §240.13d–1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J), please specify the type of institution: | |
| 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: 700,000 shares.
(b) Percent of class: 14.0%.
| SCHEDULE 13G | Page 4 of 4 |
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote: 700,000 shares.
(ii) Shared power to vote or to direct the vote: 0 shares.
(iii) Sole power to dispose or to direct the disposition of: 700,000 shares.
(iv) Shared power to dispose or to direct the disposition of: 0 shares.
| Item 5. | Ownership of 5 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 5 percent of the class of securities, check the following ☐. |
Dissolution of a group requires a response to this item.
| Item 6. | Ownership of More than 5 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 or Control Person. |
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. | Certifications |
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are 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 other than activities solely in connection with a nomination under §240.14a-11.
Signatures
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.
| Date: January 9, 2020 | Signature: | /s/ David S. Royal | ||||
| Name: | David S. Royal | |||||
| Title: | Chief Investment Office |
| This ‘SC 13G’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 1/9/20 | 3 | ||
| 12/30/19 | 3, N-CSR | |||
| List all Filings | ||||