Amended Statement of Ownership (sc 13g/a)
11 Septiembre 2017 - 11:21AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Amendment #3
Under the Securities and Exchange Act of 1934
UCP, Inc. -
CL A
(Name of Issuer)
Common Stock
(Title of
Class of Securities)
90265Y106
(CUSIP Number)
August 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:
This Schedule is filed pursuant to Rule
13d-2(c)
The information required in the remainder of this cover page (except any items to which the form
provides a cross-reference) 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.
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1)
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Name of
Reporting Person
Ameriprise Financial, Inc.
S.S. or I.R.S. Identification No. of Above Person
IRS No.
13-3180631
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2)
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Check the Appropriate Box if a Member
of a Group
(a) ☐ (b) ☒*
* This filing describes the reporting
person’s relationship with other persons, but the reporting person does not affirm the existence of a group.
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3)
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SEC Use Only
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4)
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Citizenship or Place of
Organization
Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5)
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Sole Voting Power
0
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6)
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Shared Voting Power
0
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7)
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Sole Dispositive Power
0
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8)
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Shared Dispositive Power
0
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9)
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Aggregate Amount Beneficially Owned by Each Reporting Person
0
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10)
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares
Not Applicable
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11)
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Percent of Class Represented by Amount
In Row (9)
0
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12)
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Type of Reporting Person
HC
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1)
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Name of
Reporting Person
Columbia Management Investment Advisers, LLC
S.S. or I.R.S. Identification No. of Above Person
IRS No.
41-1533211
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2)
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Check the Appropriate Box if a Member
of a Group
(a) ☐ (b) ☒*
* This filing describes the reporting
person’s relationship with other persons, but the reporting person does not affirm the existence of a group.
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3)
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SEC Use Only
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4)
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Citizenship or Place of
Organization
Minnesota
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5)
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Sole Voting Power
0
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6)
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Shared Voting Power
0
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7)
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Sole Dispositive Power
0
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8)
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Shared Dispositive Power
0
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9)
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Aggregate Amount Beneficially Owned by Each Reporting Person
0
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10)
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares
Not Applicable
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11)
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Percent of Class Represented by Amount
In Row (9)
0
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12)
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Type of Reporting Person
IA
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1(a) Name of Issuer:
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UCP, Inc. - CL A
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1(b) Address of Issuer’s Principal Executive Offices:
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99 Almaden Boulevard, Suite 400
San Jose, CA 95113
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2(a) Name of Person Filing:
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(a) Ameriprise Financial, Inc. (“AFI”)
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(b) Columbia Management Investment
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Advisers, LLC (“CMIA”)
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2(b) Address of Principal Business Office:
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(a) Ameriprise Financial, Inc.
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145 Ameriprise Financial Center
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Minneapolis, MN 55474
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(b) 225 Franklin St.
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Boston, MA 02110
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2(c) Citizenship:
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(a) Delaware
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(b) Minnesota
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2(d) Title of Class of Securities:
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Common Stock
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2(e) Cusip Number:
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90265Y106
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Information if statement is filed pursuant to Rules
13d-1(b)
or
13d-2(b):
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(a) Ameriprise Financial, Inc.
A
parent holding company in accordance with Rule
13d-1(b)(1)(ii)(G).
(Note: See Item 7)
(b) Columbia
Management Investment Advisers, LLC
An investment adviser in accordance with Rule
13d-1(b)(1)(ii)(E).
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4
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Incorporated by reference to Items (5)-(9) and (11) of the cover page pertaining to each reporting person.
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AFI, as the parent company of CMIA, may be deemed to beneficially own the shares reported herein by CMIA. Accordingly, the shares reported
herein by AFI include those shares separately reported herein by CMIA.
Each of AFI and CMIA disclaims beneficial ownership of any shares
reported on this Schedule.
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5
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Ownership of 5% or Less of a Class:
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If this statement is being filed to report the fact 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 ☒.
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6
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Ownership of more than 5% on Behalf of Another Person: Not Applicable
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7
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company:
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AFI: See Exhibit I
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8
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Identification and Classification of Members of the Group:
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Not Applicable
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9
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Notice of Dissolution of Group:
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Not Applicable
By signing below I certify that, to the best of my knowledge and belief, the
securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in
connection with or as a participant in any transaction having such purposes 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.
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Dated: September 11, 2017
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Ameriprise Financial, Inc.
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By:
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Amy K. Johnson
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Name: Amy K. Johnson
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Title: Senior Vice President and Chief Operating Officer-Asset Management
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Columbia Management Investment
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Advisers, LLC
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By:
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Amy K. Johnson
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Name: Amy K. Johnson
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Title: Managing Director and Global Head of Operations
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Contact Information
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Mark D. Braley
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Vice President
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Head of Reporting and Data Management |
Global Operations and Investor Services
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Telephone: (617)
747-0663
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Exhibit Index
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Exhibit I
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Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company.
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Exhibit II
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Joint Filing Agreement
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