Amended Statement of Ownership (sc 13g/a)
07 5월 2020 - 5:01AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT
TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS
THERETO FILED
PURSUANT TO RULE 13d-2(b)
(AMENDMENT NO. 1)*
DBX ETF TR
(Name of Issuer)
XTRACKERS
MSCI
(Title of Class of Securities)
233051218
(CUSIP Number)
Stacey Gillespie
900 West Valley Road, Suite 900
Wayne, PA 19087
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
3/31/2020
(Date of Event which Requires Filing of this
Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
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*
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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.
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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).
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CUSIP No. 233051218
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13G
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Page
2 of 5 Pages
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1.
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NAMES
OF REPORTING PERSONS OR
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
PALLADIEM,
LLC
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2.
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CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see
instructions)
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(a) [
] (b) [ ]
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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
Wayne, PA
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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
25,419
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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
25,419
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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
25,419
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10.
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CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see
instructions) [ ]
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11.
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PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.65%
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12.
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TYPE
OF REPORTING PERSON (see instructions)
Investment Adviser
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CUSIP No. 233051218
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13G
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Page
3 of 5 Pages
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Item 1.
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(a)
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Name of Issuer
DBX ETF TR
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(b)
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Address of Issuer’s Principal Executive Offices
DBX ETF Trust
345 Park Avenue
New York, NY 10154
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Item 2.
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(a)
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Name of Person Filing
PALLADIEM, LLC
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(b)
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Address of the Principal Office or, if none, residence
900 WEST VALLEY ROAD, SUITE 900, WAYNE, PA 19087
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(c)
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Citizenship
UNITED STATES
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(d)
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Title of Class of Securities
XTRACKERS MSCI
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(e)
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CUSIP Number
233051218
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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:
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(a)
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[ ]
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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[ ]
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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[ ]
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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[ ]
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
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(e)
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[X]
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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[ ]
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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[ ]
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A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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[ ]
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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[ ]
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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);
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(j)
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[ ]
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Group, in accordance with §240.13d-1(b)(1)(ii)(J).
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CUSIP No. 233051218
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13G
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Page
4 of 5 Pages
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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.
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(a)
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Amount beneficially owned: 25,419
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(b)
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Percent of class: 5.65%
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(c)
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Number of shares as to which the person has: 25,419
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(i)
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Sole power to vote or to direct the vote: 25,419
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(ii)
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Shared power to vote or to direct the vote: 0
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(iii)
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Sole power to dispose or to direct the disposition of: 25,419
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(iv)
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Shared power to dispose or to direct the disposition of: 0
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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 [ ] .
Instruction. Dissolution of a group requires a response to this item.
Item 6. Ownership of More than Five Percent on Behalf of Another
Person.
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on By the Parent Holding Company.
Item 8. Identification and Classification of Members of the Group.
Item 9. Notice of Dissolution of Group.
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CUSIP No. 233051218
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13G
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Page
5 of 5 Pages
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Item 10. Certification.
By signing below I certify
that, to the best of my knowledge and belief, the securities referred to above 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.
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Name of Registrant
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By:
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/s/ Stacey Gillespie
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Name:
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Stacey Gillespie
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Title:
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Chief Compliance Officer
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Date:
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5/5/2020
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