We are seeing a lot of 13G filing activity at the moment and one of the more interesting filings is this one submitted to the SEC by Nuance Investments, LLC. This filing details the investor’s latest position in American Science & Engineering, Inc. (NASDAQ:ASEI), including the amount of shares owned at 155,346. That share ownership figure is down by over 588,000 shares since the end of 2015. Given the investor’s once-prominent position in the stock, we recommend paying close attention to the details in the following filing if you’re considering how to trade the company’s stock right now.
You can access the original SEC filing by clicking here.
Page 1 of 2 SEC Filing
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.
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 Instructions).
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Page 2 of 2 SEC Filing
| ITEM 1(a). | NAME OF ISSUER: | |
ITEM 1(b).ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES:
829 MIDDLESEX TURNPIKE
BILLERICA, MA 01821
ITEM 2(a).NAME OF PERSON FILING:
ITEM 2(b).ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
SUITE 220
KANSAS CITY, MO 64112
ITEM 2(c).CITIZENSHIP:
SUITE 220
KANSAS CITY, MO 64112
ITEM 2(d).TITLE OF CLASS OF SECURITIES:
ITEM 2(e).CUSIP NUMBER:
ITEM 3.IF THIS STATEMENT IS FILED PURSUANT TO SECTION 240.13d-1(b), or 13d-2(b) or (c) CHECK WHETHER THE PERSON FILING IS A:
[ ]
Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78c);
[ ]
Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);
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Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);
[ ]
Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);
[X]
An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E);
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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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A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G);
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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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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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A non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J);
[ ]
Group, in accordance with 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with 240.13d1(b)(1)(ii)(J), please specify the type of institution:
ITEM 4.OWNERSHIP(a) Amount beneficially owned:155,346(b) Percent of class:2.17%(c) Number of shares as to which the person has:(i) sole power to vote or to direct the vote:155,346(ii) shared power to vote or to direct the vote: (iii) sole power to dispose or direct the disposition of:155,346(iv) shared power to dispose or to direct the disposition of: ITEM 5.OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:
[X].
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:ITEM 10.CERTIFICATION:
