UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Neuberger Berman Real Estate Securities Income Fund Inc.
|
| (Name of Issuer) |
Mandatory Redeemable Preferred Shares, Series A |
|
| (Title of Class of Securities) |
N/A |
|
| (CUSIP Number) |
|
| April 30, 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:
x Rule 13d-1(b)
o Rule 13d-1(c)
o 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. N/A | SCHEDULE 13G/A | Page 2 of 13 Pages |
| | | | | |
| 1 | NAME OF REPORTING PERSONS Guggenheim Capital, LLC |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) o | |
| 3 | SEC USE ONLY |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 0 |
| 6 | SHARED VOTING POWER 0 |
| 7 | SOLE DISPOSITIVE POWER 0 |
| 8 | SHARED DISPOSITIVE POWER 0 |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 |
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
| 12 | TYPE OF REPORTING PERSON (See Instructions) HC |
| CUSIP No. N/A | SCHEDULE 13G/A | Page 3 of 13 Pages |
| | | | | |
| 1 | NAME OF REPORTING PERSONS Guggenheim Partners, LLC |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) o | |
| 3 | SEC USE ONLY |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 0 |
| 6 | SHARED VOTING POWER 0 |
| 7 | SOLE DISPOSITIVE POWER 0 |
| 8 | SHARED DISPOSITIVE POWER 0 |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 |
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
| 12 | TYPE OF REPORTING PERSON (See Instructions) HC |
| CUSIP No. N/A | SCHEDULE 13G/A | Page 4 of 13 Pages |
| | | | | |
| 1 | NAME OF REPORTING PERSONS GI Holdco II, LLC |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) o | |
| 3 | SEC USE ONLY |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 0 |
| 6 | SHARED VOTING POWER 0 |
| 7 | SOLE DISPOSITIVE POWER 0 |
| 8 | SHARED DISPOSITIVE POWER 0 |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 |
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
| 12 | TYPE OF REPORTING PERSON (See Instructions) HC |
| CUSIP No. N/A | SCHEDULE 13G/A | Page 5 of 13 Pages |
| | | | | |
| 1 | NAME OF REPORTING PERSONS GI Holdco, LLC |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) o | |
| 3 | SEC USE ONLY |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 0 |
| 6 | SHARED VOTING POWER 0 |
| 7 | SOLE DISPOSITIVE POWER 0 |
| 8 | SHARED DISPOSITIVE POWER 0 |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 |
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
| 12 | TYPE OF REPORTING PERSON (See Instructions) HC |
| CUSIP No. N/A | SCHEDULE 13G/A | Page 6 of 13 Pages |
| | | | | |
| 1 | NAME OF REPORTING PERSONS Guggenheim Partners Investment Management Holdings, LLC |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) o | |
| 3 | SEC USE ONLY |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 0 |
| 6 | SHARED VOTING POWER 0 |
| 7 | SOLE DISPOSITIVE POWER 0 |
| 8 | SHARED DISPOSITIVE POWER 0 |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 |
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
| 12 | TYPE OF REPORTING PERSON (See Instructions) HC |
| CUSIP No. N/A | SCHEDULE 13G/A | Page 7 of 13 Pages |
| | | | | |
| 1 | NAME OF REPORTING PERSONS Guggenheim Partners Investment Management, LLC |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) o | |
| 3 | SEC USE ONLY |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 0 |
| 6 | SHARED VOTING POWER 0 |
| 7 | SOLE DISPOSITIVE POWER 0 |
| 8 | SHARED DISPOSITIVE POWER 0 |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 |
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
| 12 | TYPE OF REPORTING PERSON (See Instructions) IA |
| CUSIP No. N/A | SCHEDULE 13G/A | Page 8 of 13 Pages |
| Item 1. | | (a) Name of Issuer: |
Neuberger Berman Real Estate Securities Income Fund Inc.
| | (b) Address of Issuer’s Principal Executive Offices: |
1290 Avenue of the Americas, New York NY 10104
| Item 2. | | (a) Name of Person Filing: |
This Statement is filed by Guggenheim Capital, LLC, Guggenheim Partners, LLC, GI Holdco II, LLC, GI Holdco, LLC, Guggenheim Partners Investment Management Holdings, LLC, and Guggenheim Partners Investment Management, LLC (“GPIM”). This Statement relates to the shares of Mandatory Redeemable Preferred Shares, Series A (the “Shares”), of the Issuer that were directly held by Sun Life Insurance and Annuity Company of New York (“Sun Life”). GPIM, a registered investment adviser under Section 203 of the Investment Advisers Act of 1940, managed the Shares on behalf of Sun Life pursuant to an investment management agreement, dated August 2, 2013, in which Sun Life delegated to GPIM sole investment and voting authority over the Shares. As such, as of August 2, 2013, GPIM may have been deemed to directly beneficially own the Shares reported herein for purposes of §13(d) and 13(g) of the Securities Exchange Act of 1934, and each of Guggenheim Partners Investment Management Holdings, LLC, as the majority owner of GPIM, GI Holdco, LLC as the majority owner of Guggenheim Partners Investment Management Holdings, LLC, GI Holdco II, LLC as the sole owner of GI Holdco, LLC, Guggenheim Partners, LLC, as the sole owner of GI Holdco II, LLC and Guggenheim Capital, LLC as the majority owner of Guggenheim Partners, LLC may have been deemed to indirectly beneficially own the Shares reported herein for purposes of §13(d) and 13(g) of the Securities Exchange Act of 1934.
| | (b) Address of Principal Business Office, or, if none, Residence: |
Guggenheim Capital, LLC: 227 West Monroe Street, Chicago, IL 60606
Guggenheim Partners, LLC: 227 West Monroe Street, Chicago, IL 60606
GI Holdco II LLC: 330 Madison Avenue, New York, NY 10017
GI Holdco LLC: 330 Madison Avenue, New York, NY 10017
Guggenheim Partners Investment Management Holdings, LLC: 330 Madison Avenue, New York, NY 10017
Guggenheim Partners Investment Management, LLC: 100 Wilshire Boulevard, 5th Floor, Santa Monica, CA 90401
Guggenheim Capital, LLC is a Delaware limited liability company.
Guggenheim Partners, LLC is a Delaware limited liability company.
GI Holdco II LLC is a Delaware limited liability company.
GI Holdco LLC is a Delaware limited liability company.
Guggenheim Partners Investment Management Holdings, LLC is a Delaware limited liability company.
Guggenheim Partners Investment Management, LLC is a Delaware limited liability company.
| | | (d) Title of Class of Securities: |
Mandatory Redeemable Preferred Shares, Series A
N/A
| CUSIP No. N/A | SCHEDULE 13G/A | Page 9 of 13 Pages |
| |
|---|
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) | o | 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) | x | 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) | x | 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) | ¨ | A 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: |
| | | | |
| CUSIP No. N/A | SCHEDULE 13G/A | Page 10 of 13 Pages |
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:
As of April 30, 2017, Guggenheim Capital, LLC may be deemed the beneficial owner of -0- Shares, which amount includes -0- Shares beneficially owned directly by GPIM and indirectly by Guggenheim Partners Investment Management Holdings, LLC, GI Holdco LLC, GI Holdco II LLC and Guggenheim Partners, LLC.
(b) Percent of class:
0% of the Shares
(c) Number of shares as to which the person has:
Guggenheim Capital, LLC, Guggenheim Partners, LLC, GI Holdco II LLC, GI Holdco LLC, Guggenheim Partners Investment Management Holdings, LLC, and GPIM
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition of: 0
| CUSIP No. N/A | SCHEDULE 13G/A | Page 11 of 13 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 5 percent of the class of securities, check the followingx.
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 or Control Person
See disclosure in Item 2 hereof.
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 I certify that, to the best of my 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.
| CUSIP No. N/A | SCHEDULE 13G/A | Page 12 of 13 Pages |
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.
Dated: August 10, 2017
| | Guggenheim Capital, LLC |
| | By: Robert Saperstein |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
| | Guggenheim Partners, LLC |
| | By: Guggenheim Capital, LLC, parent company |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
| | GI Holdco II, LLC |
| | By: Guggenheim Capital, LLC, parent company |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
| | GI Holdco, LLC |
| | By: Guggenheim Capital, LLC, parent company |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
| | Guggenheim Partners Investment Management Holdings, LLC |
| | By: Guggenheim Capital, LLC, parent company |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
| | Guggenheim Partners Investment Management, LLC |
| | By: Guggenheim Capital, LLC, parent company |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
| CUSIP No. N/A | SCHEDULE 13G/A | Page 13 of 13 Pages |
JOINT FILING AGREEMENT
The undersigned hereby agree that the statement on Schedule 13G/A with respect to the Mandatory Redeemable Preferred Shares, Series A, of Neuberger Berman Real Estate Securities Income Fund Inc. dated as of April 30, 2017 is, and any amendments thereto (including amendments on Schedule 13D) signed by each of the undersigned shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended.
Dated: August 10, 2017
| | Guggenheim Capital, LLC |
| | By: Robert Saperstein |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
| | Guggenheim Partners, LLC |
| | By: Guggenheim Capital, LLC, parent company |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
| | GI Holdco II, LLC |
| | By: Guggenheim Capital, LLC, parent company |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
| | GI Holdco, LLC |
| | By: Guggenheim Capital, LLC, parent company |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
| | Guggenheim Partners Investment Management Holdings, LLC |
| | By: Guggenheim Capital, LLC, parent company |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
| | Guggenheim Partners Investment Management, LLC |
| | By: Guggenheim Capital, LLC, parent company |
| | | | |
| | By: | /s/ Robert Saperstein |
| | | Name: | Robert Saperstein |
| | | Title: | Authorized Signatory |
