-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NB7z65OARNMHZA8c8HZ3fIYRpBNiSgQuX7Y8+Sn2HZLnI/qHUJQDOFr75SC0uRu5 epQnAuopMj/Sd4oRx0nnJw== 0001047469-07-009668.txt : 20071203 0001047469-07-009668.hdr.sgml : 20071203 20071203154825 ACCESSION NUMBER: 0001047469-07-009668 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071203 DATE AS OF CHANGE: 20071203 EFFECTIVENESS DATE: 20071203 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALPS ADVISERS INC CENTRAL INDEX KEY: 0001376113 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-12230 FILM NUMBER: 071280643 BUSINESS ADDRESS: STREET 1: P.O. BOX 328 CITY: Denver STATE: CO ZIP: 80201-0328 BUSINESS PHONE: 303.623.2577 MAIL ADDRESS: STREET 1: P.O. BOX 328 CITY: Denver STATE: CO ZIP: 80201-0328 13F-HR/A 1 a2181446z13f-hra.txt 13F-HR/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2007 Check here if Amendment |X|; Amendment Number: 1 This Amendment (Check only one): |X| is a restatement. |_| adds new holdings entries. Institutional Investment Manager Filing this Report: Name: ALPS Advisers, Inc. Address: 1290 Broadway, Suite 1100 Denver, CO 80203 Form 13F File Number: 028-12230 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Bradley J. Swenson Title: Chief Compliance Officer Phone: 303-623-2577 Signature, Place, and Date of Signing: /s/ Bradley J. Swenson Denver, Colorado December 3, 2007 - --------------------------- ---------------- ---------------- [Signature] [City, State] [Date] Report Type (Check only one): |_| 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |_| 13F NOTICE. (Check here if no holdings reported are in this report and all holdings are reported by other reporting manager(s).) |X| 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: FORM 13F FILE NUMBER NAME - --------------------------- -------------------------------------------------- 28-01127 Chase Investment Counsel Corp. 28-05690 Matrix Asset Advisors, Inc. 28-04871 Blair William & Co. 28-06683 TCW Investment Management Co. 28-03579 Schneider Capital Management Corp. 28-04129 M.A. Weatherbie and Co., Inc. 28-03791 Pzena Investment Management FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 8 Form 13F Information Table Value Total: 2852 (thousands) List of Other Included Managers: No. Form 13F File Number Name NONE Form 13(F) Information Table
SHARES TITLE OF OR PRN INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP VALUE (X$1,000) AMOUNT DISCRETION MANAGERS SOLE SHARED NONE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 SH/PRN PUT/CALL COLUMN 6 COLUMN 7 COLUMN 8 iShares S&P 500 Index ETF 464287200 $1,075.00 6931 6931 iShares Lehamn Agg Bond ETF 464287226 $ 470.00 4673 4673 iShares Leham 1-3 YR TRS Bnd ETF 464287457 $ 359.00 4417 4417 iShares MSCI EAFE Index ETF 464287465 $ 426.00 4944 4944 Vanguard Emerging Market ETF ETF 922042858 $ 87.00 742 742 Vanguard REIT ETF ETF 922908553 $ 84.00 1164 1164 Vanguard Small Cap ETF 922908751 $ 185.00 2499 2499 iShares Lehman US TIPS ETF 464287176 $ 166.00 1613 1613 $2,852.00 26983
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