gug56195-nhs.htm
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OMB APPROVAL
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OMB Number:
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3235-0145
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Expires:
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December 31, 2005
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Estimated average burden
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hours per response. . . 11
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 5)*
Neuberger Berman High Yield Strategies Fund
(Name of Issuer)
Common Stock
(Title of Class of Securities)
December 31, 2012
(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)
¨ Rule 13d-1(c)
¨ Rule 13d-1(d)
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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 the disclosures provided in a prior cover page.
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The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of (S) 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. 64128C106
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1.
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Names of Reporting Persons.
Claymore Securities Defined Portfolios, Series 465, 509, 572, 613, 664 and 701
Guggenheim Defined Portfolios, Series 754, 761, 765, 781, 789, 793, 800, 812, 856, 887, 920, 921,
931, 953 and 963
I.R.S. Identification Nos. of above persons (entities only):
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
(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:
Claymore Securities Defined Portfolios, Series 465 — Lisle, IL
Claymore Securities Defined Portfolios, Series 509 — Lisle, IL
Claymore Securities Defined Portfolios, Series 572 — Lisle, IL
Claymore Securities Defined Portfolios, Series 613 — Lisle, IL
Claymore Securities Defined Portfolios, Series 664 — Lisle, IL
Claymore Securities Defined Portfolios, Series 701 — Lisle, IL
Guggenheim Defined Portfolios, Series 754 — Lisle, IL
Guggenheim Defined Portfolios, Series 761 — Lisle, IL
Guggenheim Defined Portfolios, Series 765 — Lisle, IL
Guggenheim Defined Portfolios, Series 781— Lisle, IL
Guggenheim Defined Portfolios, Series 789 — Lisle, IL
Guggenheim Defined Portfolios, Series 793 — Lisle, IL
Guggenheim Defined Portfolios, Series 800 — Lisle, IL
Guggenheim Defined Portfolios, Series 812 — Lisle, IL
Guggenheim Defined Portfolios, Series 856 — Lisle, IL
Guggenheim Defined Portfolios, Series 887 — Lisle, IL
Guggenheim Defined Portfolios, Series 920 — Lisle, IL
Guggenheim Defined Portfolios, Series 921 — Lisle, IL
Guggenheim Defined Portfolios, Series 931 — Lisle, IL
Guggenheim Defined Portfolios, Series 953 — Lisle, IL
Guggenheim Defined Portfolios, Series 963 — Lisle, IL
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Number of
Shares
Beneficially by
Owned by
Each
Reporting
Person
With:
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5. Sole Voting Power
634,951
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6. Shared Voting Power
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7. Sole Dispositive Power
634,951
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8. Shared Dispositive Power
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
634,951
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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)
3.25%
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12.
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Type of Reporting Person (See Instructions)
IV
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Item 1.
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(a) Name of Issuer
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Neuberger Berman Management, Inc.
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(b) Address of Issuer’s Principal Executive Offices
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605 Third Avenue, 2nd Floor
New York, NY 10158-0180
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Item 2.
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(a) Name of Person Filing
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Guggenheim Funds Distributors LLC as Sponsor for the Filing Entities
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(b) Address of Principal Business Office or, if none, Residence
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2455 Corporate West Drive
Lisle, IL 60532
USA
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(d) Title of Class of Securities
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Common Stock
64128C106
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Item 3.
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If this statement is filed pursuant to (S) (S) 240.13d-1 (b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a) xBroker 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) ¨An investment adviser in accordance with SECTION240.13d-l(b)(l}(ii)(E);
(f) ¨An employee benefit plan or endowment fund in accordance with SECTION240.13d-l(b)(l}(ii)(F);
(g) ¨A parent holding company or control person in accordance with SECTION240.13d-l(b)(l)(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 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) ¨Group, in accordance with SECTION240.13d-l(b)(l)(ii)(J).
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: 634,951
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(b)
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Percent of class: 3.25%
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote 634,951
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(ii)
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Shared power to vote or to direct the vote .
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(iii)
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Sole power to dispose or to direct the disposition of 634,951
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(iv)
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Shared power to dispose or to direct the disposition of .
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Instruction. For computations regarding securities which represent a right to acquire an underlying security see Section N240.13d-3(d)(l).
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 x.
Instruction: Dissolution of a group requires a response to this item.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
If a parent holding company has filed this schedule, pursuant to Rule 13d-l(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-l(c) or Rule 13d-l(d), attach an exhibit stating the identification of the relevant subsidiary.
Item 8. Identification and Classification of Members of the Group
If a group has filed this schedule pursuant to SECTION240.13d-l(b)(l)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to SECTION240.13d-l(c) or SECTION240.13d-I(d), attach an exhibit stating the identity of each member of the group.
Item 9. Notice of Dissolution of Group
Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.
Item 10. Certification
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(a)
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The following certification shall be included if the statement is filed pursuant to SECTION240.13d-1 (b):
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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.
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(b)
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The following certification shall be included if the statement is filed pursuant to SECTIONS240.13d-l(c):
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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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February 14, 2013
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Date
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/s/ Donald C. Cacciapaglia
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Signature
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Donald C. Cacciapaglia
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Chief Executive Officer
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Guggenheim Funds Distributors LLC
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Name/Title
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The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See SECTIONS240.13d-7 for other parties for whom copies are to be sent.
Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)