Amended Statement of Ownership (sc 13g/a)
10 Janvier 2022 - 10:26PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.
20549
SCHEDULE
13G
Under the
Securities Exchange Act of 1934
(Amendment
No. 5)*
Bancroft Fund Ltd
(Name of
Issuer)
Common Stock
(Title
of Class of Securities)
59695106
(CUSIP
Number)
December 31, 2021
(Date of
Event which Requires Filing of this Statement)
Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
☒ Rule 13d-1(b)
☐ Rule 13d-1(c)
☐ 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).
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CUSIP No. 59695106
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13G |
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Page 2 of 5 Pages |
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| 1. |
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NAME OF REPORTING
PERSONS.
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Advisors Asset
Management, Inc.
20-0532180
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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
Delaware, U.S.A.
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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
253,701
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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
253,701
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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
253,701
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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)
4.304%
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| 12. |
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TYPE OF REPORTING PERSON
(see instructions)
BD
IA
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CUSIP No. 59695106
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13G |
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Page 3 of 5 Pages |
Item 1.
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(a) |
Name of Issuer:
Bancroft Fund Ltd
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(b) |
Address of Issuer’s
Principal Executive Offices:
65 Madison Avenue, Suite 550
Morristown, NJ 07960
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Item 2.
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(a) |
Name of Person
Filing:
Advisors Asset Management, Inc.
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(b) |
Address of the Principal
Business Office:
18925 Base Camp Road, Monument,
Colorado 80132
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(c) |
Citizenship:
Delaware, U.S.A.
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(d) |
Title of Class of
Securities: Common Stock
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(e) |
CUSIP
Number: 59695106
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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) |
☒ |
Broker or dealer registered under section 15 of the
Act (15 U.S.C. 78o). |
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(b) |
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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) |
☐ |
Insurance company as defined in section 3(a)(19) of the Act (15
U.S.C. 78c). |
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(d) |
☐ |
Investment company registered under section 8 of the Investment
Company Act of 1940 (15 U.S.C. 80a-8). |
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(e) |
☒ |
An investment adviser in accordance with
§240.13d-1(b)(1)(ii)(E). |
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(f) |
☐ |
An employee benefit plan or endowment fund in accordance with
§240.13d-1(b)(1)(ii)(F). |
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(g) |
☐ |
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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A savings association 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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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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Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
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CUSIP No. 59695106
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13G |
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Page 4 of 5 Pages |
Item
4. Ownership:
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(a) |
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Amount beneficially
owned: 253,701 |
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(b) |
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Percent of
class: 4.304% |
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(c) |
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Number of shares as to which person
has: |
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(i) |
Sole power to vote or to direct the
vote: 253,701 |
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(ii) |
Shared power to vote or to direct the vote: 0 |
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(iii) |
Sole power to dispose or to direct the disposition
of: 253,701. |
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(iv) |
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 ☒ .
Item
6. Ownership of More than Five Percent on Behalf of
Another Person:
Advisors Asset Management, Inc. is sponsor of several unit
investment trusts which hold shares of common stock of the issuer.
No unit investment trust sponsored by Advisors Asset Management,
Inc. holds 5% or more of the issuer’s common stock. Advisors Asset
Management, Inc. disclaims beneficial ownership of such shares of
the issuer identified in this filing.
Item
7. Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on By the Parent Holding
Company:
See Item 6
Item
8. Identification and Classification of Members of the
Group:
N/A
Item 9. Notice
of Dissolution of Group:
N/A
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.
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CUSIP No. 59695106
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13G |
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Page 5 of 5 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.
Advisors Asset Management, Inc.
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/s/ Scott Colyer
Scott Colyer
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| Chief Executive Officer |
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT
CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
Bancroft (AMEX:BCV-A)
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