Amended Statement of Ownership (sc 13g/a)

Date : 11/08/2019 @ 7:39PM
Source : Edgar (US Regulatory)
Stock : Landec Corp (LNDC)
Quote : 10.91  -0.1 (-0.91%) @ 10:16PM
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Amended Statement of Ownership (sc 13g/a)

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(AMENDMENT NO. 5)*

Landec Corporation

(Name of Issuer)

Common

(Title of Class of Securities)

514766104

(CUSIP Number)

October 31, 2019

(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).

 

PAGE 1 OF 4 PAGES


  1  

NAME OF REPORTING PERSON

 

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

NWQ Investment Management Company, LLC            47-0875103

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ☐        (b)  ☐

 

N/A

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware - U.S.A.

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

     

SOLE VOTING POWER

 

2,263,081

   6   

SHARED VOTING POWER

 

0

   7   

SOLE DISPOSITIVE POWER

 

2,263,081

   8   

SHARED DISPOSITIVE POWER

 

0

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

2,263,081

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

N/A

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

7.763%

12  

TYPE OF REPORTING PERSON*

 

IA

 

PAGE 2 OF 4 PAGES


Item 1(a)    Name of Issuer:
  

Landec Corporation

Item 1(b)    Address of Issuer’s Principal Executive Offices:
  

5201 Great America Parkway

  

Suite 232

   Santa Clara, CA 95054
Item 2(a)    Name of Person Filing:
  

NWQ Investment Management Company, LLC

Item 2(b)    Address of the Principal Office or, if none, Residence:
  

2049 Century Park East, 16th Floor

  

Los Angeles, CA 90067

Item 2(c)    Citizenship:
  

Delaware – U.S.A.

Item 2(d)    Title of Class of Securities:
  

Common

Item 2(e)    CUSIP Number:
  

514766104

Item 3    If the Statement is being filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a:
   (e)   

☒    An investment advisor in accordance with section 240.13d-1(b)(1)(ii)(E)

Item 4    Ownership:
   (a)   

Amount Beneficially Owned:

     

2,263,081

  

(b)

   Percent of Class:
     

7.763%

   (c)   

Number of shares as to which such person has:

   (i)   

sole power to vote or direct the vote:

     

2,263,081

   (ii)   

shared power to vote or direct the vote:

     

0

   (iii)   

sole power to dispose or to direct the disposition of:

     

2,263,081

   (iv)   

shared power to dispose or to direct the disposition of:

     

0

Item 5    Ownership of Five Percent or Less of a Class:
  

Not applicable.

 

PAGE 3 OF 4 PAGES


Item 6       Ownership of More than Five Percent on Behalf of Another Person:
      Securities reported on this Schedule 13G are beneficially owned by clients which may include investment companies registered under the Investment Company Act and/or employee benefit plans, pension funds, endowment funds or other institutional clients.
Item 7       Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company:
      Not applicable.
Item 8       Identification and Classification of Members of the Group:
      Not applicable.
Item 9       Notice of Dissolution of a 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 such securities and were not acquired in connection with or as a participant in any transaction having such 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.

 

Dated: November 8, 2019      
    NWQ Investment Management Company, LLC
    By:  

/S/ Jon D. Bosse

      Jon D. Bosse
      Chief Investment Officer

 

PAGE 4 OF 4 PAGES

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