Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
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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. )*
ZIX CORPORATION
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(Name of Issuer)
COM USD 0.01
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(Title of Class of Securities)
98974P100
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(CUSIP Number)
December 31, 2020
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(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)
*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 6
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CUSIP No. 98974P100 13G
-----------------------
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1. Name of Reporting Person
I.R.S. Identification No. of above Person
GO ETF SOLUTIONS LLP
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2. Check the Appropriate Box if a Member of a Group
(a) [X]
(b) [_]
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3. SEC Use Only
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4. Citizenship or Place of Organization
ONE COLEMAN STREET, LONDON, EC2R 5AA
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5. Sole Voting Power
Number of
0
Shares ----------------------------------------------------------
6. Shared Voting Power
Beneficially
3,880,303
Owned by
----------------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 3,880,303
Person ----------------------------------------------------------
8. Shared Dispositive Power
With:
0
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
3,880,303
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[_]
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11. Percent of Class Represented by Amount in Row (9)
6.8%
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12. Type of Reporting Person
FI (NON U.S INSTITUTION)
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Page 2 of 6
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CUSIP No. 98974P100 13G
-----------------------
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1. Name of Reporting Person
I.R.S. Identification No. of above Person
GO UCITS ETF SOLUTIONS PLC
------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(a) [X]
(b) [_]
------------------------------------------------------------------------------
3. SEC Use Only
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4. Citizenship or Place of Organization
2 GRAND CANAL SQUARE, DUBLIN 2, IRELAND
------------------------------------------------------------------------------
5. Sole Voting Power
Number of
0
Shares ----------------------------------------------------------
6. Shared Voting Power
Beneficially
3,880,303
Owned by
----------------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 0
Person ----------------------------------------------------------
8. Shared Dispositive Power
With:
0
------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
3,880,303
------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[_]
------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
6.8%
------------------------------------------------------------------------------
12. Type of Reporting Person
FI (NON U.S INSTITUTION)
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Page 3 of 6
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CUSIP No. 98974P100 13G
-----------------------
------------------------------------------------------------------------------
1. Name of Reporting Person
I.R.S. Identification No. of above Person
LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED
------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(a) [X]
(b) [_]
------------------------------------------------------------------------------
3. SEC Use Only
------------------------------------------------------------------------------
4. Citizenship or Place of Organization
ONE COLEMAN STREET, LONDON, EC2R 5AA, UK
------------------------------------------------------------------------------
5. Sole Voting Power
Number of
0
Shares ----------------------------------------------------------
6. Shared Voting Power
Beneficially
3,880,303
Owned by
----------------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 0
Person ----------------------------------------------------------
8. Shared Dispositive Power
With:
0
------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
3,880,303
------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[_]
------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
6.8%
------------------------------------------------------------------------------
12. Type of Reporting Person
FI (NON U.S INSTITUTION)
Page 4 of 6
Item 1(a). Name of Issuer:
ZIX CORPORATION
Item 1(b). Address of Issuer's Principal Executive Offices:
2711 N.HASKELL AVE. SUITE 2300
DALLAS, TX 75204-2960
Item 2(a).LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED IS A DISCRETIONARY
INVESTMENT MANAGER AUTHORISED AND REGULATED BY THE UK FINANCIAL
CONDUCT AUTHORITY.
GO UCITS ETF SOLUTIONS PLC (THE "COMPANY") IS ORGANISED AS AN
OPEN-ENDED INVESTMENT COMPANY WITH VARIABLE CAPITAL. THE COMPANY IS
STRUCTURED AS AN UMBRELLA FUND AND IS COMPRISED OF SEPARATE SUB-FUNDS
(EACH, A "FUND", COLLECTIVELY THE "FUNDS"). THE COMPANY HAS SEGREGATED
LIABILITY BETWEEN ITS FUNDS AND IS ORGANISED UNDER THE LAWS OF IRELAND
AS A PUBLIC LIMITED COMPANY PURSUANT TO THE COMPANIES ACT (2014)
(AS AMENDED)(THE "COMPANIES ACT"). GO ETF SOLUTIONS LLP HAS BEEN
APPOINTED AS THE INVESTMENT MANAGER FOR EACH OF THE FUNDS WITHIN
RESPONSIBILITY FOR THE MANAGEMENT OF THE INVESTMENT OF THE ASSETS OF THE
FUNDS. THE INVESTMENT MANAGER IS AUTHORISED AND REGULATED BY THE
UK FINANCIAL CONDUCT AUTHORITY.
Name of Persons Filing:
THIS STATEMENT IS FIELD BY:
(i) GO ETF SOLUTIONS LLP
(ii) GO UCITS ETF SOLUTIONS PLC
(iii) LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED
Item 2(b). Address of Principal Business Office or, if none, Residence:
THE ADDRESS OF PRINCIPAL BUSINESS OFFICE IS:
(i) ONE COLEMAN STREET, LONDON, EC2R 5AA
(ii) 2 GRAND CANAL SQUARE, DUBLIN 2, IRELAND
(iii) ONE COLEMAN STREET, LONDON, EC2R 5AA
Item 2(c). Citizenship:
(i) GO ETF SOLUTIONS LLP - UNITED KINGDOM
(ii) GO UCITS ETF SOLUTIONS PLC - IRELAND
(iii) LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED - UK
Item 2(d). Title of Class of Securities:
COM USD 0.01
Item 2(e). CUSIP Number:
98974P100
Item 3. If this statement is filed pursuant to Rules 13d-1(b) or
13d-2(b) or (c), check whether the person filing is a:
(a).[_] Broker or dealer registered under Section 15 of the Act
(b).[_] Bank as defined in Section 3(a)(6) of the Act
(c).[_] Insurance company as defined in Section 3(a)(19) of the Act
(d).[_] Investment company registered under Section 8 of the
Investment Company Act of 1940
(e).[_] An investment adviser in accordance with
Rule 13d-1(b)(1)(ii)(E);
(f).[_] An employee benefit plan or endowment fund in accordance
with Rule 13d-1(b)(1)(ii)(F);
(g).[_] A parent holding company or control person in accordance
with Rule 13d-1(b)(1)(ii)(G);
(h).[_] A savings association 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;
(j).[X] A non-U.S. institution in accordance with
Rule 13d-1(b)(1)(ii)(J);
(k).[_] A group, in accordance with Rule 13d-1(b)(1)(ii)
(A) through (K).
If filing as a non-U.S. institution in accordance with Rule
13d-1(b)(1)(ii)(J), please specify the type of institution:
Page 5 of 6
Item 4. Ownership.*
(a). Amount beneficially owned:
(i) GO ETF SOLUTIONS LLP - 3,880,303
(ii) GO UCITS ETF SOLUTIONS PLC - 3,880,303
(iii) LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED - 3,880,303
(b). Percent of Class:
(i) GO ETF SOLUTIONS LLP - 6.8%
(ii) GO UCITS ETF SOLUTIONS PLC - 6.8%
(iii) LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED - 6.8%
(c). Number of shares as to which such person has:
(i). Sole power to vote or to direct the vote: 0
(ii). Shared power to vote or to direct the vote:
GO ETF SOLUTIONS LLP - 3,880,303
GO UCITS ETF SOLUTIONS PLC - 3,880,303
LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED - 3,880,303
(iii). Sole power to dispose or to direct the disposition
of:
GO ETF SOLUTIONS LLP - 3,880,303
(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
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.
NOT APPLICABLE
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.
--------------------------
Page 6 of 6
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.
Date: February 10, 2021
LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED
By:/s/ MARY ANN COLLEDGE
----------------------------------------
Name: MARY ANN COLLEDGE
Title: HEAD OF CONDUCT ADVISORY