-----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, QR78MPBWRUfsDDFx4KsCAFQWmhhTWSDbjQAWZyDqSV0G+opV2CL2b4NLJws+noRQ Zo8JpcKGKxfCJJHTjW3BSg== 0000950123-05-005997.txt : 20050510 0000950123-05-005997.hdr.sgml : 20050510 20050510121142 ACCESSION NUMBER: 0000950123-05-005997 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050510 DATE AS OF CHANGE: 20050510 GROUP MEMBERS: UBS AMERICAS INC. GROUP MEMBERS: UBS FINANCIAL SERVICES INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GeoPharma, Inc. CENTRAL INDEX KEY: 0001098315 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 592600232 STATE OF INCORPORATION: FL FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78678 FILM NUMBER: 05814861 BUSINESS ADDRESS: STREET 1: 6950 BRYAN DAIRY RD CITY: LARGO STATE: FL ZIP: 33777 BUSINESS PHONE: 7275448866 MAIL ADDRESS: STREET 1: 6950 BRYAN DAIRY RD CITY: LARGO STATE: FL ZIP: 33777 FORMER COMPANY: FORMER CONFORMED NAME: Geopharma, Inc. DATE OF NAME CHANGE: 20040707 FORMER COMPANY: FORMER CONFORMED NAME: INNOVATIVE COMPANIES INC DATE OF NAME CHANGE: 20030703 FORMER COMPANY: FORMER CONFORMED NAME: INNOVATIVE COS INC DATE OF NAME CHANGE: 20030627 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: UBS AG CENTRAL INDEX KEY: 0001114446 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: BAHNHOFSTRASSE 45 STREET 2: P O BOX CH 8098 CITY: ZURICH STATE: V8 ZIP: - BUSINESS PHONE: 41-1-234-4100 MAIL ADDRESS: STREET 1: BAHNHOFSTRASSE 45 STREET 2: P O BOX CH 8098 CITY: ZURICH STATE: V8 ZIP: - SC 13G/A 1 y08891sc13gza.txt AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Information to be included in Statements filed pursuant to Rules 13d-1(b), (c) and (d) and amendments thereto filed pursuant to Rule 13d-2(b) (Amendment No. 1) Geopharma Inc. ----------------------------------------------------------- (Name of Issuer) Common Stock ----------------------------------------------------------- (Title of Class of Securities) 45771Y107 ----------------------------------------------------------- (CUSIP Number) April 6, 2005 ----------------------------------------------------------- (Date of Event That 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) 1. Names of Reporting Persons and I.R.S. Identification No. UBS Financial Services Inc. - ----------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group a / / b / / - ----------------------------------------------------------- 3. SEC USE ONLY - ----------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - ----------------------------------------------------------- Number of 5. Sole Voting Power 0 Shares Bene- 6. Shared Voting Power 1,251,050 ficially 7. Sole Dispositive Power 0 Owned by Each 8. Shared Dispositive Power 1,251,050 Reporting Person With: - ----------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 1,251,050 shares - ----------------------------------------------------------- 10. Check if the Aggregate Amount in Row 9 Excludes Certain Shares / / - ----------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 14.43% - ----------------------------------------------------------- 12. Type of Reporting Person BD - ----------------------------------------------------------- 1. Names of Reporting Persons and I.R.S. Identification No. UBS Americas Inc. - ----------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group a / / b / / - ----------------------------------------------------------- 3. SEC USE ONLY - ----------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - ----------------------------------------------------------- Number of 5. Sole Voting Power 0 Shares Bene- 6. Shared Voting Power 1,251,050 ficially 7. Sole Dispositive Power 0 Owned by Each 8. Shared Dispositive Power 1,251,050 Reporting Person With: - ----------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 1,251,050 shares* - ----------------------------------------------------------- 10. Check if the Aggregate Amount in Row 9 Excludes Certain Shares / / - ----------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 14.43% - ----------------------------------------------------------- 12. Type of Reporting Person OO - ----------------------------------------------------------- * UBS Americas Inc. disclaims beneficial ownership of these shares. 1. Names of Reporting Persons and I.R.S. Identification No. UBS AG - ----------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group a / / b / / - ----------------------------------------------------------- 3. SEC USE ONLY - ----------------------------------------------------------- 4. Citizenship or Place of Organization Switzerland - ----------------------------------------------------------- Number of 5. Sole Voting Power 0 Shares Bene- 6. Shared Voting Power 1,251,050 ficially 7. Sole Dispositive Power 0 Owned by Each 8. Shared Dispositive Power 1,251,050 Reporting Person With: - ----------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 1,251,050 shares** - ----------------------------------------------------------- 10. Check if the Aggregate Amount in Row 9 Excludes Certain Shares / / - ----------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 14.43% - ----------------------------------------------------------- 12. Type of Reporting Person BK - ----------------------------------------------------------- ** UBS AG disclaims beneficial ownership of these shares. Item 1(a) Name of Issuer Geopharma Inc. - ----------------------------------------------------------- Item 1(b) Address of Issuer's Principal Executive Offices: 6950 Bryan Dairy Road Largo, FLA 33777 - ----------------------------------------------------------- Item 2(a) Name of Person Filing: UBS Financial Services Inc. UBS Americas Inc. UBS AG - ----------------------------------------------------------- Item 2(b) Address of Principal Business Office: UBS Financial Services Inc.'s principal business office is: 1285 Avenue of the Americas New York, NY 10019 UBS Americas Inc.'s principal business office is: 677 Washington Blvd. Stamford, CT 06901 UBS AG's principal business office is: Bahnhofstrasse 45 PO Box CH-8021 Zurich, Switzerland - ----------------------------------------------------------- Item 2(c) Citizenship Item 4 of the cover pages are incorporated by reference - ----------------------------------------------------------- Item 2(d) Title of Class of Securities Common Stock - ----------------------------------------------------------- Item 2(e) CUSIP Number: 45771Y107 - ----------------------------------------------------------- Item 3. Type of Person Filing: UBS AG is classified as a Bank as defined in section 3(a)(6) of the Act pursuant to no action relief granted by the staff of the Securities and Exchange Commission. - ----------------------------------------------------------- Item 4 (a)-(c)(iv). Ownership: Items 5-11 of the cover pages are incorporated by reference. - ----------------------------------------------------------- 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: Not applicable - ----------------------------------------------------------- Item 7. Identification and Classification of the Subsidiary That Acquired the Security Being Reported on By the Parent Holding Company: Identification: UBS Financial Services Inc. Classification: BD - ----------------------------------------------------------- Item 8. Identification and Classification of Members of the Group: UBS Financial Services Inc. is a wholly owned subsidiary of UBS Americas Inc., which is a wholly owned subsidiary of UBS AG. UBS AG and UBS Americas Inc. are reporting indirect beneficial ownership of holdings by reason of their ownership of UBS Financial Services Inc. and other wholly owned subsidiaries. UBS AG does not hereby affirm the existence of a group within the meaning of Rule 13d-5(b)(1). - ----------------------------------------------------------- Item 9 Notice of Dissolution of Group: Not Applicable - ----------------------------------------------------------- Item 10. Certification: By signing below, the undersigned certify that, to the best of their 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. SIGNATURES After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. UBS AG By: /s/ Teresa Ressel Teresa Ressel Managing Director By: /s/ Per Dyrvik Per Dyrvik Managing Director UBS Americas Inc. By: /s/ Teresa Ressel Teresa Ressel Managing Director By: /s/ Per Dyrvik Per Dyrvik Managing Director UBS Financial Services Inc. By: /s/ Amy Fainsbert Amy Fainsbert Senior Vice President By: /s/ Charles Wilmot Charles Wilmot Senior Vice President Date: May 10, 2005 AGREEMENT TO MAKE A JOINT FILING UBS AG and UBS Americas Inc. each agrees that this Schedule 13G (including all amendments hereto) is filed by and on behalf of each such party. UBS AG By: /s/ Teresa Ressel Teresa Ressel Managing Director By: /s/ Per Dyrvik Per Dyrvik Managing Director UBS Americas Inc. By: /s/ Teresa Ressel Teresa Ressel Managing Director By: /s/ Per Dyrvik Per Dyrvik Managing Director UBS Financial Services Inc. By: /s/ Amy Fainsbert Amy Fainsbert Senior Vice President By: /s/ Charles Wilmot Charles Wilmot Senior Vice President Date: May 10, 2005 -----END PRIVACY-ENHANCED MESSAGE-----