-----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, WPrrRzexvABc1JFfjp7gwwLRneZWZAfDzlT+j/t61ZVY6UqQYGZd2z0g/RsmeEKi CK+HikRqt251NYinI4dS1w== 0000948046-07-000207.txt : 20070703 0000948046-07-000207.hdr.sgml : 20070703 20070703115003 ACCESSION NUMBER: 0000948046-07-000207 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070703 DATE AS OF CHANGE: 20070703 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHWESTERN CORP CENTRAL INDEX KEY: 0000073088 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 460172280 STATE OF INCORPORATION: DE FISCAL YEAR END: 1206 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-36015 FILM NUMBER: 07958580 BUSINESS ADDRESS: STREET 1: 125 S DAKOTA AVENUE STREET 2: SUITE 1100 CITY: SIOUX STATE: SD ZIP: 57104 BUSINESS PHONE: 6059782908 MAIL ADDRESS: STREET 1: 125 S DAKOTA AVENUE STREET 2: SUITE 1100 CITY: SIOUX STATE: SD ZIP: 57104 FORMER COMPANY: FORMER CONFORMED NAME: NORTHWESTERN PUBLIC SERVICE CO DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DEUTSCHE BANK AG\ CENTRAL INDEX KEY: 0000948046 IRS NUMBER: 13294498 STATE OF INCORPORATION: I8 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: TAUNUSANLAGE 12 D-60325 CITY: FRANKFURT AM MAIN GE STATE: I8 MAIL ADDRESS: STREET 1: TAUNUSANLAGE 12 D-60325 CITY: FRANKFURT AM MAIN STATE: I8 SC 13D/A 1 northwestern13dterm.txt TERMINATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Northwestern Corporation - -------------------------------------------------------------------------------- (Name of Issuer) - -------------------------------------------------------------------------------- Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 668074305 - -------------------------------------------------------------------------------- (CUSIP Number) Jeffrey Ruiz Deutsche Bank AG c/o Deutsche Bank Securities Inc. 60 Wall Street New York, NY 10005 (212) 250-3667 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 26, 2007 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Section 240.13d-7 for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The Information required on 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). Cusip No. 668074305 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Deutsche Bank AG - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC (See Item 3) - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Deutsche Bank AG is organized under the laws of the Federal Republic of Germany. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 1,774,833 ---------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 1,774,833 ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,774,833 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.94% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON BK - -------------------------------------------------------------------------------- Item 1. Security and Issuer Pursuant to Rule 13d-2(a) of Regulation 13D-G of the General Rules and Regulations under the Securities Exchange Act of 1934, as amended (the "Act"), Deutsche Bank AG ("Deutsche Bank,") hereby amends the Statement on Schedule 13D filed by Deutsche Bank and Deutsche Bank Securities Inc. ("DBSI", together with Deutsche Bank, the "Reporting Persons" and each, a "Reporting Person") on June 22, 2007, relating to the shares of common stock, par value $0.01 per share (the "Shares"), of orthwestern Corporation (the "Issuer"). The Issuer has its principal executive offices at 125 South Dakota Avenue, Suite 1100, Sioux Fall, SD 57104. Item 5. Interest in Securities of the Issuer This Item 5 is hereby amended and supplemented as follows: (a) and (b) According to information filed by the Issuer with the Securities and Exchange Commission in its Form 10-Q for the quarter ending March 31, 2007, the number of Shares outstanding was 35,907,736. As of June 26, 2007, the reporting Person may have been deemed the beneficial owner of 1,774,833 Shares (approximately 4.94% of the total number of Shares outstanding). Deutsche Bank AG,~London Branch 1,488,633 Deutsche Bank AG,~London Branch (arbitrage) 286,200 (c) Transactions by the Reporting Persons in the Shares effected during the past sixty days are set forth in Schedule 1 to this Schedule 13D Termination filing, which is incorporated by reference herein. The transactions set forth in Schedule 1 to this Statement were effected on the New York Stock Exchange and/or the OTC market. (e) On June 26, 2007 Deutsche Bank Securities, Inc. sold 496,076 Shares reducing the total number of Shares for which it may be deemed the beneficial owner to 1,774,833 Shares, or approximately 4.94% of the total number of shares outstanding, and therefore the Reporting Person ceased to be the owner of greater than 5% of the total number of Shares outstanding on that date. Schedule 1 - 60 Day Trade History - -------------------------------------------------------------------------------- DATE BUY/SELL AMOUNT PRICE - -------------------------------------------------------------------------------- 04/27/07 S 89 35.17 - -------------------------------------------------------------------------------- 05/01/07 S 100 35.15 - -------------------------------------------------------------------------------- 05/01/07 B 9700 35.19 - -------------------------------------------------------------------------------- 05/02/07 B 19500 35.23 - -------------------------------------------------------------------------------- 05/03/07 B 35600 35.29 - -------------------------------------------------------------------------------- 05/08/07 B 24222 35.29 - -------------------------------------------------------------------------------- 05/08/07 S 25000 35.30 - -------------------------------------------------------------------------------- 05/09/07 B 778 35.48 - -------------------------------------------------------------------------------- 05/09/07 B 20100 35.25 - -------------------------------------------------------------------------------- 05/09/07 S 20100 35.25 - -------------------------------------------------------------------------------- 05/10/07 B 25006 35.18 - -------------------------------------------------------------------------------- 05/11/07 S 25006 35.18 - -------------------------------------------------------------------------------- 05/11/07 S 69328 35.12 - -------------------------------------------------------------------------------- 05/16/07 B 25000 35.30 - -------------------------------------------------------------------------------- 05/16/07 S 48444 35.30 - -------------------------------------------------------------------------------- 05/17/07 B 48444 35.30 - -------------------------------------------------------------------------------- 05/17/07 S 24222 35.30 - -------------------------------------------------------------------------------- 05/17/07 B 3 34.74 - -------------------------------------------------------------------------------- 05/22/07 B 68550 35.18 - -------------------------------------------------------------------------------- 05/23/07 S 8100 33.34 - -------------------------------------------------------------------------------- 05/24/07 S 16200 32.70 - -------------------------------------------------------------------------------- 05/25/07 S 12300 32.33 - -------------------------------------------------------------------------------- 06/01/07 B 4 32.96 - -------------------------------------------------------------------------------- 06/04/07 B 35500 32.80 - -------------------------------------------------------------------------------- 06/04/07 S 35500 32.80 - -------------------------------------------------------------------------------- 06/04/07 S 35500 32.80 - -------------------------------------------------------------------------------- 06/05/07 B 30000 32.42 - -------------------------------------------------------------------------------- 06/05/07 S 2 31.44 - -------------------------------------------------------------------------------- 06/06/07 S 35472 32.80 - -------------------------------------------------------------------------------- 06/06/07 B 35500 32.80 - -------------------------------------------------------------------------------- 06/06/07 B 60000 31.85 - -------------------------------------------------------------------------------- 06/07/07 B 200000 31.08 - -------------------------------------------------------------------------------- 06/07/07 S 200000 31.08 - -------------------------------------------------------------------------------- 06/07/07 B 658502 30.88 - -------------------------------------------------------------------------------- 06/07/07 B 120000 30.88 - -------------------------------------------------------------------------------- 06/07/07 S 1800 32.29 - -------------------------------------------------------------------------------- 06/07/07 S 200000 31.08 - -------------------------------------------------------------------------------- 06/08/07 B 67617 30.88 - -------------------------------------------------------------------------------- 06/08/07 S 67617 30.08 - -------------------------------------------------------------------------------- 06/11/07 B 100000 31.00 - -------------------------------------------------------------------------------- 06/11/07 S 100000 31.00 - -------------------------------------------------------------------------------- 06/11/07 S 80617 30.90 - -------------------------------------------------------------------------------- 06/12/07 S 13000 31.00 - -------------------------------------------------------------------------------- 06/13/07 B 15800 30.74 - -------------------------------------------------------------------------------- 06/13/07 S 16828 30.74 - -------------------------------------------------------------------------------- 06/13/07 S 100000 31.00 - -------------------------------------------------------------------------------- 06/14/07 B 67617 30.88 - -------------------------------------------------------------------------------- 06/14/07 S 15800 30.74 - -------------------------------------------------------------------------------- 06/14/07 S 84200 30.73 - -------------------------------------------------------------------------------- 06/15/07 S 4200 31.35 - -------------------------------------------------------------------------------- 06/15/07 S 67617 30.88 - -------------------------------------------------------------------------------- 06/15/07 S 67617 30.88 - -------------------------------------------------------------------------------- 06/15/07 B 263 31.22 - -------------------------------------------------------------------------------- 06/18/07 B 3252 31.22 - -------------------------------------------------------------------------------- 06/18/07 S 6 31.21 - -------------------------------------------------------------------------------- 06/19/07 B 7800 31.02 - -------------------------------------------------------------------------------- 06/19/07 S 7800 31.02 - -------------------------------------------------------------------------------- 06/19/07 S 100000 31.04 - -------------------------------------------------------------------------------- 06/19/07 B 3104 31.21 - -------------------------------------------------------------------------------- 06/19/07 S 134 31.21 - -------------------------------------------------------------------------------- 06/20/07 S 3900 30.96 - -------------------------------------------------------------------------------- 06/20/07 S 5 31.10 - -------------------------------------------------------------------------------- 06/21/07 B 67617 30.88 - -------------------------------------------------------------------------------- 06/21/07 S 9 30.86 - -------------------------------------------------------------------------------- 06/22/07 S 2100 30.50 - -------------------------------------------------------------------------------- 06/22/07 B 588 30.60 - -------------------------------------------------------------------------------- 06/22/07 B 10700 30.66 - -------------------------------------------------------------------------------- 06/25/07 B 102 32.20 - -------------------------------------------------------------------------------- 06/25/07 S 99 32.20 - -------------------------------------------------------------------------------- 06/25/07 B 7272 32.20 - -------------------------------------------------------------------------------- 06/25/07 S 3 32.20 - -------------------------------------------------------------------------------- 06/26/07 S 222221 32.02 - -------------------------------------------------------------------------------- 06/26/07 S 270000 31.72 - -------------------------------------------------------------------------------- 06/26/07 B 3100 32.20 - -------------------------------------------------------------------------------- 06/26/07 B 603 32.20 - -------------------------------------------------------------------------------- 06/26/07 S 10203 32.20 - -------------------------------------------------------------------------------- 06/26/07 S 7467 32.20 - -------------------------------------------------------------------------------- 06/26/07 B 1100 31.74 - -------------------------------------------------------------------------------- 06/27/07 B 79 31.73 - -------------------------------------------------------------------------------- 06/27/07 S 500 31.74 - -------------------------------------------------------------------------------- 06/27/07 B 1100 31.74 - -------------------------------------------------------------------------------- 06/27/07 B 500 31.74 - -------------------------------------------------------------------------------- 06/27/07 S 1100 31.74 - -------------------------------------------------------------------------------- 06/28/07 B 5908 31.95 - -------------------------------------------------------------------------------- 06/28/07 S 5908 31.95 - -------------------------------------------------------------------------------- 06/29/07 S 600 31.81 - -------------------------------------------------------------------------------- 06/29/07 B 140 31.81 - -------------------------------------------------------------------------------- 06/29/07 S 863 31.81 - -------------------------------------------------------------------------------- 06/29/07 B 4016 31.81 - -------------------------------------------------------------------------------- 06/29/07 S 444 31.95 - -------------------------------------------------------------------------------- EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the persons named below agrees to the joint filing of a Statement on Schedule 13D (including amendments thereto) with respect to the Common Stock, of Northwestern Corporation and further agrees that this Joint Filing Agreement be included as an exhibit to such filings provided that, as contemplated by Section 13d-1(k)(ii), no person shall be responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate. This Joint Filing Agreement may be executed in any number of counterparts, all of which together shall constitute one and the same instrument. Dated as of July 3, 2007 DEUTSCHE BANK AG By: /s/ Jeffrey A. Ruiz -------------------------- Name: Jeffrey A. Ruiz Title: Director DEUTSCHE BANK AG By: /s/ Cesar A. Coy -------------------------- Name: Cesar A. Coy Title: Assistant Vice President DEUTSCHE BANK SECURITIES INC. By: /s/ Margaret Adams -------------------------- Name: Margaret Adams Title: Director DEUTSCHE BANK SECURITIES INC. By: /s/ Jeffrey A. Ruiz -------------------------- Name: Jeffrey A. Ruiz Title: Director -----END PRIVACY-ENHANCED MESSAGE-----