-----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, NW5t37pMsB5/qMsbkNeUVHbXegNU26ZXVsfMU1jYnmaJQAGm8B1CEEp2+RjRLn27 881ypmQm+1uUg/aui+Yy7w== 0000950123-06-014299.txt : 20061117 0000950123-06-014299.hdr.sgml : 20061117 20061117172244 ACCESSION NUMBER: 0000950123-06-014299 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20061117 DATE AS OF CHANGE: 20061117 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVO INC CENTRAL INDEX KEY: 0000801622 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-DIRECT MAIL ADVERTISING SERVICES [7331] IRS NUMBER: 060885252 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-37648 FILM NUMBER: 061227737 BUSINESS ADDRESS: STREET 1: ONE TARGETING CENTRE CITY: WINDSOR STATE: CT ZIP: 06095-2639 BUSINESS PHONE: 8602856100 MAIL ADDRESS: STREET 1: ONE TARGETING CENTRE CITY: WINDSOR STATE: CT ZIP: 06095-2639 FORMER COMPANY: FORMER CONFORMED NAME: ADVO SYSTEM INC DATE OF NAME CHANGE: 19920128 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 13D 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 13D 1 y27369sc13d.txt SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-1) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (AMENDMENT NO.__) Advo Inc. (NAME OF ISSUER) -------------------------------------------------- Common Stock (TITLE OF CLASS OF SECURITIES) -------------------------------------------------- 007585102 (CUSIP NUMBER) -------------------------------------------------- DAVID AUFHAUSER, ESQ. UBS AG 299 PARK AVENUE NEW YORK, NEW YORK 10171 212-821-3000 (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) -------------------------------------------------- November 8, 2006 (DATE OF EVENT THAT REQUIRES FILING OF THIS STATEMENT) -------------------------------------------------- IF THE FILING PERSON HAS PREVIOUSLY FILED A STATEMENT ON SCHEDULE 13G TO REPORT THE ACQUISITION THAT IS THE SUBJECT OF THIS SCHEDULE 13D, AND IS FILING THIS SCHEDULE BECAUSE OF RULE 13D-1(E), 13D-1(F) OR 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 RULE 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 THE 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). - -------------------------------------------------------------------------------- 1 1 NAMES AND I.R.S. IDENTIFICATION NOS. OF REPORTING PERSONS UBS AG (FOR THE BENEFIT AND ON BEHALF OF UBS INVESTMENT BANK, WEALTH MANAGEMENT USA, AND GLOBAL WEALTH MANAGEMENT AND BUSINESS BANKING BUSINESS GROUPS OF UBS AG) * See item 5 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP A / / B / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS BK.AF,WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) --- / x / - --- - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION SWITZERLAND - -------------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7. SOLE VOTING POWER : 1,770,095 8. SHARED VOTING POWER: 0 9. SOLE DISPOSITIVE POWER: 1,770,095 10. SHARED DISPOSITIVE POWER: 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,770,095 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES --- / / - --- - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.57% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON BK - -------------------------------------------------------------------------------- 2 ITEM 1. SECURITY AND ISSUER COMMON STOCK ADVO, Inc. One Targeting Centre Windsor, CT 06095 - -------------------------------------------------------------------------------- ITEM 2. IDENTITY AND BACKGROUND UBS AG PRINCIPAL BUSINESS: UBS AG IS A MAJOR INTERNATIONAL BANKING AND FINANCIAL FIRM. UBS AG'S PRINCIPAL BUSINESS OFFICE IS LOCATED AT: BAHNHOFSTRASSE 45 CH-8021, ZURICH, SWITZERLAND UBS AG, a Swiss banking corporation, is publicly owned, and its shares are listed on the Zurich, New York and Tokyo stock exchanges. Subsidiaries of UBS AG include UBS Securities LLC and UBS Financial Services Inc. Like most securities firms, UBS Securities LLC and UBS Financial Services Inc. are, and have been, defendant(s) in numerous legal actions brought by private plaintiffs relating to their securities businesses that allege various violations of federal and state securities laws. UBS Securities LLC and UBS Financial Services Inc. are wholly owned subsidiaries of UBS AG. UBS AG, a Swiss banking corporation, is publicly owned, and its shares are listed on the Zurich, New York and Tokyo stock exchanges. UBS AG files annual reports on Form 20-F with the SEC, and also files quarterly reports and certain other material information with the SEC under cover of Form 6-K. These reports are publicly available. These reports include material information about UBS Securities LLC matters, including information about any material litigation or administrative proceedings. Further, UBS AG, UBS Securities LLC and UBS Financial Services Inc., and other affiliated entities, like most large, full service investment banks and broker-dealers, receive inquiries and are sometimes involved in investigations by the Federal Reserve Bank, SEC, NYSE and various other regulatory organizations and government agencies. UBS AG and its affiliates and subsidiaries fully cooperate with the authorities in all such requests. UBS Securities LLC and UBS Financial Services Inc. regularly report to the National Association of Securities Dealers, Inc. on Form B-D and to the SEC on Schedule E to Form ADV investigations that result in orders. These reports are publicly available. - -------------------------------------------------------------------------------- ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The source of funds for the purchases of the Common Stock (as defined above in Item 1) was internal funds of UBS AG and the affiliates that purchased the subject securities and/or the available funds of clients if shares purchased on a discretionary basis for client accounts. - -------------------------------------------------------------------------------- ITEM 4. PURPOSE OF TRANSACTION THE SHARES OF COMMON STOCK WERE ACQUIRED FOR INVESTMENT AND PROPRIETARY TRADING PURPOSES AND NOT WITH THE PURPOSE OR EFFECT OF CHANGING OR INFLUENCING CONTROL OF THE ISSUER. UBS AG AND ITS AFFILIATES REVIEW THEIR RESPECTIVE HOLDINGS OF THE ISSUER ON AN ONGOING BASIS. DEPENDING ON SUCH EVALUATIONS, UBS AND ITS AFFILIATES MAY FROM TIME TO TIME IN THE FUTURE ACQUIRE ADDITIONAL SHARES IN CONNECTION WITH SUCH INVESTMENT AND RISK ARBITRAGE ACTIVITIES. EXCEPT AS OTHERWISE DESCRIBED HEREIN, NONE OF THE REPORTING PERSONS HAS ANY PLANS OR PROPOSALS RELATING TO OR WHICH WOULD RESULT IN ANY OF THE TRANSACTIONS DESCRIBED IN ITEMS 4(A) - (J) OF SCHEDULE 13D. - -------------------------------------------------------------------------------- ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (A)-(B) THIS FILING REFLECTS SHARES BENEFICIALLY OWNED BY UBS INVESTMENT BANK, WEALTH MANAGEMENT USA AND GLOBAL WEALTH MANAGEMENT AND BUSINESS BANKING BUSINESS GROUPS OF UBS AG (THE "BUSINESS GROUPS"), THROUGH THE FOLLOWING ENTITIES THROUGH THOSE BUSINESS GROUPS: UBS AG London Branch UBS Portfolio LLC UBS AG Frankfurt UBS Ltd UBS Warburg Private Clients Ltd UBS AG Tokyo branch UBS AG (Switzerland) UBS Warburg Securities (Pty) Ltd (South Africa) UBS International Ltd UBS Warburg Securities Ltd Banco UBS Warburg S.A UBS Warburg Corretora de Cambio e Valores Mobiliarios S.A. UBS Warburg Trading S.A. UBS Bunting Warburg Inc UBS Capital Americas Investments III, Ltd. UBS Capital II LLC UBS Capital LLC UBS AG Brazil UBS Limited UBS Capital Americas Investments II Ltd SBC Equity Partners AG UBS Capital Asia Pacific Ltd UBS Capital Holdings LLC UBS Capital Jersey Ltd UBS Capital BV UBS (USA) Inc UBS Warburg AG (Frankfurt) UBS Securities Australia Ltd UBS Securities (Japan) Ltd UBS Securities LLC UBS Securities New Zealand Limited UBS New Zealand Limited UBS AG Australia Branch UBS Capital Markets LP UBS Capital Latin America LDC UBS Securities France SA UBS AG Canada Branch UBS Cayman Ltd. PaineWebber Capital Inc Paine Webber International Inc UBS Fiduciary Trust Company UBS Financial Services Incorporated of Puerto Rico UBS Americas Inc UBS Financial Services Inc. SRM LP (c) -- As required, the following information below describes trading in the above mentioned class of securities that is considered reportable within the past sixty day. On September 15, 2006, the firm acquired 71,000 shares at an average price of $28.829 executed on the New York Stock Exchange. On September 18, 2006, the firm acquired 40,000 shares at an average price of $27.901 executed on the New York Stock Exchange. On September 20, 2006, the firm acquired 10,000 shares at an average price of $28.973 executed on the New York Stock Exchange. On September 21, 2006, the firm acquired 10,000 shares at an average price of $28.939 executed on the New York Stock Exchange. On September 22, 2006, the firm acquired 1,100 shares at an average price of $28.6 executed on the New York Stock Exchange. On September 28, 2006, the firm acquired 15,000 shares at an average price of $28.597 executed on the New York Stock Exchange. On September 29, 2006, the firm acquired 10,000 shares at an average price of $28.098 executed on the New York Stock Exchange. On October 3, 2006, the firm acquired 5,000 shares at an average price of $28 executed on the New York Stock Exchange. On October 4, 2006, the firm acquired 10,000 shares at an average price of $28.115 executed on the New York Stock Exchange. On October 9, 2006, the firm acquired 5,000 shares at an average price of $28.999 executed on the New York Stock Exchange. On October 10, 2006, the firm acquired 5,000 shares at an average price of $28.85 executed on the New York Stock Exchange. On October 11, 2006, the firm acquired 48,200 shares at an average price of $29.173 executed on the New York Stock Exchange. On October 12, 2006, the firm acquired 35,600 shares at an average price of $29.285 executed on the New York Stock Exchange. On October 13, 2006, the firm acquired 40,500 shares at an average price of $29.498 executed on the New York Stock Exchange. On October 17, 2006, the firm acquired 900 shares at an average price of $29.5 executed on the New York Stock Exchange. On October 18, 2006, the firm acquired 13,700 shares at an average price of $29.775 executed on the New York Stock Exchange. On October 19, 2006, the firm acquired 10,000 shares at an average price of $29.549 executed on the New York Stock Exchange. On October 20, 2006, the firm acquired 200 shares at an average price of $29.4 executed on the New York Stock Exchange. On October 24, 2006, the firm acquired 100 shares at an average price of $29.35 executed on the New York Stock Exchange. On October 26, 2006, the firm acquired 77,000 shares at an average price of $29.462 executed on the New York Stock Exchange. On October 27, 2006, the firm acquired 40,000 shares at an average price of $29.5 executed in the Third market. On October 30, 2006, the firm acquired 25,000 shares at an average price of $29.5 executed on the New York Stock Exchange. On October 31, 2006, the firm acquired 25,000 shares at an average price of $29.25 executed in the Third market. On November 1, 2006, the firm acquired 24,323 shares at an average price of $29 executed on the New York Stock Exchange. On November 2, 2006, the firm acquired 18,100 shares at an average price of $28.75 executed on the New York Stock Exchange. On November 3, 2006, the firm acquired 20,000 shares at an average price of $28.65 executed on the New York Stock Exchange. On November 6, 2006, the firm acquired 7,300 shares at an average price of $28.75 executed on the New York Stock Exchange. On November 8, 2006, the firm acquired 23,000 shares at an average price of $28.8 executed on the New York Stock Exchange. The Reporting Person has sole voting and dispositive power over all of the shares reported above. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER TO THE BEST KNOWLEDGE OF UBS AG, NO CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS (LEGAL OR OTHERWISE) EXIST UBS AG AND ANY OTHER PERSON WITH RESPECT TO THE SECURITIES OF THE ISSUER. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS NONE 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/ EDWARD BUSCEMI EDWARD BUSCEMI EXECUTIVE DIRECTOR BY: /S/ GORDON KIESLING GORDON KIESLING EXECUTIVE DIRECTOR DATE: NOVEMBER 16, 2006 -----END PRIVACY-ENHANCED MESSAGE-----