-----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, Jg++4s0dCEXMwBHJAZ1Qb6eljkFfDo08tjn8fUT2TITK56GSv0bME45Ktf+fsUeR XYqsrU4Yxi4vO5ZzeZw1Bw== 0000948046-06-000269.txt : 20061130 0000948046-06-000269.hdr.sgml : 20061130 20061129174110 ACCESSION NUMBER: 0000948046-06-000269 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20061130 DATE AS OF CHANGE: 20061129 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RAILAMERICA INC /DE CENTRAL INDEX KEY: 0000887637 STANDARD INDUSTRIAL CLASSIFICATION: RAILROADS, LINE-HAUL OPERATING [4011] IRS NUMBER: 650328006 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46135 FILM NUMBER: 061246332 BUSINESS ADDRESS: STREET 1: 5300 BROKEN SOUND BLVD NW CITY: BOCA RATON STATE: FL ZIP: 33487 BUSINESS PHONE: 5619946015 MAIL ADDRESS: STREET 1: 5300 BROKEN SOUND BLVD NW CITY: BOCA RATON STATE: FL ZIP: 33487 FORMER COMPANY: FORMER CONFORMED NAME: RAILAMERICA INC DATE OF NAME CHANGE: 19920724 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 railam13da1.txt 13D AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.1)* RailAmerica Inc. - -------------------------------------------------------------------------------- (Name of Issuer) - -------------------------------------------------------------------------------- Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 750753105 - -------------------------------------------------------------------------------- (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) November 27, 2006 (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. 750753105 - ------=====--------------------------------------------------------------------- 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 2,404,031 ---------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 109 OWNED BY ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 2,404,031 ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 109 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,404,140 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.12% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON BK - -------------------------------------------------------------------------------- Cusip No. 750753105 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Deutsche Bank Securities Inc. - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ---------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 109 OWNED BY ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 0 ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 109 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 109 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON BD - -------------------------------------------------------------------------------- Item 1. Security and Issuer This Amendment No. 1 amends the statement on Schedule 13D (the "Statement") originally filed on dateYear2006Day27Month11November 27, 2006 relating to shares of common stock, par value $0.01 per share (the "Shares"), of RailAmerica Inc. (the "Issuer") by Deutsche Bank Securities Inc. ("DBSI") and Deutsche Bank AG ("Deutsche Bank", together with DBSI, the "Reporting Persons" and each, a "Reporting Person"). The Issuer has its principal executive offices at 5300 Broken Sound Blvd NW, Boca Raton, Florida 33487. Item 4. Purpose of Transaction This Item 4 is hereby amended and supplemented as follows: (a) Between November 16, 2006 and November 27, 2006, Deutsche Bank sold 1,409,545 Shares in open market transactions, reducing the aggregate number of Shares that may be deemed beneficially owned by the Reporting Persons to 2,404,140. Item 5. Interest in Securities of the Issuer T his 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 ended September 30, 2006, the number of Shares outstanding was 39,289,450 as of November 6, 2006. The Reporting Person may be deemed the beneficial owner of 2,404,140 Shares (approximately 6.12% of the total number of Shares outstanding). Deutsche Bank AG, London Branch 2 300,674 Deutsche Bank AG, London Branch (arbitrage) 103,357 Deutsche Bank Securities Inc. 109 (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, which is incorporated by reference herein. The transactions set forth in Schedule 2 to this Statement were effected on the New York Stock Exchange and/or the OTC market. Item 7. Material to be Filed as Exhibits - ------------------------------------------------------------------------------- Exhibit No. Description - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 Joint Filing Agreement, dated November 27, 2006, between Deutsche Bank AG and Deutsche Bank Securities Inc. (incorporated by reference to Exhibit 1 to the Schedule 13D relating to the Shares filed by the Reporting Persons on November 27, 2006) - ------------------------- ------------------------------------------------------ SIGNATURES 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 as of November 29, 2006 DEUTSCHE BANK AG By: /s/ Jeffrey A. Ruiz -------------------------- Name: Jeffrey A. Ruiz Title: Vice President DEUTSCHE BANK AG By: /s/ Pasquale Antolino -------------------------- Name: Pasquale Antolino 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: Vice President Schedule 1 Executive Officers, Directors, Controlling Persons and Trustees of Deutsche Bank AG and each Person Ultimately in Control of Deutsche Bank AG Deutsche Bank AG is organized under the laws of the Federal Republic of Germany. The principal business of Deutsche Bank AG is the provision of financial and related services. Deutsche Bank AG is the largest banking institution in the Federal Republic of Germany and is the parent company of a group consisting of banks, capital market and fund management companies, mortgage banks and property finance companies, installment financing and leasing companies, insurance companies, research and consultancy companies and other companies. Deutsche Bank AG is organized under the laws of the Federal Republic of Germany, and the address of its principal place of business is Taunusanlage 12, 60325 Frankfurt, Federal Republic of Germany. - -------------------------------------------------------------------------------- Name PRESENT PRINCIPAL OCCUPATION OR EMPLOYEMENT BUSINESS ADDRESS CITIZENSHIP - -------------------------------------------------------------------------------- Dr. Josef Ackermann Chairman of the Group Executive Committee and Member of the Board of Managing Directors, Deutsche Bank AG Deutsche Bank AG Taunusanlage 12 60325 Frankfurt The Federal Republic of Germany Citizenship: Swiss - -------------------------------------------------------------------------------- Dr. Tessen von Heydebreck Member of the Board of Managing Directors, Deutsche Bank AG Deutsche Bank AG Taunusanlage 12 60325 Frankfurt The Federal Republic of Germany Citizenship: German - -------------------------------------------------------------------------------- Dr. Hermann-Josef Lamberti Member of the Board of Managing Directors, Deutsche Bank AG Deutsche Bank AG Taunusanlage 12 60325 Frankfurt The Federal Republic of Germany Citizenship: German - -------------------------------------------------------------------------------- Dr. Clemens Borsig Member of the Board of Managing Directors, Deutsche Bank AG Deutsche Bank AG Taunusanlage 12 60325 Frankfurt The Federal Republic of Germany Citizenship: German - -------------------------------------------------------------------------------- Executive Officers, Directors, Controlling Persons and Trustees of Deutsche Bank Securities Inc. Deutsche Bank Securities Inc. (DBSI) is registered with the SEC as a broker-dealer and is a member of the NASD, SIPC, NYSE, and a number of other securities self-regulatory organizations. In addition, DBSI is registered with the CFTC as a futures commission merchant and is a member of the NFA, CME, and several other futures self-regulatory organizations. DBSI is headquartered in New York City and offers a full range of broker-dealer services, including sales and trading expertise in equity and fixed income securities, derivatives and structured products, portfolio trading, prime brokerage services, and research. DBSI also assists investment banking clients with public and private offerings in the equity and debt capital markets, and provides advisory services in strategic areas such as mergers, acquisitions, and corporate restructurings. - -------------------------------------------------------------------------------- Name PRESENT PRINCIPAL OCCUPATION OR EMPLOYEMENT BUSINESS ADDRESS CITIZENSHIP - -------------------------------------------------------------------------------- Mr. Seth Waugh Member of the Board of Directors, Chairman, Deutsche Bank Securities 60 Wall Street New York, New York, 10005 Citizenship: US - -------------------------------------------------------------------------------- Mr. Stuart Clarke Member of the Board of Directors, Deutsche Bank Securities 60 Wall Street New York, New York, 10005 Citizenship: UK-British - -------------------------------------------------------------------------------- Mr. Thomas Gahan Member of the Board of Directors, Deutsche Bank Securities 60 Wall Street New York, New York, 10005 Citizenship: US - -------------------------------------------------------------------------------- Mr. Robert Karofsky Member of the Board of Directors, Deutsche Bank Securities 60 Wall Street New York, New York, 10005 Citizenship: US - -------------------------------------------------------------------------------- Mr. Mark Pfeffer Member of the Board of Directors, Deutsche Bank Securities 60 Wall Street New York, New York, 10005 Citizenship: US - -------------------------------------------------------------------------------- Mr. Philip Weingord Member of the Board of Directors, Deutsche Bank Securities 60 Wall Street New York, New York, 10005 Citizenship: US - -------------------------------------------------------------------------------- Schedule 2 - 60 Day Trade History Deutsche Bank AG - -------------------------------------------------------------------------------- DATE BUY/SELL AMOUNT PRICE - -------------------------------------------------------------------------------- 09/28/06 BUY 1,100 10.90 - -------------------------------------------------------------------------------- 09/28/06 SELL 962 11.02 - -------------------------------------------------------------------------------- 10/02/06 BUY 100 10.75 - -------------------------------------------------------------------------------- 10/02/06 SELL 2,400 10.74 - -------------------------------------------------------------------------------- 10/03/06 BUY 300 10.62 - -------------------------------------------------------------------------------- 10/03/06 SELL 900 10.67 - -------------------------------------------------------------------------------- 10/04/06 BUY 1,200 10.85 - -------------------------------------------------------------------------------- 10/04/06 SELL 100 10.70 - -------------------------------------------------------------------------------- 10/05/06 BUY 2,600 11.09 - -------------------------------------------------------------------------------- 10/06/06 BUY 300 11.21 - -------------------------------------------------------------------------------- 10/10/06 BUY 500 11.17 - -------------------------------------------------------------------------------- 10/10/06 SELL 500 11.26 - -------------------------------------------------------------------------------- 10/11/06 BUY 100 11.18 - -------------------------------------------------------------------------------- 10/11/06 SELL 200 11.14 - -------------------------------------------------------------------------------- 10/12/06 BUY 1.900 11.32 - -------------------------------------------------------------------------------- 10/13/06 BUY 3,500 11.40 - -------------------------------------------------------------------------------- 10/16/06 BUY 4,400 11.46 - -------------------------------------------------------------------------------- 10/17/06 BUY 100 11.35 - -------------------------------------------------------------------------------- 10/17/06 SELL 300 11.36 - -------------------------------------------------------------------------------- 10/19/06 BUY 4,200 11.50 - -------------------------------------------------------------------------------- 10/19/06 BUY 5,600 11.50 - -------------------------------------------------------------------------------- 10/19/06 SELL 100 11.49 - -------------------------------------------------------------------------------- 10/20/06 BUY 300 11.46 - -------------------------------------------------------------------------------- 10/20/06 SELL 300 11.44 - -------------------------------------------------------------------------------- 10/23/06 BUY 2,200 11.47 - -------------------------------------------------------------------------------- 10/23/06 SELL 1,000 11.40 - -------------------------------------------------------------------------------- 10/24/06 BUY 4,400 11.35 - -------------------------------------------------------------------------------- 10/24/06 BUY 500 11.30 - -------------------------------------------------------------------------------- 10/24/06 SELL 800 11.30 - -------------------------------------------------------------------------------- 10/25/06 BUY 100 11.65 - -------------------------------------------------------------------------------- 10/25/06 BUY 1,600 11.44 - -------------------------------------------------------------------------------- 10/25/06 SELL 900 11.41 - -------------------------------------------------------------------------------- 10/26/06 BUY 1,400 11.65 - -------------------------------------------------------------------------------- 10/26/06 SELL 300 11.57 - -------------------------------------------------------------------------------- 10/27/06 SELL 500 11.62 - -------------------------------------------------------------------------------- 10/30/06 BUY 100 11.58 - -------------------------------------------------------------------------------- 10/30/06 SELL 220 11.50 - -------------------------------------------------------------------------------- 10/30/06 SELL 300 11.55 - -------------------------------------------------------------------------------- 10/31/06 BUY 520 11.63 - -------------------------------------------------------------------------------- 10/31/06 SELL 900 11.56 - -------------------------------------------------------------------------------- 11/01/06 SELL 600 11.58 - -------------------------------------------------------------------------------- 11/02/06 SELL 1,200 11.64 - -------------------------------------------------------------------------------- 11/03/06 BUY 800 11.80 - -------------------------------------------------------------------------------- 11/03/06 SELL 1,100 11.78 - -------------------------------------------------------------------------------- 11/06/06 BUY 400 11.89 - -------------------------------------------------------------------------------- 11/06/06 SELL 400 11.97 - -------------------------------------------------------------------------------- 11/07/06 BUY 2,500 12.40 - -------------------------------------------------------------------------------- 11/07/06 SELL 100 12.32 - -------------------------------------------------------------------------------- 11/08/06 BUY 400 12.45 - -------------------------------------------------------------------------------- 11/08/06 SELL 200 12.29 - -------------------------------------------------------------------------------- 11/09/06 BUY 200 12.46 - -------------------------------------------------------------------------------- 11/09/06 SELL 300 12.39 - -------------------------------------------------------------------------------- 11/10/06 BUY 1,200 12.27 - -------------------------------------------------------------------------------- 11/13/06 BUY 100 12.35 - -------------------------------------------------------------------------------- 11/14/06 BUY 6,200 12.38 - -------------------------------------------------------------------------------- 11/15/06 BUY 2,220 12.38 - -------------------------------------------------------------------------------- 11/15/06 BUY 8,900 15.77 - -------------------------------------------------------------------------------- 11/15/06 BUY 109 15.81 - -------------------------------------------------------------------------------- 11/16/06 BUY 2,400 15.85 - -------------------------------------------------------------------------------- 11/16/06 SELL 100 15.85 - -------------------------------------------------------------------------------- 11/16/06 SELL 157,600 15.87 - -------------------------------------------------------------------------------- 11/17/06 SELL 220 15.85 - -------------------------------------------------------------------------------- 11/17/06 SELL 187,600 15.87 - -------------------------------------------------------------------------------- 11/20/06 SELL 259,500 15.92 - -------------------------------------------------------------------------------- 11/21/06 SELL 247,900 15.91 - -------------------------------------------------------------------------------- 11/22/06 SELL 210,600 15.90 - -------------------------------------------------------------------------------- 11/22/06 BUY 2,775 15.90 - -------------------------------------------------------------------------------- 11/27/06 SELL 256,000 15.90 - -------------------------------------------------------------------------------- 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 RailAmerica Inc., 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 November 29, 2006 DEUTSCHE BANK AG By: /s/ Jeffrey A. Ruiz -------------------------- Name: Jeffrey A. Ruiz Title: Vice President DEUTSCHE BANK AG By: /s/ Pasquale Antolino -------------------------- Name: Pasquale Antolino 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: Vice President -----END PRIVACY-ENHANCED MESSAGE-----