-----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, JH/ykauBDNXten8/gkJiFtVioIjnX5StiVtQB/deT3pZde/i67V9+eB+DOVM6mNI S4GrPV0JIJtckFZZlk/PXA== 0000948046-07-000284.txt : 20071116 0000948046-07-000284.hdr.sgml : 20071116 20071116114747 ACCESSION NUMBER: 0000948046-07-000284 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20071116 DATE AS OF CHANGE: 20071116 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: VENTANA MEDICAL SYSTEMS INC CENTRAL INDEX KEY: 0000893160 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 942976937 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48223 FILM NUMBER: 071252054 BUSINESS ADDRESS: STREET 1: 1910 INNOVATION PARK DRIVE CITY: TUCSON STATE: AZ ZIP: 85755 BUSINESS PHONE: 800-227-2155 MAIL ADDRESS: STREET 1: 1910 INNOVATION PARK DRIVE CITY: TUCSON STATE: AZ ZIP: 85755 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 ventanamed13dterm.txt 13D TERMINATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Ventana Medical Systems, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) - -------------------------------------------------------------------------------- Common Stock, Par value $0.001 - -------------------------------------------------------------------------------- (Title of Class of Securities) 92276H106 - -------------------------------------------------------------------------------- (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 12, 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. 92276H106 - -------------------------------------------------------------------------------- 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 1,695,703 ---------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 2,724 OWNED BY ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 1,695,703 ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 2,724 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,698,427 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.90% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON BK - -------------------------------------------------------------------------------- Cusip No. 92276H106 - --------------------------------------------------------------------------- 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 2,724 OWNED BY ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 0 ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 2,724 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,724 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.00% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON BD - -------------------------------------------------------------------------------- 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 November 08, 2007, relating to the shares of common stock, par value $0.001 per share (the "Shares"), of Ventana Medical Systems, Inc. (the "Issuer"). The Issuer has its principal executive offices at 1910 Innovation Park Drive, Tucson, AZ 85737. 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 September 28, 2007, the number of Shares outstanding was 34,662,691. As of November 12, 2007, the reporting Person may have been deemed the beneficial owner of 1,698,427 Shares (approximately 4.90% of the total number of Shares outstanding). Deutsche Bank AG,London Branch 1,670,703 Deutsche Bank AG,London Branch (arbitrage) 25,000 Deutsche Bank Securities Inc. 2,724 (c) Transactions by the Reporting Person 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 November 12, 2007 Deutsche Bank Securities, Inc. sold 47,659 Shares reducing the total number of Shares for which it may be deemed the beneficial owner to 1,698,427 Shares, or approximately 4.90% 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. Item 7. Material to be Filed as Exhibits Attached as Exhibit 1 ot this Statment is the Joint Filing Agreement dated November 16, 2007 between Deutsche Bank AG and Deutsche Bank Securities Inc. (Incorporated by reference to the Schedule 13D relating to Ventana Medical Systems, Inc. filed on November 08, 2007 by the Reporting Persons. Schedule 1 - 60 Day Trade History - -------------------------------------------------------------------------------- DATE BUY/SELL AMOUNT PRICE - -------------------------------------------------------------------------------- 09/19/07 B 1 83.69 - -------------------------------------------------------------------------------- 09/20/07 S 7700 84.13 - -------------------------------------------------------------------------------- 09/21/07 S 1832 85.00 - -------------------------------------------------------------------------------- 09/21/07 B 7700 83.75 - -------------------------------------------------------------------------------- 09/25/07 B 500000 84.06 - -------------------------------------------------------------------------------- 09/27/07 B 5 85.49 - -------------------------------------------------------------------------------- 09/28/07 S 191 86.26 - -------------------------------------------------------------------------------- 10/03/07 B 20200 86.87 - -------------------------------------------------------------------------------- 10/04/07 B 14800 88.24 - -------------------------------------------------------------------------------- 10/05/07 B 15000 88.02 - -------------------------------------------------------------------------------- 10/08/07 B 4 87.14 - -------------------------------------------------------------------------------- 10/08/07 B 10000 87.00 - -------------------------------------------------------------------------------- 10/08/07 B 1 88.67 - -------------------------------------------------------------------------------- 10/10/07 B 9 87.22 - -------------------------------------------------------------------------------- 10/10/07 B 11400 86.26 - -------------------------------------------------------------------------------- 10/11/07 B 8600 84.86 - -------------------------------------------------------------------------------- 10/15/07 S 100 87.00 - -------------------------------------------------------------------------------- 10/16/07 S 4739 87.00 - -------------------------------------------------------------------------------- 10/16/07 B 1 86.60 - -------------------------------------------------------------------------------- 10/17/07 S 5161 87.00 - -------------------------------------------------------------------------------- 10/18/07 S 10000 88.25 - -------------------------------------------------------------------------------- 10/18/07 S 691 88.32 - -------------------------------------------------------------------------------- 10/19/07 S 5000 89.00 - -------------------------------------------------------------------------------- 10/22/07 S 1 88.46 - -------------------------------------------------------------------------------- 10/22/07 B 1500 87.43 - -------------------------------------------------------------------------------- 10/24/07 B 3500 86.50 - -------------------------------------------------------------------------------- 10/24/07 B 27778 86.80 - -------------------------------------------------------------------------------- 10/25/07 S 100 88.40 - -------------------------------------------------------------------------------- 10/26/07 B 25000 86.99 - -------------------------------------------------------------------------------- 10/29/07 B 27441 86.99 - -------------------------------------------------------------------------------- 10/29/07 B 1 87.00 - -------------------------------------------------------------------------------- 10/30/07 B 58397 86.98 - -------------------------------------------------------------------------------- 10/31/07 S 3975 88.00 - -------------------------------------------------------------------------------- 11/01/07 B 23282 87.00 - -------------------------------------------------------------------------------- 11/01/07 S 21893 87.00 - -------------------------------------------------------------------------------- 11/01/07 B 38469 86.93 - -------------------------------------------------------------------------------- 11/02/07 S 2 86.66 - -------------------------------------------------------------------------------- 11/02/07 B 52 86.00 - -------------------------------------------------------------------------------- 11/02/07 B 24160 86.99 - -------------------------------------------------------------------------------- 11/06/07 B 25000 84.97 - -------------------------------------------------------------------------------- 11/07/07 S 5 83.87 - -------------------------------------------------------------------------------- 11/07/07 B 4075 84.00 - -------------------------------------------------------------------------------- 11/07/07 B 5000 83.73 - -------------------------------------------------------------------------------- 11/08/07 S 900 85.00 - -------------------------------------------------------------------------------- 11/08/07 B 15000 84.97 - -------------------------------------------------------------------------------- 11/08/07 S 25000 84.97 - -------------------------------------------------------------------------------- 11/09/07 S 20000 84.43 - -------------------------------------------------------------------------------- 11/12/07 S 39100 84.40 - -------------------------------------------------------------------------------- 11/12/07 S 35939 84.39 - -------------------------------------------------------------------------------- 11/13/07 S 1341 84.39 - -------------------------------------------------------------------------------- 11/14/07 B 5000 87.99 - -------------------------------------------------------------------------------- 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 November 16, 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-----