-----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, CkoOS5gbpA+IusdKVXfS12U12bkIBw1QggjCUqvUytm/EKlJ0Ly//8pOXs43pJoo rDDYuup+1abSLJZTEMmbxA== 0000950123-04-009013.txt : 20040730 0000950123-04-009013.hdr.sgml : 20040730 20040730092152 ACCESSION NUMBER: 0000950123-04-009013 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040730 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DUANE READE INC CENTRAL INDEX KEY: 0000895364 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-DRUG STORES AND PROPRIETARY STORES [5912] IRS NUMBER: 043164702 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-55843 FILM NUMBER: 04940703 BUSINESS ADDRESS: STREET 1: 440 NINTH AVE CITY: NEW YORK STATE: NY ZIP: 10001 BUSINESS PHONE: 2122735700 MAIL ADDRESS: STREET 1: 440 NINTH AVE CITY: NEW YORK STATE: NY ZIP: 10001 FORMER COMPANY: FORMER CONFORMED NAME: DUANE READE HOLDING CORP DATE OF NAME CHANGE: 19940328 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 y99584sc13d.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. _________) Duane Reade Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 263578106 - -------------------------------------------------------------------------------- (CUSIP NUMBER) Robert C. Dinerstein, 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) July 19, 2004 - -------------------------------------------------------------------------------- (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 Name of Reporting Person UBS AG - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group a [_] b [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 Source of Funds BK - -------------------------------------------------------------------------------- 5 Check box if disclosure of legal proceedings is required pursuant to Item 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Switzerland - -------------------------------------------------------------------------------- 7. Sole Voting Power: 1,262,964 Number of Shares -------------------------------------------------------------- 8. Shared Voting Power: 0 Beneficially Owned by -------------------------------------------------------------- Each 9. Sole Dispositive Power: 1,262,964 Reporting Person -------------------------------------------------------------- 10. Shared Dispositive Power: 0 With: - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 1,262,964 - -------------------------------------------------------------------------------- 12 Check if the Aggregate Amount in Row (11) Excludes Certain Shares [_] - -------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 5.16% - -------------------------------------------------------------------------------- 14 Type of Reporting Person BK - -------------------------------------------------------------------------------- 2 - -------------------------------------------------------------------------------- Item 1. Security and Issuer Common Stock Duane Reade Inc. 440 Ninth Avenue New York, NY 10001 - -------------------------------------------------------------------------------- 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 has not, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). UBS AG was not, during the last five years, a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. - -------------------------------------------------------------------------------- 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 working capital of UBS AG and the affiliates that purchased the subject securities. - -------------------------------------------------------------------------------- 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, but they have no present plans for any material additional acquisitions. 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 As of the date of the event requiring the filing of this schedule, UBS AG beneficially owns 1,262,964 shares of Common Stock of the Issuer, or 5.16 % of the class outstanding as of July 16, 2004. - -------------------------------------------------------------------------------- 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 3 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/ Robert C. Dinerstein Robert C. Dinerstein Managing Director By: /s/ Per Dyrvik Per Dyrvik Managing Director Date: July 30, 2004 4 -----END PRIVACY-ENHANCED MESSAGE-----