0001047469-05-006075.txt : 20120703
0001047469-05-006075.hdr.sgml : 20120703
20050310161925
ACCESSION NUMBER: 0001047469-05-006075
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 2
FILED AS OF DATE: 20050310
DATE AS OF CHANGE: 20050310
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: TOWER AUTOMOTIVE INC
CENTRAL INDEX KEY: 0000925548
STANDARD INDUSTRIAL CLASSIFICATION: METAL FORGING & STAMPINGS [3460]
IRS NUMBER: 411746238
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-45347
FILM NUMBER: 05672679
BUSINESS ADDRESS:
STREET 1: 27175 HAGGERTY ROAD
CITY: NOVI
STATE: MI
ZIP: 48377
BUSINESS PHONE: (248) 675-6000
MAIL ADDRESS:
STREET 1: 27175 HAGGERTY ROAD
CITY: NOVI
STATE: MI
ZIP: 48377
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: CITIGROUP INC
CENTRAL INDEX KEY: 0000831001
STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021]
IRS NUMBER: 521568099
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 399 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10043
BUSINESS PHONE: 2125591000
MAIL ADDRESS:
STREET 1: 399 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10043
FORMER COMPANY:
FORMER CONFORMED NAME: TRAVELERS GROUP INC
DATE OF NAME CHANGE: 19950519
FORMER COMPANY:
FORMER CONFORMED NAME: TRAVELERS INC
DATE OF NAME CHANGE: 19940103
FORMER COMPANY:
FORMER CONFORMED NAME: PRIMERICA CORP /NEW/
DATE OF NAME CHANGE: 19920703
SC 13G/A
1
a2153497zsc13ga.txt
SCH 13G/A
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2)*
Tower Automotive, Inc.
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
--------------------------------------------------------------------------------
(Title of Class of Securities)
891707-10-1
--------------------------------------------------------
(CUSIP Number)
February 28, 2005
--------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
/X/ Rule 13d-1(b)
/ / Rule 13d-1(c)
/ / Rule 13d-1(d)
*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 in 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).
Page 1
of 11 Pages
SCHEDULE 13G
CUSIP NO. 891707-10-1 Page 2 of 11 Pages
-------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Citigroup Global Markets Limited
-------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) / /
(b) / /
-------------------------------------------------------------------------------
(3) SEC USE ONLY
-------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION London, England
-------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER 0
SHARES
----------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER 0
OWNED BY
----------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER 0
REPORTING
----------------------------------------------------
PERSON (8) SHARED DISPOSITIVE POWER 0
WITH:
-------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0
-------------------------------------------------------------------------------
(10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) / /
-------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0%
-------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) BD
-------------------------------------------------------------------------------
SCHEDULE 13G
CUSIP NO. 891707-10-1 Page 3 of 11 Pages
-------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Citigroup Global Markets Europe Limited
-------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) / /
(b) / /
-------------------------------------------------------------------------------
(3) SEC USE ONLY
-------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION London, England
-------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER 0
SHARES
----------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER 0
OWNED BY
----------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER 0
REPORTING
----------------------------------------------------
PERSON (8) SHARED DISPOSITIVE POWER 0
WITH:
-------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0
-------------------------------------------------------------------------------
(10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) / /
-------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0%
-------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) HC
-------------------------------------------------------------------------------
SCHEDULE 13G
CUSIP NO. 891707-10-1 Page 4 of 11 Pages
-------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Citigroup Global Markets International LLC
-------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) / /
(b) / /
-------------------------------------------------------------------------------
(3) SEC USE ONLY
-------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware
-------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER 0
SHARES
----------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER 0
OWNED BY
----------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER 0
REPORTING
----------------------------------------------------
PERSON (8) SHARED DISPOSITIVE POWER 0
WITH:
-------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0
-------------------------------------------------------------------------------
(10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) / /
-------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0%
-------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO
-------------------------------------------------------------------------------
SCHEDULE 13G
CUSIP NO. 891707-10-1 Page 5 of 11 Pages
-------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Citigroup Financial Products Inc.
-------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) / /
(b) / /
-------------------------------------------------------------------------------
(3) SEC USE ONLY
-------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware
-------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER 0
SHARES
----------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER 470,867*
OWNED BY
----------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER 0
REPORTING
----------------------------------------------------
PERSON (8) SHARED DISPOSITIVE POWER 470,867*
WITH:
-------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 470,867*
-------------------------------------------------------------------------------
(10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) / /
-------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.8%*
-------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO
-------------------------------------------------------------------------------
* Assumes conversion/exercise of certain securities held.
SCHEDULE 13G
CUSIP NO. 891707-10-1 Page 6 of 11 Pages
-------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Citigroup Global Markets Holdings Inc.
-------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) / /
(b) / /
-------------------------------------------------------------------------------
(3) SEC USE ONLY
-------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION New York
-------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER 0
SHARES
----------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER 470,867*
OWNED BY
----------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER 0
REPORTING
----------------------------------------------------
PERSON (8) SHARED DISPOSITIVE POWER 470,867*
WITH:
-------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 470,867*
-------------------------------------------------------------------------------
(10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) / /
-------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.8%*
-------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) HC
-------------------------------------------------------------------------------
* Assumes conversion/exercise of certain securities held.
SCHEDULE 13G
CUSIP NO. 891707-10-1 Page 7 of 11 Pages
-------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Citigroup Inc.
-------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) / /
(b) / /
-------------------------------------------------------------------------------
(3) SEC USE ONLY
-------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware
-------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER 0
SHARES
----------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER 484,622*
**
OWNED BY
----------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER 0
REPORTING
----------------------------------------------------
PERSON (8) SHARED DISPOSITIVE POWER 484,622*
**
WITH:
-------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 484,622*
**
-------------------------------------------------------------------------------
(10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) / /
-------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.8%*
**
-------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) HC
-------------------------------------------------------------------------------
* Assumes conversion/exercise of certain securities held.
** Includes shares held by the other reporting persons.
Item 1(a). Name of Issuer:
Tower Automotive, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
27175 Haggerty Road
Novi, Michigan 48377
Item 2(a). Name of Person Filing:
Citigroup Global Markets Limited ("CGML")
Citigroup Global Markets Europe Limited ("CGMEL")
Citigroup Global Markets International LLC ("CGMIL")
Citigroup Financial Products Inc. ("CFP")
Citigroup Global Markets Holdings Inc. ("CGM Holdings")
Citigroup Inc. ("Citigroup")
Item 2(b). Address of Principal Office or, if none, Residence:
The address of the principal office of each of
CGML, CGMEL and CGMIL is:
Citigroup Centre, Canada Square
Canary Wharf, London E145LB
The address of the principal office of each of
CFP and CGM Holdings is:
388 Greenwich Street
New York, NY 10013
The address of the principal office of Citigroup is:
399 Park Avenue
New York, NY 10043
Item 2(c). Citizenship or Place of Organization:
CGML and CGMEL are chartered in London, England.
CGMIL is a Delaware limited liability company.
CGM Holdings is a New York corporation.
CFP and Citigroup are Delaware corporations.
Item 2(d). Title of Class of Securities:
Common Stock
Item 2(e). CUSIP Number:
891707-10-1
Page 8
of 11 Pages
Item 3*. If This Statement Is Filed Pursuant to Sections 240.13d-1(b) or
240.13d-2(b) or (c), Check Whether the Person Filing Is a(n):
(a) [ ] Broker or dealer registered under Section 15 of the
Act (15 U.S.C. 78o);
(b) [ ] Bank as defined in Section 3(a)(6) of the Act
(15 U.S.C. 78c);
(c) [ ] Insurance company as defined in Section 3(a)(19) of
the Act (15 U.S.C. 78c);
(d) [ ] Investment company registered under Section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e) [ ] Investment adviser in accordance with Section
240.13d-1(b)(1)(ii)(E);
(f) [ ] Employee benefit plan or endowment fund in accordance
with Section 240.13d-1(b)(1)(ii)(F);
(g) [X] Parent holding company or control person in accordance
with Section 240.13d-1(b)(1)(ii)(G);
(h) [ ] Savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] Church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the
Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J).
*CGML is filing this Schedule 13G under Rule 13d-1(b) pursuant to the
No-Action relief granted by the Securities and Exchange Commission in a
letter dated May 27, 2004.
Item 4. Ownership. (as of February 28, 2005)
(a) Amount beneficially owned: See item 9 of cover pages
(b) Percent of Class: See item 11 of cover pages
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote:
(ii) Shared power to vote or to direct the vote:
(iii) Sole power to dispose or to direct the disposition of:
(iv) Shared power to dispose or to direct the disposition of:
See items 5-8 of cover pages
Page 9
of 11 Pages
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial owner
of more than five percent of the class of securities, check the
following [x].
Item 6. Ownership of More Than Five Percent on Behalf of Another Person.
Not Applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on by the Parent Holding Company.
CGMEL is the sole stockholder of CGML. CFP and CGMIL own a
controlling interest in CGMEL. CFP is the sole member of CGMIL.
CGM Holdings is the sole stockholder of CFP. Citigroup is the
sole stockholder of CGM Holdings.
Item 8. Identification and Classification of Members of the Group.
Not Applicable.
Item 9. Notice of Dissolution of Group.
Not Applicable.
Page 10
of 11 Pages
Item 10. Certification.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are held in the
ordinary course of business and were not acquired and are not held for the
purpose of or with the effect of changing or influencing the control of the
issuer of the securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose or effect.
SIGNATURE.
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: March 10, 2005
CITIGROUP GLOBAL MARKETS LIMITED
By: /s/ Andrew M. Gaulter
--------------------------------------------
Name: Andrew M. Gaulter
Title: Secretary
CITIGROUP GLOBAL MARKETS EUROPE LIMITED
By: /s/ Andrew M. Gaulter
--------------------------------------------
Name: Andrew M. Gaulter
Title: Secretary
CITIGROUP GLOBAL MARKETS INTERNATIONAL LLC
By: /s/ Andrew M. Gaulter
--------------------------------------------
Name: Andrew M. Gaulter
Title: Secretary
CITIGROUP FINANCIAL PRODUCTS INC.
By: /s/ Serena D. Moe
--------------------------------------------
Name: Serena D. Moe
Title: Assistant Secretary
CITIGROUP GLOBAL MARKETS HOLDINGS INC.
By: /s/ Serena D. Moe
--------------------------------------------
Name: Serena D. Moe
Title: Assistant Secretary
CITIGROUP INC.
By: /s/ Serena D. Moe
--------------------------------------------
Name: Serena D. Moe
Title: Assistant Secretary
Page 11
of 11 Pages
EXHIBIT INDEX TO SCHEDULE 13G
-----------------------------
EXHIBIT 1
---------
Agreement among CGML, CGMEL, CGMIL, CFP, CGM Holdings and Citigroup as to
joint filing of Schedule 13G
EX-99.1
2
a2153497zex-99_1.txt
EXHIBIT 99.1
EXHIBIT 1
---------
AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G
--------------------------------------------
Each of the undersigned hereby affirms that it is individually eligible to use
Schedule 13G, and agrees that this Schedule 13G is filed on its behalf.
Dated: March 10, 2005
CITIGROUP GLOBAL MARKETS LIMITED
By: /s/ Andrew M. Gaulter
--------------------------------------------
Name: Andrew M. Gaulter
Title: Secretary
CITIGROUP GLOBAL MARKETS EUROPE LIMITED
By: /s/ Andrew M. Gaulter
--------------------------------------------
Name: Andrew M. Gaulter
Title: Secretary
CITIGROUP GLOBAL MARKETS INTERNATIONAL LLC
By: /s/ Andrew M. Gaulter
--------------------------------------------
Name: Andrew M. Gaulter
Title: Secretary
CITIGROUP FINANCIAL PRODUCTS INC.
By: /s/ Serena D. Moe
--------------------------------------------
Name: Serena D. Moe
Title: Assistant Secretary
CITIGROUP GLOBAL MARKETS HOLDINGS INC.
By: /s/ Serena D. Moe
--------------------------------------------
Name: Serena D. Moe
Title: Assistant Secretary
CITIGROUP INC.
By: /s/ Serena D. Moe
--------------------------------------------
Name: Serena D. Moe
Title: Assistant Secretary