0000861177-05-000013.txt : 20120705
0000861177-05-000013.hdr.sgml : 20120704
20050216193617
ACCESSION NUMBER: 0000861177-05-000013
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20050217
DATE AS OF CHANGE: 20050216
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: TUMBLEWEED COMMUNICATIONS CORP
CENTRAL INDEX KEY: 0001022509
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 943183329
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-56683
FILM NUMBER: 05622238
BUSINESS ADDRESS:
STREET 1: 700 SAGINAW DR
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
BUSINESS PHONE: 6502162000
MAIL ADDRESS:
STREET 1: 700 SAGINAW DR
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
FORMER COMPANY:
FORMER CONFORMED NAME: TUMBLEWEED SOFTWARE CORP
DATE OF NAME CHANGE: 19990517
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: UBS GLOBAL ASSET MANAGEMENT AMERICAS INC
CENTRAL INDEX KEY: 0000861177
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: ONE NORTH WACKER DRIVE
CITY: CHICAGO
STATE: IL
BUSINESS PHONE: 60606
MAIL ADDRESS:
STREET 1: ONE NORTH WACKER DRIVE
CITY: CHICAGO
STATE: IL
ZIP: 60606
FORMER COMPANY:
FORMER CONFORMED NAME: BRINSON PARTNERS INC/IL
DATE OF NAME CHANGE: 19930715
SC 13G
1
tumbleweed.txt
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )
TUMBLEWEED COMMUNICATIONS CO
(Name of Issuer)
-----------------------------------------------------------
Common Stock
(Title of Class of Securities)
-----------------------------------------------------------
899690101
(CUSIP Number)
-----------------------------------------------------------
December 31, 2004
(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).
Potential persons who are to respond to the collection of
information contained in this form are not required to
respond unless the form displays a currently valid OMB
control number.
Page 1 of 8 pages
1. Names of Reporting Persons and I.R.S. Identification No.
UBS AG
-----------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
a / /
b / / See Item 8 of attached schedule
-----------------------------------------------------------
3. SEC USE ONLY
-----------------------------------------------------------
4. Citizenship or Place of Organization
Switzerland
-----------------------------------------------------------
Number of 5. Sole Voting Power 2,981,900
Shares Bene- 6. Shared Voting Power 0
ficially 7. Sole Dispositive Power 521,100
Owned by Each 8. Shared Dispositive Power 3,312,400
Reporting
Person With:
-----------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting
Person:
3,833,500*
-----------------------------------------------------------
10. Check if the Aggregate Amount in Row 9 Excludes Certain
Shares / /
-----------------------------------------------------------
11. Percent of Class Represented by Amount in Row 9
8.0%
-----------------------------------------------------------
12. Type of Reporting Person
BK
-----------------------------------------------------------
* UBS AG disclaims beneficial ownership of such securities.
Page 2 of 8 pages
1. Names of Reporting Persons and I.R.S. Identification No.
UBS Americas Inc.
-----------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
a / /
b / / See Item 8 of attached schedule
-----------------------------------------------------------
3. SEC USE ONLY
-----------------------------------------------------------
4. Citizenship or Place of Organization
Delaware
-----------------------------------------------------------
Number of 5. Sole Voting Power 2,214,500
Shares Bene- 6. Shared Voting Power 0
ficially 7. Sole Dispositive Power 0
Owned by Each 8. Shared Dispositive Power 3,066,100
Reporting
Person With:
-----------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting
Person:
3,066,100 shares*
-----------------------------------------------------------
10. Check if the Aggregate Amount in Row 9 Excludes Certain
Shares / /
-----------------------------------------------------------
11. Percent of Class Represented by Amount in Row 9
6.4%
-----------------------------------------------------------
12. Type of Reporting Person
OO
-----------------------------------------------------------
* UBS Americas Inc. disclaims beneficial ownership of such
securities.
Page 3 of 8 pages
1
Names of Reporting Persons
I.R.S. Identification Nos. of above persons (entities only).
UBS Global Asset Management (Americas) Inc.
36-3664388
-----------------------------------------------------------
2
Check the Appropriate Box if a Member of a Group (See
Instructions)
a / /
b / / See Item 8 of attached schedule.
-----------------------------------------------------------
3
SEC USE ONLY
-----------------------------------------------------------
4
Citizenship or Place of Organization - Delaware
-----------------------------------------------------------
Number of 5. Sole Voting Power 1,990,300
Shares Bene- 6. Shared Voting Power 0
ficially 7. Sole Dispositive Power 0
Owned by Each 8. Shared Dispositive Power 2,841,900
Reporting
Person With:
-----------------------------------------------------------
9
Aggregate Amount Beneficially Owned by Each Reporting Person
2,841,900 Shares*
-----------------------------------------------------------
10
Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
-----------------------------------------------------------
11
Percent of Class Represented by Amount in Row (9)
5.9%
-----------------------------------------------------------
12
Type of Reporting Person (See Instructions)
IA
-----------------------------------------------------------
* UBS Global Asset Management (Americas) Inc. disclaims
beneficial ownership of such securities.
Page 4 of 8 pages
Cusip 899690101
-----------------------------------------------------------
Item 1(a). Name of Issuer:
TUMBLEWEED COMMUNICATIONS CO
Item 1(b). Address of Issuer's Principal Executive Offices:
700 Saginaw Drive
Redwood City, CA 94063
-----------------------------------------------------------
Item 2(a) Name of Persons Filing:
UBS AG and UBS Americas Inc. and UBS Global Asset Management
(Americas) Inc.("UBS Global AM")
Item 2(b) Address of Principal Business Office or, if none,
Residence:
UBS AG's principal business office is:
Bahnhofstrasse 45
PO Box CH-8021
Zurich, Switzerland
UBS Americas Inc.'s principal business office is:
677 Washington Blvd.
Stamford, CT 06901
UBS Global AM's principal business office is:
One North Wacker, Chicago, Illinois 60606
Item 2(c) Citizenship:
Incorporated by reference to Item 4 of the cover pages.
Item 2(d) Title of Class of Securities:
Common Stock (the "Common Stock")
Item 2(e) CUSIP Number:
899690101
-----------------------------------------------------------
Item 3. Type of Person Filing:
UBS AG is classified as a Bank as defined in section 3(a)(6)
of the Act pursuant to no action relief granted by the staff
of the Securities and Exchange Commission. UBS Global AM is
an Investment Adviser registered under section 203 of the
Investment Advisers Act of 1940.
-----------------------------------------------------------
Item 4 (a)-(c)(iv). Ownership:
Incorporated by reference to Items 5-11 of the cover pages.
Page 5 of 8 pages
Cusip 899690101
-----------------------------------------------------------
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 / /.
-----------------------------------------------------------
Item 6. Ownership of More than Five Percent on Behalf of
Another Person:
Accounts managed on a discretionary basis by UBS AG and UBS
Global AM have the right to receive or the power to direct
the receipt of dividends from, or the proceeds from the sale
of, the Common Stock. No account holds more than 5 percent
of the outstanding Common Stock.
-----------------------------------------------------------
Item 7. Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on By the Parent
Holding Company:
Identification: UBS Global Asset Management (Americas) Inc.
Classification: IA
----------------------------------------------------------
Item 8 Identification and Classification of Members of the
Group:
UBS Global AM is a wholly-owned subsidiary of UBS Americas
Inc. which is a wholly-owned subsidiary of UBS AG. UBS AG is
reporting direct and indirect beneficial ownership of
holdings. UBS Americas Inc. is reporting indirect beneficial
ownership of holdings by reason of its ownership of UBS
Global Asset Management (Americas) Inc. UBS AG does not
hereby affirm the existence of a group within the meaning of
Rule 13d-5(b)(1).
-----------------------------------------------------------
Item 9 Notice of Dissolution of Group:
Not Applicable
-----------------------------------------------------------
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.
-----------------------------------------------------------
Page 6 of 8 pages
-----------------------------------------------------------
Cusip 899690101
-----------------------------------------------------------
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.
Date: February 14, 2005
UBS AG
By: /s/ Robert C. Dinerstein
Robert C. Dinerstein
Managing Director
By: /s/ Per Dyrvik
Per Dyrvik
Managing Director
UBS Americas Inc.
By: /s/ Robert C. Dinerstein
Robert C. Dinerstein
Managing Director
By: /s/ Per Dyrvik
Per Dyrvik
Managing Director
UBS Global Asset Management
(Americas) Inc.
By: /s/Mark F. Kemper
Mark F. Kemper
Executive Director
By: /s/Mary T. Capasso
Mary T. Capasso
Director
Page 7 of 8 pages
-----------------------------------------------------------
Cusip 899690101
-----------------------------------------------------------
AGREEMENT TO MAKE A JOINT FILING
UBS AG and UBS Americas Inc. each agrees that this Schedule
13G (including all amendments hereto) is filed by and on
behalf of each such party.
Date: February 14, 2005
UBS AG
By: /s/ Robert C. Dinerstein
Robert C. Dinerstein
Managing Director
By: /s/ Per Dyrvik
Per Dyrvik
Managing Director
UBS Americas Inc.
By: /s/ Robert C. Dinerstein
Robert C. Dinerstein
Managing Director
By: /s/ Per Dyrvik
Per Dyrvik
Managing Director
UBS Global Asset Management
(Americas) Inc.
By: /s/Mark F. Kemper
Mark F. Kemper
Executive Director
By: /s/Mary T.Capasso
Mary T. Capasso
Director
Page 8 of 8 pages