-----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, OY8VaGKZWoAUGF9DHfrLayYLX3G66U9e4pkAMgSEK3/cfLjJqpuZoRUkJZYnn74u qWOJMhew/dH2UHliDs72jQ== 0000861177-07-000010.txt : 20070215 0000861177-07-000010.hdr.sgml : 20070215 20070215152303 ACCESSION NUMBER: 0000861177-07-000010 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070215 DATE AS OF CHANGE: 20070215 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-56683 FILM NUMBER: 07627104 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/A 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/A 1 tumblewd_dec.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) TUMBLEWEED COMMUNICATIONS CO (Name of Issuer) - ----------------------------------------------------------- Common Stock (Title of Class of Securities) - ----------------------------------------------------------- 899690101 (CUSIP Number) - ----------------------------------------------------------- December 30, 2006 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 9 pages 1. Names of Reporting Persons and I.R.S. Identification No. UBS AG (for the benefit and on behalf of the UBS Global Asset Management business group of UBS AG (see Item 7) - ----------------------------------------------------------- 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 3,590,943 Shares Bene- 6. Shared Voting Power 0 ficially 7. Sole Dispositive Power 0 Owned by Each 8. Shared Dispositive Power 4,462,448 Reporting Person With: - ----------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 4,462,448 Shares* - ----------------------------------------------------------- 10. Check if the Aggregate Amount in Row 9 Excludes Certain Shares / / - ----------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 11% - ----------------------------------------------------------- 12. Type of Reporting Person BK, HC - ----------------------------------------------------------- UBS AG disclaims beneficial ownership of such securities pursuant to Rule 13d-4 under the Securities Exchange Act of 1934. In accordance with SEC Release No. 34-395-538 (January 12, 1998), this filing reflects the securities beneficially owned by the UBS Global Asset Management business group of UBS AG and its subsidiaries and affiliates on behalf of its clients (collectively, UBS). This filing does not reflect securities, if any, beneficially owned by any other division or business group of UBS. Page 2 of 9 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 3,590,943 Shares Bene- 6. Shared Voting Power 0 ficially 7. Sole Dispositive Power 0 Owned by Each 8. Shared Dispositive Power 4,462,448 Reporting Person With: - ----------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 4,462,448 shares* - ----------------------------------------------------------- 10. Check if the Aggregate Amount in Row 9 Excludes Certain Shares / / - ----------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 8.9% - ----------------------------------------------------------- 12. Type of Reporting Person HC - ----------------------------------------------------------- UBS Americas disclaims beneficial ownership of such securities pursuant to Rule 13d-4 under the Securities Exchange Act of 1934. In accordance with SEC Release No. 34-395-538 (January 12, 1998), this filing reflects the securities beneficially owned by the UBS Global Asset Management business group of UBS AG and its subsidiaries and affiliates on behalf of its clients (collectively, UBS). This filing does not reflect securities, if any, beneficially owned by any other division or business group of UBS. Page 3 of 9 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 3,475,943 Shares Bene- 6. Shared Voting Power 0 ficially 7. Sole Dispositive Power 0 Owned by Each 8. Shared Dispositive Power 4,347,448 Reporting Person With: - ----------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 4,347,448 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) 8.7% - ----------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IA - ----------------------------------------------------------- UBS Global Asset Management (Americas) Inc. disclaims beneficial ownership of such securities pursuant to Rule 13d-4 under the Securities Exchange Act of 1934. In accordance with SEC Release No. 34-395-538 (January 12, 1998), this filing reflects the securities beneficially owned by the UBS Global Asset Management business group of UBS AG and its subsidiaries and affiliates on behalf of its clients (collectively, UBS). This filing does not reflect securities, if any, beneficially owned by any other division or business group of UBS. Page 4 of 9 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, 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 Americas Inc. is the parent holding company of UBS Global AM. 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 9 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. To the best of our knowledge, 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 In addition to UBS, UBS Americas, Inc., and UBS Global AM, the following UBS affiliates and subsidiaries are part of the UBS Global Asset Management business group included in this filing: UBS Global Asset Management (US) Inc., UBS Global Asset Management Trust Company, UBS Global Asset Management International Limited, UBS Global Asset Management (Canada) Co., UBS International, Inc., UBS Global Asset Management (Australia) Ltd., UBS Global Asset Management (Hong Kong) Limited, UBS (Trust & Banking) Limited, UBS Global Asset Management (Japan) Ltd., UBS Global Asset Management (Singapore) Ltd., UBS Global Asset Management (Taiwan) Ltd., UBS Global Asset Management (France) SA, UBS Global Asset Management (Deutschland) GmbH, UBS Global Asset Management (Italia) Sim Spa, UBS Espana S.A., UBS Global Asset Management (UK) Ltd. Page 6 of 9 pages - ----------------------------------------------------------- Cusip 899690101 - ----------------------------------------------------------- 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 AM. None of the reporting persons affirms 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. - ----------------------------------------------------------- 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, 2007 UBS AG By: /s/ Per Dyrvik Per Dyrvik Managing Director By: /s/ Teresa Ressel Teresa Ressel Managing Director Page 7 of 9 pages - ----------------------------------------------------------- Cusip 899690101 - ----------------------------------------------------------- UBS Americas Inc. By: /s/ Per Dyrvik Per Dyrvik Managing Director By: /s/ Teresa Ressel Teresa Ressel Managing Director UBS Global Asset Management (Americas) Inc. By: /s/Mark F. Kemper Mark F. Kemper Executive Director By: /s/Michael J. Calhoun Michael J. Calhoun Assistant Secretary Page 8 of 9 pages - ----------------------------------------------------------- Cusip 899690101 - ----------------------------------------------------------- AGREEMENT TO MAKE A JOINT FILING UBS AG, UBS Americas Inc., and UBS Global Asset Management (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, 2007 UBS AG By: /s/ Per Dyrvik Per Dyrvik Managing Director By: /s/ Teresa Ressel Teresa Ressel Managing Director UBS Americas Inc. By: /s/ Per Dyrvik Per Dyrvik Managing Director By: /s/ Teresa Ressel Teresa Ressel Managing Director UBS Global Asset Management (Americas) Inc. By: /s/Mark F. Kemper Mark F. Kemper Executive Director By: /s/Michael J. Calhoun Michael J. Calhoun Assistant Secretary Page 9 of 9 pages -----END PRIVACY-ENHANCED MESSAGE-----