-----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, J2sSKnPE0MVrj1pNaGo5svi+vakUd0DakawuJQgcit0sEPS30bqcfJ4hb1KOFkYJ r9QOZ7jZgTr29xWrrMfywQ== 0000909012-09-000322.txt : 20090217 0000909012-09-000322.hdr.sgml : 20090216 20090217112719 ACCESSION NUMBER: 0000909012-09-000322 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090217 DATE AS OF CHANGE: 20090217 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALUMINA LTD CENTRAL INDEX KEY: 0000857071 STANDARD INDUSTRIAL CLASSIFICATION: PRIMARY SMELTING & REFINING OF NONFERROUS METALS [3330] IRS NUMBER: 000000000 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-55589 FILM NUMBER: 09608583 BUSINESS ADDRESS: STREET 1: 360 COLLINS ST 31ST FL STREET 2: MELBOURNE CITY: VICTORIA 3000 AUSTRA STATE: C3 ZIP: 00000 BUSINESS PHONE: 6136020300 FORMER COMPANY: FORMER CONFORMED NAME: WMC LTD DATE OF NAME CHANGE: 19960911 FORMER COMPANY: FORMER CONFORMED NAME: WESTERN MINING CORPORATION HOLDINGS LTD DATE OF NAME CHANGE: 19931104 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Tradewinds Global Investors, LLC CENTRAL INDEX KEY: 0001383221 IRS NUMBER: 020767178 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: (310) 552-5114 MAIL ADDRESS: STREET 1: 2049 CENTURY PARK EAST STREET 2: 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: Tradewinds NWQ Global Investors, LLC DATE OF NAME CHANGE: 20061211 SC 13G/A 1 t305011.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Alumina Ltd. ---------------------- (Name of Issuer) Sponsored American Depository Receipt ------------------------------------ (Title of Class of Securities) 022205108 -------------------- (CUSIP Number) December 31, 2008 ------------------------------------------------------------- (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 4 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Tradewinds Global Investors, LLC 02-0767178 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] N/A - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - U.S.A. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 67,249,776* NUMBER OF ----------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ----------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 76,445,980* ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 76,445,980* - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.24%* - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IA - -------------------------------------------------------------------------------- *NOTE:The number of shares listed represents the underlying class of securities. One ADR represents four (4) ordinary shares (AWC AU). PAGE 2 OF 4 PAGES Item 1(a) Name of Issuer: Alumina Ltd. Item 1(b) Address of Issuer's Principal Executive Offices: Level 12 IBM Centre 60 City Road Southbank, VIC 3006 Australia Item 2(a) Name of Person Filing: Tradewinds Global Investors, LLC Item 2(b) Address of the Principal Office or, if none, Residence: 2049 Century Park East, 20th Floor Los Angeles, CA 90067 Item 2(c) Citizenship: Delaware - U.S.A. Item 2(d) Title of Class of Securities: Sponsored American Depository Receipt Item 2(e) CUSIP Number: 022205108 Item 3 If the Statement is being filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (e) [X] An investment advisor in accordance with section 240.13d-1(b)(1)(ii)(E) Item 4 Ownership: (a) Amount Beneficially Owned: 76,445,980 (b) Percent of Class: 5.24% (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote: 67,249,776 (ii) shared power to vote or direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 76,445,980 (iv) shared power to dispose or to direct the disposition of: 0 PAGE 3 OF 4 PAGES Item 5 Ownership of Five Percent or Less of a Class: Not applicable. Item 6 Ownership of More than Five Percent on Behalf of Another Person: Securities reported on this Schedule 13G are beneficially owned by clients which may include investment companies registered under the Investment Company Act and/or employee benefit plans, pension funds, endowment funds or other institutional clients. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: Not applicable. Item 8 Identification and Classification of Members of the Group: Not applicable. Item 9 Notice of Dissolution of a 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 such securities and were were not acquired in connection with or as a participant in any transaction having such 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: February 11, 2009 Tradewinds Global Investors, LLC By: /s/ David B. Iben ------------------------------------ Name: David B. Iben, CFA Title: Chief Investment Officer PAGE 4 OF 4 PAGES -----END PRIVACY-ENHANCED MESSAGE-----