-----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, KwymyIPyRtanc7g3zuhPlcsgcfhZchws+hdXmBfqZU6NlYAnbV4USd4gJGGeHvCJ PzPhgpD+m5i7VW7OhX5qxQ== 0000948046-06-000283.txt : 20061220 0000948046-06-000283.hdr.sgml : 20061220 20061220165029 ACCESSION NUMBER: 0000948046-06-000283 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20061220 DATE AS OF CHANGE: 20061220 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DEUTSCHE BANK AG\ CENTRAL INDEX KEY: 0000948046 IRS NUMBER: 13294498 STATE OF INCORPORATION: I8 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: TAUNUSANLAGE 12 D-60325 CITY: FRANKFURT AM MAIN GE STATE: I8 MAIL ADDRESS: STREET 1: TAUNUSANLAGE 12 D-60325 CITY: FRANKFURT AM MAIN STATE: I8 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BANTA CORP CENTRAL INDEX KEY: 0000009801 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL PRINTING [2750] IRS NUMBER: 390148550 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-15791 FILM NUMBER: 061290448 BUSINESS ADDRESS: STREET 1: 225 MAIN ST CITY: MENASHA STATE: WI ZIP: 54952 BUSINESS PHONE: 9207517777 FORMER COMPANY: FORMER CONFORMED NAME: BANTA GEORGE CO INC DATE OF NAME CHANGE: 19890509 FORMER COMPANY: FORMER CONFORMED NAME: BANTA GEORGE PUBLISHING CO DATE OF NAME CHANGE: 19720505 SC 13D/A 1 banta13dfilingterm.txt 13D AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.1)* Banta Corporation. - -------------------------------------------------------------------------------- (Name of Issuer) - -------------------------------------------------------------------------------- Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 066821109 - -------------------------------------------------------------------------------- (CUSIP Number) Jeffrey Ruiz Deutsche Bank AG c/o Deutsche Bank Securities Inc. 60 Wall Street New York, NY 10005 (212) 250-3667 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 15, 2006 (Date of Event which Requires Filing of this Statement If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-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 Section 240.13d-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 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). Cusip No. 066821109 - ------=====--------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Deutsche Bank AG - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC (See Item 3) - ----- -------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ----- -------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Deutsche Bank AG is organized under the laws of the Federal Republic of Germany. - ----- -------------------------------------------------------------------------- 7 SOLE VOTING POWER 1,185,256 ---------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 3,184 OWNED BY ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 1,185,256 ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 3,184 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,188,440 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.85% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON BK - -------------------------------------------------------------------------------- Cusip No. 066821109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Deutsche Bank Securities Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC (See Item 3) - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ---------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 3,184 OWNED BY ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 0 ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 3,184 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,184 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON BD - -------------------------------------------------------------------------------- Item 1. Security and Issuer Pursuant to Rule 13d-2(a) of Regulation 13D-G of the General Rules and Regulations under the Securities Exchange Act of 1934, as amended (the "Act"), Deutsche Bank AG ("Deutsche Bank,") hereby amends the Statement on Schedule 13D filed by Deutsche Bank and Deutsche Bank Securities Inc. ("DBSI", together with Deutsche Bank, the "Reporting Persons" and each, a "Reporting Person") on November 22, 2006, relating to the shares of common stock, par value $0.01 per share (the "Shares"), of Banta Corporation (the "Issuer"). The Issuer has its principal executive offices at 225 Main Street Menasha, Wisconsin 54952. Item 5. Interest in Securities of the Issuer This Item 5 is hereby amended and supplemented as follows: (a) and (b) According to information filed by the Issuer with the Securities and Exchange Commission in its Form 10-Q for the quarter ended September 30, 2006, the number of Shares outstanding was 24,504,000 as of November 7, 2006. Deutsche Bank, as the parent of Deutsche Bank Securities Inc., may be deemed the beneficial owner of 1,188,440 Shares (approximately 4.85% of the total number of Shares outstanding). Deutsche Bank AG,~London Branch 1,159,856 Deutsche Bank AG,~London Branch (arbitrage) 25,400 Deutsche Bank Securities Inc. 3,184 (c) Transactions by the Reporting Persons in the Shares effected during the past sixty days are set forth in Schedule 1 to this Schedule 13D Termination filing, which is incorporated by reference herein. The transactions set forth in Schedule 1 to this Statement were effected on the New York Stock Exchange and/or the OTC market. (e) On December 15, 2006, Deutsche Bank delivered 45,780 Shares to close out previously established short positions, reducing the total number of Shares for which it may be deemed the beneficial owner to 1,188,440 Shares, or approximately 4.85% of the total number of shares outstanding, and therefore the Reporting Person ceased to be the owner of greater than 5% of the total number of Shares outstanding on that date. Schedule 2 - 60 Day Trade History Deutsche Bank AG Date Buy/Sell Quantiy Price - -------------------------------------------------------------------------------- 10/16/06 B 2,800 47.09 - -------------------------------------------------------------------------------- 10/16/06 B 200 47.09 - -------------------------------------------------------------------------------- 10/16/06 S 2,200 47.10 - -------------------------------------------------------------------------------- 10/16/06 B 15,700 47.09 - -------------------------------------------------------------------------------- 10/17/06 S 500 46.95 - -------------------------------------------------------------------------------- 10/17/06 S 200 46.99 - -------------------------------------------------------------------------------- 10/17/06 B 900 47.11 - -------------------------------------------------------------------------------- 10/17/06 S 6,800 46.98 - -------------------------------------------------------------------------------- 10/19/06 S 100 46.67 - -------------------------------------------------------------------------------- 10/19/06 S 200 46.62 - -------------------------------------------------------------------------------- 10/19/06 B 20,000 46.20 - -------------------------------------------------------------------------------- 10/19/06 B 2,500 46.77 - -------------------------------------------------------------------------------- 10/19/06 B 3,500 46.73 - -------------------------------------------------------------------------------- 10/19/06 S 100 46.83 - -------------------------------------------------------------------------------- 10/19/06 B 100 46.69 - -------------------------------------------------------------------------------- 10/19/06 B 300 46.51 - -------------------------------------------------------------------------------- 10/19/06 S 4,200 46.70 - -------------------------------------------------------------------------------- 10/19/06 B 1,200 46.07 - -------------------------------------------------------------------------------- 10/19/06 S 4,300 46.55 - -------------------------------------------------------------------------------- 10/20/06 S 25,000 45.21 - -------------------------------------------------------------------------------- 10/20/06 B 125,000 45.55 - -------------------------------------------------------------------------------- 10/20/06 B 100 45.56 - -------------------------------------------------------------------------------- 10/20/06 S 100 46.05 - -------------------------------------------------------------------------------- 10/20/06 B 300 46.01 - -------------------------------------------------------------------------------- 10/20/06 S 200 45.77 - -------------------------------------------------------------------------------- 10/20/06 B 19,400 45.19 - -------------------------------------------------------------------------------- 10/20/06 S 800 46.04 - -------------------------------------------------------------------------------- 10/23/06 B 30,000 45.80 - -------------------------------------------------------------------------------- 10/23/06 B 1,500 45.73 - -------------------------------------------------------------------------------- 10/23/06 S 800 45.65 - -------------------------------------------------------------------------------- 10/23/06 B 800 45.87 - -------------------------------------------------------------------------------- 10/23/06 S 100 45.52 - -------------------------------------------------------------------------------- 10/23/06 B 500 45.91 - -------------------------------------------------------------------------------- 10/23/06 S 2,000 45.81 - -------------------------------------------------------------------------------- 10/24/06 B 35,000 45.75 - -------------------------------------------------------------------------------- 10/24/06 B 2,720 45.80 - -------------------------------------------------------------------------------- 10/24/06 B 200 45.85 - -------------------------------------------------------------------------------- 10/24/06 S 400 45.83 - -------------------------------------------------------------------------------- 10/24/06 S 100 45.90 - -------------------------------------------------------------------------------- 10/24/06 B 5,500 45.65 - -------------------------------------------------------------------------------- 10/24/06 S 800 45.80 - -------------------------------------------------------------------------------- 10/25/06 B 400 45.73 - -------------------------------------------------------------------------------- 10/25/06 B 1,100 45.93 - -------------------------------------------------------------------------------- 10/25/06 S 700 45.66 - -------------------------------------------------------------------------------- 10/25/06 B 1,000 45.84 - -------------------------------------------------------------------------------- 10/25/06 S 300 45.76 - -------------------------------------------------------------------------------- 10/25/06 B 3,800 45.79 - -------------------------------------------------------------------------------- 10/25/06 S 1,000 45.85 - -------------------------------------------------------------------------------- 10/26/06 B 700 45.99 - -------------------------------------------------------------------------------- 10/26/06 S 100 45.75 - -------------------------------------------------------------------------------- 10/26/06 B 200 46.07 - -------------------------------------------------------------------------------- 10/26/06 B 7,300 45.97 - -------------------------------------------------------------------------------- 10/26/06 S 2,000 45.46 - -------------------------------------------------------------------------------- 10/27/06 S 300 45.34 - -------------------------------------------------------------------------------- 10/27/06 B 100 45.58 - -------------------------------------------------------------------------------- 10/27/06 S 100 45.46 - -------------------------------------------------------------------------------- 10/30/06 B 4 45.01 - -------------------------------------------------------------------------------- 10/30/06 B 100 45.00 - -------------------------------------------------------------------------------- 10/30/06 S 100 45.01 - -------------------------------------------------------------------------------- 10/30/06 S 200 45.10 - -------------------------------------------------------------------------------- 10/30/06 S 100 44.86 - -------------------------------------------------------------------------------- 10/31/06 B 376 44.66 - -------------------------------------------------------------------------------- 10/31/06 S 500 44.55 - -------------------------------------------------------------------------------- 10/31/06 B 200 44.99 - -------------------------------------------------------------------------------- 10/31/06 S 200 44.72 - -------------------------------------------------------------------------------- 10/31/06 B 100 45.05 - -------------------------------------------------------------------------------- 11/01/06 B 50,000 52.30 - -------------------------------------------------------------------------------- 11/01/06 B 75,000 52.19 - -------------------------------------------------------------------------------- 11/01/06 B 50,000 45.74 - -------------------------------------------------------------------------------- 11/01/06 B 36,000 45.85 - -------------------------------------------------------------------------------- 11/01/06 S 400 52.20 - -------------------------------------------------------------------------------- 11/01/06 B 15,900 45.49 - -------------------------------------------------------------------------------- 11/06/06 B 550,000 52.01 - -------------------------------------------------------------------------------- 11/06/06 B 450,000 52.00 - -------------------------------------------------------------------------------- 11/09/06 B 27,300 51.75 - -------------------------------------------------------------------------------- 11/15/06 B 1,380 51.98 - -------------------------------------------------------------------------------- 11/15/06 S 1,380 51.98 - -------------------------------------------------------------------------------- 11/16/06 B 6,240 51.97 - -------------------------------------------------------------------------------- 11/17/06 B 12,120 51.97 - -------------------------------------------------------------------------------- 11/20/06 S 1,800 52.16 - -------------------------------------------------------------------------------- 11/20/06 B 1,800 52.16 - -------------------------------------------------------------------------------- 11/22/06 B 700 36.25 - -------------------------------------------------------------------------------- 11/22/06 S 1,725 36.20 - -------------------------------------------------------------------------------- 11/22/06 B 1,725 36.20 - -------------------------------------------------------------------------------- 11/27/06 S 600 36.14 - -------------------------------------------------------------------------------- 11/27/06 B 2,212 36.12 - -------------------------------------------------------------------------------- 11/29/06 S 100 36.22 - -------------------------------------------------------------------------------- 11/29/06 B 5 36.22 - -------------------------------------------------------------------------------- 11/29/06 B 100 36.22 - -------------------------------------------------------------------------------- 11/29/06 B 100 36.22 - -------------------------------------------------------------------------------- 11/29/06 S 105 36.22 - -------------------------------------------------------------------------------- 11/29/06 B 188 36.14 - -------------------------------------------------------------------------------- 12/01/06 S 2,760 36.23 - -------------------------------------------------------------------------------- 12/01/06 B 4,480 36.22 - -------------------------------------------------------------------------------- 12/04/06 S 716 36.23 - -------------------------------------------------------------------------------- 12/04/06 S 2,760 36.23 - -------------------------------------------------------------------------------- 12/06/06 B 1,500 36.16 - -------------------------------------------------------------------------------- 12/11/06 S 550,000 36.22 - -------------------------------------------------------------------------------- 12/11/06 S 450,000 36.23 - -------------------------------------------------------------------------------- 12/12/06 B 2,000 36.25 - -------------------------------------------------------------------------------- 12/13/06 B 4,266 36.25 - -------------------------------------------------------------------------------- 12/13/06 B 8,832 36.25 - -------------------------------------------------------------------------------- 12/14/06 B 260 36.26 - -------------------------------------------------------------------------------- 12/14/06 S 300 36.26 - -------------------------------------------------------------------------------- 12/14/06 B 320 36.26 - -------------------------------------------------------------------------------- 12/14/06 B 8,763 36.26 - -------------------------------------------------------------------------------- 12/14/06 B 300 36.26 - -------------------------------------------------------------------------------- 12/14/06 S 320 36.26 - -------------------------------------------------------------------------------- 12/14/06 S 366 36.26 - -------------------------------------------------------------------------------- 12/14/06 B 366 36.26 - -------------------------------------------------------------------------------- 12/14/06 S 260 36.26 - -------------------------------------------------------------------------------- 12/15/06 B 78,405 36.26 - -------------------------------------------------------------------------------- 12/15/06 B 12,696 36.25 - -------------------------------------------------------------------------------- 12/15/06 B 100 36.25 - -------------------------------------------------------------------------------- 12/15/06 S 78.405 36.26 - -------------------------------------------------------------------------------- 12/18/06 S 17,700 36.25 - -------------------------------------------------------------------------------- 12/18/06 B 17,700 36.25 - -------------------------------------------------------------------------------- 12/19/06 B 5,894 36.32 - -------------------------------------------------------------------------------- 12/19/06 B 18,200 36.32 - -------------------------------------------------------------------------------- SIGNATURES 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 as of December 20, 2006 DEUTSCHE BANK AG By: /s/ Jeffrey A. Ruiz -------------------------- Name: Jeffrey A. Ruiz Title: Vice President DEUTSCHE BANK AG By: /s/ Pasquale Antolino -------------------------- Name: Pasquale Antolino Title: Assistant Vice President -----END PRIVACY-ENHANCED MESSAGE-----