0000891554-01-505747.txt : 20011018
0000891554-01-505747.hdr.sgml : 20011018
ACCESSION NUMBER: 0000891554-01-505747
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20011010
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: ISHARES TRUST
CENTRAL INDEX KEY: 0001100663
STANDARD INDUSTRIAL CLASSIFICATION: []
IRS NUMBER: 943351276
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-59405
FILM NUMBER: 1755788
BUSINESS ADDRESS:
STREET 1: 45 FREMONT STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: UBS AG
CENTRAL INDEX KEY: 0001114446
STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021]
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: BAHNHOFSTRASSE 45
CITY: ZURICH SWITZERLAND
STATE: V8
ZIP: 00000
MAIL ADDRESS:
STREET 1: BAHNHOFSTRASSE 45
STREET 2: ZURICH SWITZERLAND
SC 13G/A
1
d27101_sc13g-a.txt
AMENDMENT NO. 1 TO SC 13G
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)
iShares Trust
(Name of Issuer)
iShares Dow Jones U.S. Energy Sector Index Fund
(Title of Class of Securities)
464287796
(CUSIP Number)
September 19, 2001
(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)
-----------------------------------------------------------
1 Names of Reporting Persons
I.R.S. Identification Nos. of above persons (entities only).
UBS AG
98-0186363
-----------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group
a / /
b /x/ See Item 7 of attached schedule.
-----------------------------------------------------------
3 SEC USE ONLY
-----------------------------------------------------------
4 Citizenship or Place of Organization - Switzerland
-----------------------------------------------------------
Number of 5. Sole Voting Power -
Shares Bene-
ficially 6. Shared Voting Power -
Owned by Each
Reporting 7. Sole Dispositive Power -
Person With:
8. Shared Dispositive Power 1,569
-----------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting
Person:
1,569 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)
0.1 %
-----------------------------------------------------------
12 Type of Reporting Person (See Instructions)
HC
-----------------------------------------------------------
Item 1(a). Name of Issuer:
iShares Trust
Item 1(b). Address of Issuer's Principal Executive Offices:
C/o Investors Bank and Trust Company
200 Clarendon Street
Boston, MA 02116
--------------------------------------------------------------------------------
Item 2(a) Name of Person Filing:
UBS AG
Item 2(b) Address of Principal Business Office or, if none, Residence:
Bahnhofstrasse 45
8021, Zurich, Switzerland
Item 2(c) Citizenship: Switzerland
Item 2(d) Title of Class of Securities:
iShares Dow Jones U.S. Energy Sector Index Fund (the "Fund")
Item 2(e) CUSIP Number: 464287796
--------------------------------------------------------------------------------
Item 3. If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or
(c), Check whether the Person Filing is a:
(a) / / Broker or dealer registered under Section 15 of the Exchange Act
(b) / / Bank as defined in Section 3(a)(6) of the Exchange Act
(c) / / Insurance company as defined in Section 3(a)(19) of the Exchange Act
(d) / / Investment company registered under Section 8 of the Investment Company
Act
(e) / / An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E)
(f) / / An employee benefit plan or endowment fund in accordance with
Rule 13d-1(b)(1)(ii)(F)
(g) /x/ A parent holding company or control person in accordance with Rule
13d-1(b)(1)(ii)(G)
(h) / / A savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act
(i) / / A church plan that is excluded from the definition of an investment
company under Section 3(c)(14) of the Investment Company Act
(j) / / Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
--------------------------------------------------------------------------------
Item 4 (a)-(c)(iv). Ownership:
Incorporated by reference to Items 5-11 of the cover page.
--------------------------------------------------------------------------------
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:
Identity of subsidiary Item 3 Classification
UBS PaineWebber Inc. BD
--------------------------------------------------------------------------------
Item 8 Identification and Classification of Members of the Group:
Not applicable
--------------------------------------------------------------------------------
Item 9 Notice of Dissolution of Group:
Not Applicable
--------------------------------------------------------------------------------
Item 10 Certification:
By signing below we certify that, to the best of our 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 our knowledge and belief, we certify
that the information set forth in this statement is true, complete and correct.
Date: October 10, 2001
UBS AG
By: /s/ Robert C. Dinerstein By: /s/ Robert B. Mills
Robert C. Dinerstein Robert B. Mills
Managing Director Managing Director