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