-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, k/0sWJFFPcPyMpigikAtsgGdkI6nkkJPF1qQ/HOn4C8qmDlgzl9nftihalQiyLN+ Tw7KywkrhqODSFr/BzRMlw== 0000950123-95-000190.txt : 19950203 0000950123-95-000190.hdr.sgml : 19950203 ACCESSION NUMBER: 0000950123-95-000190 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19950202 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTEK INC CENTRAL INDEX KEY: 0000072423 STANDARD INDUSTRIAL CLASSIFICATION: SHEET METAL WORK [3444] IRS NUMBER: 050314991 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-30364 FILM NUMBER: 95504860 BUSINESS ADDRESS: STREET 1: 50 KENNEDY PLZ CITY: PROVIDENCE STATE: RI ZIP: 02903 BUSINESS PHONE: 4017511600 MAIL ADDRESS: STREET 1: 50 KENNEDY PLAZA CITY: PROVIDENCE STATE: RI ZIP: 02903 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: UBS ASSET MANAGEMENT NEW YORK INC CENTRAL INDEX KEY: 0000881153 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1211 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 SC 13G/A 1 AMENDMENT NO. 2 TO SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Nortek, Inc. ----------------------------------------- (Name of Issuer) Common Stock ----------------------------------------- (Title of Class of Securities) 656559101 ----------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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). (Continued on following page(s)) Page 1 of 6 Pages 2 CUSIP NO. 656559101 13G PAGE 2 OF 6 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON UBS Asset Management (New York) Inc. 13-2725861 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* NOT APPLICABLE (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK STATE 5 SOLE VOTING POWER NONE NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY NONE OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH NONE 8 SHARED DISPOSITIVE POWER NONE 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON NONE 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 NONE 12 TYPE OF REPORTING PERSON* IA *SEE INSTRUCTION BEFORE FILLING OUT! 3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 10549 --------------------------------- SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 --------------------------------- Item 1. (a). Name of Issuer: Nortek, Inc. (b). Address of Issuer's Principal Executive Offices: 50 Kennedy Plaza Providence, RI 02903-2360 Item 2. (a). Name of Person Filing: UBS Asset Management (New York) Inc. (b). Address of Principal Business Office: 1211 Avenue of the Americas New York, NY 10036-8796 Page 3 of 6 Pages 4 Item 2. (c). Citizenship: Incorporated in New York State (d). Title of Class of Securities: Common Stock (e). CUSIP Number: 656559101 Item 3. This statement is filed pursuant to Rule 13D-1(b) (2) by an Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940. Item 4. Ownership. (a). Amount Beneficially Owned NONE (b). Percent of Class: NONE (c). Number of Shares as to which UBS Asset Management (NY) has: (i) sole power to vote or to direct the vote NONE (ii) shared power to vote or to direct the vote NONE (iii) sole power to dispose or to direct the NONE disposition of (iv) shared power to dispose or to direct the NONE disposition of Page 4 of 6 Pages 5 Item 5. Ownership of Five Percent or Less of a Class: If "Yes" is checked below, this statement is being filed to report the fact that as of the date hereof UBS Asset Management (New York) Inc. has ceased to be the beneficial owner of more than 5% of the class of securities. YES X NO ----- ----- Item 6. Ownership of More Than Five Percent on Behalf of Another Person: UBS Asset Management (New York) Inc. directs the holding and/or voting of these securities on behalf of various clients, who are entitled to receive dividends from, and the proceeds from the sale of, such securities. Item 7. Identification and Classification of Subsidiaries 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 Page 5 of 6 Pages 6 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 in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and 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. UBS Asset Management (New York) Inc. By: Kinne S. Yon ------------------------ Title: Managing Director Dated: Holdings as of December 31, 1994 Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----