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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13G
Information to be included in Statements filed pursuant to Rules
13d-1(b), (c) and (d) and amendments thereto filed pursuant to
Rule 13d-2(b)
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
þ Rule 13d-1(b)
o Rule 13d-1(c)
o 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).
| 1 | NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NO. UBS AG (for the benefit and on behalf of UBS Investment Bank, Wealth Management USA, and Global Wealth Management and Business Banking business groups of UBS AG (See Item 7)) |
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| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
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| (a) o | |||||
| (b) o | |||||
| 3 | SEC USE ONLY | ||||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
| Switzerland | |||||
| 5 | SOLE VOTING POWER | ||||
| NUMBER OF | Less than 5% | ||||
| SHARES | 6 | SHARED VOTING POWER | |||
| BENEFICIALLY | |||||
| OWNED BY | 0 | ||||
| EACH | 7 | SOLE DISPOSITIVE POWER | |||
| REPORTING | |||||
| PERSON | Less than 5% | ||||
| WITH: | 8 | SHARED DISPOSITIVE POWER | |||
| 0 | |||||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
| Less than 5% | |||||
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
| o | |||||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
| Less than 5% | |||||
| 12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
| BK | |||||
Item 1(a)
|
Name of Issuer | |
| Capstead Mortgage Corp | ||
Item 1(b)
|
Address of Issuer’s Principal Executive Offices: | |
| 8401 North Central Expressway | ||
| Ste 800 | ||
| Dallas, TX 75225 | ||
Item 2(a)
|
Name of Person Filing: | |
| UBS AG | ||
Item 2(b)
|
Address of Principal Business Office: | |
| UBS AG’s principal business office is: | ||
| Bahnhofstrasse 45 | ||
| PO Box CH-8021 | ||
| Zurich, Switzerland | ||
Item 2(c)
|
Citizenship: | |
| Switzerland | ||
Item 2(d)
|
Title of Class of Securities | |
| Common Stock | ||
Item 2(e)
|
CUSIP Number: | |
| 14067E506 | ||
Item 3.
|
Type of Person Filing: |
| UBS AG is classified as a Bank as defined in section 3(a)(6) of the Act pursuant to no-action relief granted by the staff of the Securities and Exchange Commission. | ||
Item 4 (a)-(c)(iv).
|
Ownership: | |
| Items 5-11 of the cover pages are incorporated by reference. | ||
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 o. | ||
Item 6.
|
Ownership of More than Five Percent on Behalf of Another Person: | |
| Not applicable | ||
Item 7.
|
Identification and Classification of the Subsidiary That Acquired the Security Being Reported on By the Parent Holding Company: | |
| This statement on Schedule 13G is being filed by UBS AG on behalf of itself and the subsidiaries listed below. The securities being reported on by UBS AG were acquired directly by UBS AG directly and certain of such subsidiaries. |
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: | /s/ Gordon Kiesling | |||
| Gordon Kiesling | ||||
| Executive Director | ||||
| By: | /s/ Karen Wendell | |||
| Karen Wendell | ||||
| Executive Director | ||||