- Amended Statement of Ownership (SC 13G/A)
05 Februar 2010 - 12:03PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Cohen
& Steers REIT and Utility Income Fund, Inc.
(Name of Issuer)
Auction Preferred Stock
(Title of Class of Securities)
19247Y207
19247Y306
19247Y405
19247Y504
19247Y603
19247Y702
19247Y801
19247Y850
19247Y876
19247Y884
(CUSIP Number)
December 31, 2009
(Date of Event Which Requires Filing of this Statement)
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 persons 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).
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CUSIP No.
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19247Y207; 19247Y306; 19247Y405; 19247Y504; 19247Y603;
19247Y702; 19247Y801; 19247Y850; 19247Y876; 19247Y884
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1
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NAMES OF REPORTING PERSONS
UBS AG, for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two-wholly owned subsidiaries of UBS AG to which UBS AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
o
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Switzerland
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5
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SOLE VOTING POWER
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NUMBER OF
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0
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SHARES
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6
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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0**
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EACH
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7
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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0
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WITH:
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8
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SHARED DISPOSITIVE POWER
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0**
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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0**
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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0.00%***
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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BK
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** These amounts
reflect UBS AGs combined holdings in the series of auction preferred stock of the issuer identified by the CUSIP number(s) set forth on the cover page of this Schedule 13G.
*** This calculation reflects a fraction the numerator of which is the total set forth in Item 9 of this cover page and the denominator of which is the aggregate amount of auction preferred stock of all series identified in Item 2(e) of this Schedule 13G, which latter amount is treated herein as a single class of securities in accordance with the Auction Rate SecuritiesGlobal Exemptive
Relief letter issued by the staff of the Securities and Exchange
Commission on September 22, 2008 (the
Global Relief
Letter
).
Page 2 of 5
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CUSIP No.
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19247Y207; 19247Y306; 19247Y405; 19247Y504; 19247Y603;
19247Y702; 19247Y801; 19247Y850; 19247Y876; 19247Y884
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Item 1(a)
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Name of Issuer
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Cohen & Steers REIT and Utility Income Fund, Inc.
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Item 1(b)
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Address of Issuers Principal Executive Offices:
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Cohen & Steers REIT and Utility Income Fund, Inc.
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280 Park Avenue
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New York, NY 10017
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Item 2(a)
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Name of Person Filing:
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UBS AG
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Item 2(b)
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Address of Principal Business Office:
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UBS AG
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Bahnhofstrasse 45
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PO Box CH-8021
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Zurich, Switzerland
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Item 2(c)
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Citizenship or Place of Organization:
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Switzerland
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Item 2(d)
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Title of Class of Securities
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Auction Preferred Stock
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Item 2(e)
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CUSIP Number(s):
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19247Y207
19247Y306
19247Y405
19247Y504
19247Y603
19247Y702
19247Y801
19247Y850
19247Y876
19247Y884
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This response lists the CUSIP numbers assigned to
every series of auction preferred securities
issued by the Issuer, and not redeemed as of
December 31, 2009, including series in which UBS
AG may not have an ownership position.
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Page 3 of 5
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CUSIP No.
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19247Y207; 19247Y306; 19247Y405; 19247Y504; 19247Y603;
19247Y702; 19247Y801; 19247Y850; 19247Y876; 19247Y884
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Item 3.
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Type of Person Filing:
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UBS AG is classified as a Bank as defined in
section 3(a)(6) of the Securities Act or 1933
pursuant to no-action relief granted by the staff
of the Securities and Exchange Commission.
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Item 4 (a)-(c)(iv).
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Ownership:
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Items 5-11 of the cover page and Item 2(e) above
are incorporated by reference in our response to
this Item 4.
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Item 5.
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Ownership of Five Percent or Less of a Class:
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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
þ
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Item 6.
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Ownership of More than Five Percent on Behalf of
Another Person:
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Not applicable
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Item 7.
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Identification and Classification of the
Subsidiary That Acquired the
Security Being Reported on By the Parent Holding
Company:
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This statement on Schedule 13G is being filed by
UBS AG, for the benefit and on behalf of UBS
Securities LLC and UBS Financial Services Inc.,
two-wholly owned subsidiaries of UBS AG to which
UBS AG has delegated portions of its performance
obligations with respect to the Auction Rate
Securities Rights issued by UBS AG to certain
clients and pursuant to which the securities
reported herein have been purchased from such
clients
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Item 8.
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Identification and Classification of Members of
the Group
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Not Applicable
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Item 9
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Notice of Dissolution of Group:
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Not Applicable
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Item 10.
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Certification:
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By signing below, the undersigned certify that, to the best of
their knowledge and belief, (i) 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, and (ii) that the reporting person(s)
identified above are eligible to rely upon the Global Relief
Letter with respect to the submission of this Schedule 13G.
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Page 4 of 5
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CUSIP No.
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19247Y207; 19247Y306; 19247Y405; 19247Y504; 19247Y603;
19247Y702; 19247Y801; 19247Y850; 19247Y876; 19247Y884
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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.
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By:
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/s/ Anthony DeFilippis
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Executive Director
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Central Compliance
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By:
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/s/ Paul Sitarz
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Managing Director
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ARS Business Management
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Date: February 5, 2010
Page 5 of 5
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