UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-1)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND
AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)
(Amendment No. __)
Regency Centers Corporation
(Name of Issuer)
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Common Stock
(Title of Class of Securities)
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758849103
(CUSIP NUMBER)
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Robert C. Dinerstein, Esq.
UBS AG
299 Park Avenue
New York, New York 10171
(212) 821-3000
(Name, address and telephone number of person authorized to receive notices
and communications)
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February 11, 2004
(Date of Event That Requires Filing of this Statement)
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If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following
box. / X /
Note. Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See Rule 13d-7 for
other parties to whom copies are to be sent.
* 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 on 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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1
1 Name of Reporting Person
UBS AG
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2 Check the Appropriate Box if a Member of a Group
a [ ]
b [ ]
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3 SEC USE ONLY
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4 Source of Funds
BK
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5 Check box if disclosure of legal proceedings is required pursuant to
Item 2(d) or 2(e)
[ ]
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6 Citizenship or Place of Organization
Switzerland
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Number of Shares Beneficially Owned by Each Reporting Person With:
7. Sole Voting Power: 4,234,008
8. Shared Voting Power: 0
9. Sole Dispositive Power: 4,234,008
10. Shared Dispositive Power: 0
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11 Aggregate Amount Beneficially Owned by Each Reporting Person
4,234,008*
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12 Check if the Aggregate Amount in Row (11) Excludes Certain Shares
[ ]
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13 Percent of Class Represented by Amount in Row (11)
7.07%
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14 Type of Reporting Person
BK
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* UBS AG disclaims beneficial ownership of these securities.
2
1 Name of Reporting Person
UBS Americas Inc.
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2 Check the Appropriate Box if a Member of a Group
a [ ]
b [ ]
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3 SEC USE ONLY
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4 Source of Funds
BK
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5 Check box if disclosure of legal proceedings is required pursuant to
Item 2(d) or 2(e)
[ ]
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6 Citizenship or Place of Organization
Delaware
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Number of Shares Beneficially Owned by Each Reporting Person With:
7. Sole Voting Power: 4,234,008
8. Shared Voting Power: 0
9. Sole Dispositive Power: 4,234,008
10. Shared Dispositive Power: 0
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11 Aggregate Amount Beneficially Owned by Each Reporting Person
4,234,008*
--------------------------------------------------------------------------------
12 Check if the Aggregate Amount in Row (11) Excludes Certain Shares
[ ]
--------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
7.07%
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14 Type of Reporting Person
OO
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* UBS Americas Inc. disclaims beneficial ownership of these securities.
3
Item 1. Security and Issuer
Common Stock
Regency Centers Corporation
121 West Forsyth St.
Jacksonville, FL 32202
Item 2. Identity and Background
UBS AG and UBS Americas Inc.
Principal business: UBS AG is a major international banking and financial firm.
UBS AG's principal business office is located at:
Bahnhofstrasse 45
8021, Zurich, Switzerland
UBS Americas Inc.'s principal business office is located at:
677 Washington Blvd.
Stamford, CT 06901
UBS AG has not, during the last five years, been convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors). UBS AG was
not, during the last five years, a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction and as a result of such proceeding
was or is subject to a judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject to, federal or
state securities laws or finding any violation with respect to such laws.
Item 3. Source and Amount of Funds or Other Consideration
The source of funds for the purchases of the Common Stock (as defined above in
Item 1) was working capital of UBS AG and the affiliates that purchased the
subject securities.
Item 4. Purpose of Transaction
The shares of Common Stock were transferred to UBS Portfolio LLC, an entity
wholly owned by UBS AG, for investment and propriety trading purposes (but not
with the purpose or effect of changing or influencing control of Regency
Centers Corporation). Except as otherwise described herein, none of the
reporting persons has any plans or proposals relating to or which would result
in any of the transactions described in Items 4(a) - (j) of Schedule 13D.
Item 5. Interest in Securities of the Issuer
As of the date of the event requiring the filing of this schedule, UBS AG
beneficially owns (but disclaims such beneficial ownership) 4,234,008 shares of
Common Stock of Regency Centers Corporation, or 7.07% of the class outstanding,
as reported in the New York Times on February 11, 2004.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to
Securities of the Issuer
To the best knowledge of UBS AG, no contracts, arrangements, understandings or
relationships (legal or otherwise) exist UBS AG and any other person with
respect to the securities of the Issuer.
Item 7. Material to be Filed as Exhibits
None
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SIGNATURES
After reasonable inquiry and to the best of the knowledge and belief of
the undersigned, the undersigned certifies that the information set forth in
this statement is true, complete and correct.
UBS AG
By: /s/ Robert C. Dinerstein
Robert C. Dinerstein
Managing Director
By: /s/ Per Dyrvik
Per Dyrvik
Managing Director
UBS Americas Inc.
By: /s/ Robert C. Dinerstein
Robert C. Dinerstein
Managing Director
By: /s/ Per Dyrvik
Per Dyrvik
Managing Director
Date: February 25, 2004
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AGREEMENT TO MAKE A JOINT FILING
UBS AG and UBS Americas Inc. each agrees that this Schedule 13D (including
all amendments hereto) is filed by and on behalf of each such party.
UBS AG
By: /s/ Robert C. Dinerstein
Robert C. Dinerstein
Managing Director
By: /s/ Per Dyrvik
Per Dyrvik
Managing Director
UBS Americas Inc.
By: /s/ Robert C. Dinerstein
Robert C. Dinerstein
Managing Director
By: /s/ Per Dyrvik
Per Dyrvik
Managing Director
Date: February 25, 2004
6