-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NfdP4GnZmJbLO4zBrtWZBl4H/rnz8+5fWxov1KtMzNasnB1T1x1Cg8WVuuxzGGqS 1uaxzKk8WTHIjQ646DjPQQ== 0000904548-09-000013.txt : 20091110 0000904548-09-000013.hdr.sgml : 20091110 20091110162645 ACCESSION NUMBER: 0000904548-09-000013 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20091110 DATE AS OF CHANGE: 20091110 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ERGEN CHARLES W CENTRAL INDEX KEY: 0000904548 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: 9601 S. MERIDIAN BLVD. CITY: ENGLEWOOD STATE: CO ZIP: 80112 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DISH Network CORP CENTRAL INDEX KEY: 0001001082 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] IRS NUMBER: 880336997 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46313 FILM NUMBER: 091172349 BUSINESS ADDRESS: STREET 1: 9601 S. MERIDIAN BLVD. CITY: ENGLEWOOD STATE: CO ZIP: 80112 BUSINESS PHONE: 3037231000 MAIL ADDRESS: STREET 1: 9601 S. MERIDIAN BLVD. CITY: ENGLEWOOD STATE: CO ZIP: 80112 FORMER COMPANY: FORMER CONFORMED NAME: ECHOSTAR COMMUNICATIONS CORP DATE OF NAME CHANGE: 19950919 SC 13D/A 1 ergendishnetwork13d_a.htm ERGEN DISH NETWORK 13D/A ergendishnetwork13d_a.htm
 
 
 
UNITED STATES
 SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D/A

Under the Securities Exchange Act of 1934
 (Amendment No. 8)*
DISH NETWORK CORPORATION
(Name of Issuer)
 
 
 
 
CLASS A COMMON STOCK, $0.01 PAR VALUE PER SHARE
 (Title of Class of Securities)
 
 
 
278762109
 (CUSIP Number)
 
 
 
 R. Stanton Dodge
Executive Vice President, General Counsel and Secretary
 DISH Network Corporation
 9601 S. Meridian Blvd.
 Englewood, Colorado 80112
 (303) 723-1000
(Name, Address and Telephone Number of Person
 Authorized to Receive Notices and Communications)
 
 
 
November 9, 2009
 (Date of Event Which Requires Filing of this Statement)
 

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 §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-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 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).


Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 
 
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CUSIP No. 278762109
 

 
1.
NAME OF REPORTING PERSON
 
Charles W. Ergen

 
 
2.           CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:(a)¨
 
(b)
¨
 
 
 
 
3.           SEC Use Only
 
 
 
 
4.
SOURCE OF FUNDS
 
OO
 
5.
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)   ¨
 
 
 
 
6.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
 
U.S.A.
 
 
 
 
 
 
 
 
 
 
 
Number Of Shares Beneficially Owned By Each Reporting Person With
7.        SOLE VOTING POWER
216,906,601 VOTING SHARES (1)
1,170,000 SIXTY DAY SHARES (2)
 
 
 
8.        SHARED VOTING POWER
  1,508 OTHER SHARES (3)
 
9.        SOLE DISPOSITIVE POWER
216,906,601 VOTING SHARES (1)
1,170,000  SIXTY DAY SHARES (2)
 
 
10.        SHARED DISPOSITIVE POWER
    1,508 OTHER SHARES (3)
 
11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY THE REPORTING PERSON
 
    218,078,109
 
 
 
 
12.
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*     ¨
 
 

 
13.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
 
Approximately 51.2% (4)
 
 
 
 
14.
TYPE OF REPORTING PERSON
 
 
IN
 
 
 
 

 

 
 
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(1) “Voting Shares” include all shares of Class A Common Stock (“Class A Common Stock”) and Class B Common Stock (“Class B Common Stock”) of DISH Network Corporation (“DISH Network”) of which Mr. Ergen is the sole beneficial owner.  The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.  The Voting Shares represent:  (i) 448,652 shares of Class A Common Stock owned beneficially directly by Mr. Ergen; (ii) 18,833 shares of Class A Common Stock owned beneficially indirectly by Mr. Ergen in DISH Network’s 401(k) Employee Savings Plan; (iii) 27,175 shares of Class A Common Stock owned beneficially by Mr. Ergen as custodian for his minor children; and (iv) 216,411,941 shares of Class B Common Stock owned beneficially directly by Mr. Ergen.

(2)  “Sixty Day Shares” are shares of Class A Common Stock deemed to be owned beneficially under Rule 13d- 3(d)(1) because Mr. Ergen has the right to acquire beneficial ownership of such shares within 60 days of the date hereof. Upon acquisition by Mr. Ergen, these shares will become Voting Shares.

(3) “Other Shares” represent (i) 235 shares of Class A Common Stock owned beneficially by Mr. Ergen’s spouse, Cantey Ergen; and (ii) 1,273 shares of Class A Common Stock owned beneficially in Mrs. Ergen’s 401(k) Plan.

(4) Based on 208,431,475 shares of Class A Common Stock outstanding on November 6, 2009 and assuming conversion of the shares of Class B Common Stock held by the Reporting Person into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the Reporting Person may be deemed to own beneficially would be approximately 48.7%. Because each share of Class B Common Stock is entitled to 10 votes per share, the Reporting Person owns beneficially equity securities of the Company representing approximately 83.5% of the voting power of the Company (assuming no conversion of the Class B Common Stock).
 

 

 
 
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ITEM 4.         Purpose of Transaction.
 
Item 4 is hereby amended and supplemented as follows:

During the fourth quarter of each year, Mr. Ergen receives an annuity amount from each of the GRATs under the trust agreements governing the GRATs, assuming that the particular GRAT has not yet expired.  The number of shares of Class B Common Stock to be distributed as an annuity payment is based in part on the price of the stock on the distribution date and therefore cannot be calculated until the date of distribution.  On November 9, 2009, GRAT #3 distributed all 3,466,857 shares of Class B Common Stock held by GRAT #3 to Mr. Ergen as an annuity payment. GRAT #3 expired in accordance with its terms on November 9, 2009. On November 9, 2009, GRAT #4 distributed 3,649,059 shares of Class B Common Stock to Mr. Ergen as an annuity payment. GRAT #4 will expire in accordance with its terms on November 9, 2010.

ITEM 5.         Interest in Securities of the Issuer.
 
Item 5 is hereby amended and restated as follows:
 
(a) and (b)  Mr. Ergen beneficially owns securities convertible into or exercisable for 218,078,109  shares of Class A Common Stock representing 51.2% of the class after giving effect to conversion and exercise of all derivative securities held by Mr. Ergen.  Such shares include: (i) 448,652 shares of Class A Common Stock; (ii) 18,833 shares of Class A Common Stock held in the Company’s 401(k) Employee Savings Plan (the “401(k) Plan”); (iii) the right to acquire 1,170,000  shares of Class A Common Stock within 60 days upon the exercise of employee stock options; (iv) 235 shares of Class A Common Stock held by Mr. Ergen’s spouse, Cantey Ergen; (v) 1,273 shares of Class A Common Stock held in the 401(k) Plan by Mrs. Ergen; (vi) 27,175 shares of Class A Common Stock  held as custodian for Mr. Ergen’s children; and (vii)  216,411,941 shares of Class A Common Stock issuable upon conversion of Mr. Ergen’s shares of Class B Common Stock.  Mr. Ergen has sole voting power with respect to 216,906,601 shares and holds sole dispositive power with respect to 216,906,601 shares.  Mr. Ergen’s beneficial ownership of shares of Class A Common Stock excludes: (A)  2,135,923 shares of Class A Common Stock issuable upon conversion of shares of Class B Common Stock currently held by GRAT #4, (B) 15,642,193 shares of Class A Common Stock issuable upon conversion of shares of Class B Common Stock currently held by the 2008 GRAT; and (C) 4,245,151 shares of Class A Common Stock issuable upon conversion of shares of Class B Common Stock held by certain trusts established by Mr. Ergen for the benefit of his family.  
 
 

 
            (c) Except as set forth herein, Mr. Ergen does not have beneficial ownership of, and has not engaged in any transaction during the past 60 days in, any shares of Class A Common Stock.
   
    (d) Not applicable.
   
    (e) Not applicable.



 
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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.

CHARLES W. ERGEN
 
Dated: November 10, 2009                                   /s/ Charles W. Ergen                                                                                             
Charles W. Ergen
 

Attention:  Intentional misstatements or omissions of fact
constitutes Federal criminal violations (See 18 U.S.C. 1001)


 
 
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