-----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, RFRH5drHTrGoX48q4Qti/BdApXaIv2Ko193118b2FQvNSpnc7mnR7A8UUqKCAeaF hGNqCyKvuFn1Bu5Ie8ckmA== 0000897069-04-002151.txt : 20041217 0000897069-04-002151.hdr.sgml : 20041217 20041217161836 ACCESSION NUMBER: 0000897069-04-002151 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20041217 DATE AS OF CHANGE: 20041217 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRAILER BRIDGE INC CENTRAL INDEX KEY: 0001039184 STANDARD INDUSTRIAL CLASSIFICATION: TRUCKING (NO LOCAL) [4213] IRS NUMBER: 133617986 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-52569 FILM NUMBER: 041211607 BUSINESS ADDRESS: STREET 1: 10405 NEW BERLIN ROAD STREET 2: EAST CITY: JACKSONVILLE STATE: FL ZIP: 32226 BUSINESS PHONE: 9047517100 MAIL ADDRESS: STREET 1: 10405 NEW BERLIN ROAD STREET 2: EAST CITY: JACKSONVILLE STATE: FL ZIP: 32226 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MCCOWN JOHN D CENTRAL INDEX KEY: 0001177248 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 157 E 57TH STREET STREET 2: SUITE 19D CITY: NEW YORK STATE: NY ZIP: 10021 SC 13D/A 1 dkm449.txt AMENDMENT NO. 1 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) 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. 1)* TRAILER BRIDGE, INC. ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 par value ------------------------------------------------------------------------------- (Title of Class of Securities) 892782103 ------------------------------------------------------------------------ (CUSIP Number) William G. Gotimer, Jr., General Counsel Trailer Bridge, Inc. 10405 New Berlin Road East Jacksonville, Florida 32226 (904) 751-7100 ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 27, 2004 -------------------------------------------------------------------- (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 Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) 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. CUSIP No. 892782103 ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) John D. McCown - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable. - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 1,436,800 --------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 128,100 --------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 1,436,800 --------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 128,100 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,564,900 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. ================================================================================ 2 CUSIP No. 892782103 This Amendment No. 1 to the undersigned's Schedule 13D, which was originally filed on June 6, 2001 (the "Schedule 13D") by John D. McCown, an individual whose address is 157 E. 57th Street, Suite 19D, New York, New York 10022 (the "Reporting Person") with regard to TRAILER BRIDGE, INC., a Delaware corporation (the "Issuer"), is being filed to amend certain Items of the Schedule 13D. Item 4. Purpose of Transaction. On September 27, 2004, Mr. McCown resigned his position as executor of the Estate of Malcom P. McLean (the "Estate"), the founder and principal stockholder of the Issuer. By reason of his resignation, Mr. McCown is no longer vested with sole voting and investment power with respect to the shares of Common Stock owned by the Estate. Item 5. Interest in Securities of the Issuer. Item 5 is hereby amended in its entirety to read as follows: (a) and (b) Mr. McCown beneficially owns an aggregate of 1,564,900 shares of the Common Stock, constituting approximately 13.3% of the 11,752,277 shares outstanding as of September 30, 2004, which includes the right to acquire 942,000 shares of Common Stock pursuant to immediately exercisable options. Such Common Stock and rights to acquire Common Stock consist of the following: (i) 475,100 shares (approximately 4% of the total number of shares outstanding) are owned beneficially by Mr. McCown. Mr. McCown has sole dispositive and voting power over such shares. (ii) 2,700 shares (less than 1% of the total number of shares outstanding) are held by Mr. McCown's son. Mr. McCown shares voting and dispositive power with respect to the shares and thus may be deemed the beneficial owner of such shares. (iii) 2,700 shares (less than 1% of the total number of shares outstanding) are held by Mr. McCown's daughter. Mr. McCown shares voting and dispositive power with respect to the shares and thus may be deemed the beneficial owner of such shares. (iv) 122,700 shares (approximately 1% of the total number of shares outstanding) are held by Mr. McCown's spouse. Mr. McCown shares voting and dispositive power with respect to the shares and thus may be deemed the beneficial owner of such shares. (v) 19,700 shares (less than 1% of the total number of shares outstanding) are held by Mr. McCown's individual retirement account (IRA). Mr. McCown has sole voting and dispositive power with respect to the shares and thus may be deemed the beneficial owner of such shares. (vi) 942,000 shares (approximately 8% of the total number of shares outstanding) are subject to immediately exercisable options to acquire granted to Mr. McCown by Malcom P. McLean in May 1997. (c) During the 60 day period ended as of the date hereof, the only transactions in the Common Stock effected by the Reporting Person were the following open market purchases: 3 CUSIP No. 892782103
Number of Shares Date of Transaction Price Per Share Held By - ---------------------------------------------------------------------------------------------------------------------- 500 October 13, 2004 $5.30 Reporting Person - ---------------------------------------------------------------------------------------------------------------------- 300 October 14, 2004 $5.28 Reporting Person - ---------------------------------------------------------------------------------------------------------------------- 1,000 November 10, 2004 $5.02 Reporting Person - ---------------------------------------------------------------------------------------------------------------------- 1,000 November 10, 2004 $5.95 Reporting Person - ---------------------------------------------------------------------------------------------------------------------- 500 November 10, 2004 $5.23 Reporting Person's wife - ---------------------------------------------------------------------------------------------------------------------- 800 November 18, 2004 $6.46 Reporting Person - ---------------------------------------------------------------------------------------------------------------------- 1,000 November 19, 2004 $6.50 Reporting Person - ---------------------------------------------------------------------------------------------------------------------- 1,500 December 1, 2004 $6.50 Reporting Person - ---------------------------------------------------------------------------------------------------------------------- 1,000 December 2, 2004 $6.44 Reporting Person - ---------------------------------------------------------------------------------------------------------------------- 100 December 2, 2004 $6.52 Reporting Person's wife - ---------------------------------------------------------------------------------------------------------------------- 100 December 2, 2004 $6.52 Reporting Person's daughter - ---------------------------------------------------------------------------------------------------------------------- 100 December 2, 2004 $6.52 Reporting Person's son - ---------------------------------------------------------------------------------------------------------------------- 300 December 8, 2004 $8.84 Reporting Person - ---------------------------------------------------------------------------------------------------------------------- 200 December 14, 2004 $8.44 Reporting Person - ----------------------------------------------------------------------------------------------------------------------
(d) Any dividends on the 2,700 shares of the Common Stock (constituting less than 1% of the total number of shares outstanding) owned by Mr. McCown's daughter and the proceeds of the sale thereof will be paid to Mr. McCown's daughter. Any dividends on the 2,700 shares of the Common Stock (constituting less than 1% of the total number of shares outstanding) owned by Mr. McCown's son and the proceeds of the sale thereof will be paid to Mr. McCown's son. Any dividends on the 122,700 shares of the Common Stock (constituting approximately 1% of the total number of shares outstanding) owned by Mr. McCown's spouse and the proceeds of the sale thereof will be paid to Mr. McCown's spouse. Any dividends on the 942,000 shares of the Common Stock (constituting approximately 8% of the total number of shares outstanding) subject to Mr. McCown's immediately exercisable options to acquire and the proceeds of the sale thereof will be paid to the Estate of Malcom P. McLean until the options are exercised by Mr. McCown. No other persons have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of the shares of the Common Stock. (e) Not applicable [The remainder of this page is intentionally left blank.] 4 CUSIP No. 892782103 SIGNATURES 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. Date: December 17, 2004 /s/ John D. McCown ---------------------------------------- John D. McCown -----END PRIVACY-ENHANCED MESSAGE-----