-----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, KJ73U5p9KGktcUO16W9PPKboJ+NSzY1t6FUIfeLFd9D39l6pC/EBgB24aqpo0aqz NlAKA145vjvstQJiyJWhYg== 0000938775-02-000012.txt : 20020414 0000938775-02-000012.hdr.sgml : 20020414 ACCESSION NUMBER: 0000938775-02-000012 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHWEST AIRLINES CORP CENTRAL INDEX KEY: 0001058033 STANDARD INDUSTRIAL CLASSIFICATION: AIR TRANSPORTATION, SCHEDULED [4512] IRS NUMBER: 411905580 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-55877 FILM NUMBER: 02547747 BUSINESS ADDRESS: STREET 1: 2700 LONE OAK PKWY CITY: EAGAN STATE: MN ZIP: 55121 BUSINESS PHONE: 6127262111 MAIL ADDRESS: STREET 1: 5101 NORTHWEST DR CITY: ST PAUL STATE: MN ZIP: 55111-3034 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BLUM CAPITAL PARTNERS LP CENTRAL INDEX KEY: 0000938775 IRS NUMBER: 943205364 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 909 MONTGOMERY STREET # 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4154341111 MAIL ADDRESS: STREET 1: 909 MONTGOMERY STREET STREET 2: SUITE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94133 FORMER COMPANY: FORMER CONFORMED NAME: BLUM RICHARD C & ASSOCIATES L P DATE OF NAME CHANGE: 19970219 SC 13G/A 1 nwa13g5.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* NORTHWEST AIRLINES CORPORATION ------------------------------ (Name of Issuer) Class A Common Stock, Par Value $0.01 ------------------------------------- (Title of Class of Securities) 667280-10-1 ----------- (CUSIP Number) December 31, 2001 ------------------ (Date of Event which Requires Filing of this Statement) *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 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). Page 1 of 10 CUSIP NO. 667280-10-1 SCHEDULE 13G Page 2 of 10 - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON BLUM CAPITAL PARTNERS, L.P. (formerly RICHARD C. BLUM & ASSOCIATES, L.P.) S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 94-3205364 - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] - ------------------------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------ 5. SOLE VOTING POWER -0- NUMBER OF ----------------------------------------------------------- SHARES 6. SHARED VOTING POWER 1,429,880** BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- PERSON WITH 7. SOLE DISPOSITIVE POWER -0- ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 1,429,880** - ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,429,880** - ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.7%** - ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON IA, PN - ------------------------------------------------------------------------------ ** See response to Item 4 below *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 667280-10-1 SCHEDULE 13G Page 3 of 10 - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON RICHARD C. BLUM & ASSOCIATES, INC. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 94-2967812 - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] - ------------------------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------ 5. SOLE VOTING POWER -0- NUMBER OF ----------------------------------------------------------- SHARES 6. SHARED VOTING POWER 1,429,880** BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- PERSON WITH 7. SOLE DISPOSITIVE POWER -0- ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 1,429,880** - ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,429,880** - ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.7%** - ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON CO - ------------------------------------------------------------------------------ ** See response to Item 4 below *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 667280-10-1 SCHEDULE 13G Page 4 of 10 - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON RICHARD C. BLUM S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] - ------------------------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------ 5. SOLE VOTING POWER -0- NUMBER OF ----------------------------------------------------------- SHARES 6. SHARED VOTING POWER 1,429,880** BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- PERSON WITH 7. SOLE DISPOSITIVE POWER -0- ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 1,429,880** - ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,429,880** - ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.7%** - ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON IN - ------------------------------------------------------------------------------ ** See response to Item 4 below *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 667280-10-1 SCHEDULE 13G Page 5 of 10 Item 1(a). Name of Issuer. - ------------------------- Northwest Airlines Corporation (the "Issuer") Item 1(b). Address of Issuer's Principal Executive Offices. - ---------------------------------------------------------- 2700 Lone Oak Parkway, Eagan, MN 55121 Item 2(a). Name of Persons Filing. - ---------------------------------- Reference is made to Item 1 of each of the cover pages of this Schedule, which Items are incorporated by reference herein. Item 2(b). Address of Principal Business Office or, in None, Residence. - ----------------------------------------------------------------------- The address of each reporting person is 909 Montgomery Street, Suite 400, San Francisco, California 94133. Item 2(c). Citizenship. - ----------------------- Reference is made to Item 4 of each of the cover pages of this Schedule, which Items are incorporated by reference herein. Item 2(d). Title of Class of Securities. - ---------------------------------------- Class A Common Stock, $0.01 par value ("Common Stock"). Item 2(e). CUSIP Number. - ------------------------ 667280-10-1 Item 3. Type of Reporting Person. - --------------------------------- (e) [X] Investment Advisor registered under section 203 of the Investment Advisors Act of 1940. CUSIP NO. 667280-10-1 SCHEDULE 13G Page 6 of 10 Item 4. Ownership. - ------------------ Reference is hereby made to Items 5-9 and 11 of each of the cover pages to this Schedule, which Items are incorporated by reference herein. At December 31, 2001, the following shares of Common Stock were held directly by the following persons: Person Common Stock - -------------------------------- ------------- Richard C. Blum & Associates-NWA 459,649 Partners, L.P. ("RCBA-NWA") Blum Capital Partners, L.P. ("BLUM L.P.") 135,477 (formerly Richard C. Blum & Associates, L.P.) Richard C. Blum & Associates, Inc. ("RCBA Inc.") 3,919 Investment advisory client accounts 830,835 for which BLUM L.P. has voting and investment discretion The general partner of RCBA-NWA is BLUM L.P. BLUM L.P. has voting and investment discretion for three investment advisory client accounts on whose behalf shares of the Issuer have been acquired. The general partner of BLUM L.P. is RCBA Inc. Richard C. Blum is a controlling person and chairman of RCBA Inc., and a limited partner of BLUM L.P. Because voting and investment decisions concerning the above securities may be made by or in conjunction with the other reporting persons, each of the reporting persons may be deemed a member of a group that shares voting and dispositive power over all of the above securities. Although the reporting persons are reporting such securities as if they were members of a group, the filing of this Schedule shall not be construed as an admission by any reporting person that it is a beneficial owner of any securities other than those directly held by such reporting person. As chairman, director and a substantial shareholder of RCBA, Inc., Mr. Blum might be deemed to be the beneficial owner of the securities beneficially owned by RCBA Inc., BLUM L.P. and RCBA-NWA. Mr. Blum reserves the right to disclaim beneficial ownership of securities beneficially owned by such entities. Although Mr. Blum is joining in this Amendment as a reporting person, the filing of this Amendment shall not be construed as an admission that he, or any of the other shareholders, directors or executive officers of RCBA Inc. is, for any purpose, the beneficial owner of any of the securities that are beneficially owned by such entities. Mr. Blum is also a director of the Issuer. CUSIP NO. 667280-10-1 SCHEDULE 13G Page 7 of 10 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. [X] Item 6. Ownership of More than Five Percent on Behalf of Another Person. - ------------------------------------------------------------------------ Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. - ---------------------------------------------------------------------------- Not applicable Item 8. Identification and Classification of Members of the Group. - ------------------------------------------------------------------ Not applicable Item 9. Dissolution of Group. - ----------------------------- Not applicable Item 10. Certification. - ----------------------- Not applicable CUSIP NO. 667280-10-1 SCHEDULE 13G Page 8 of 10 SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: February 14, 2002 RICHARD C. BLUM & ASSOCIATES-NWA PARTNERS, L.P. By: Blum Capital Partners, L.P., its general partner By: Richard C. Blum & Associates, Inc., its general partner By: /s/ Murray A. Indick -------------------------------------- Murray A. Indick Partner and General Counsel BLUM CAPITAL PARTNERS, L.P. By: Richard C. Blum & Associates, Inc., its general partner By: /s/ Murray A. Indick --------------------------------------- Murray A. Indick Partner and General Counsel RICHARD C. BLUM & ASSOCIATES, INC. By: /s/ Murray A. Indick --------------------------------------- Murray A. Indick Partner, General Counsel and Secretary RICHARD C. BLUM /s/ Murray A. Indick - ------------------------------------------- By: Murray A. Indick, Attorney-in-Fact CUSIP NO. 667280-10-1 SCHEDULE 13G Page 9 of 10 EXHIBIT INDEX Exhibit A Joint Filing Undertaking CUSIP NO. 667280-10-1 SCHEDULE 13G Page 10 of 10 Exhibit A JOINT FILING UNDERTAKING The undersigned, being duly authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13D to evidence the agreement of the below-named parties, in accordance with the rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule jointly on behalf of each such party. Dated: February 14, 2002 RICHARD C. BLUM & ASSOCIATES-NWA PARTNERS, L.P. By: Blum Capital Partners, L.P., its general partner By: Richard C. Blum & Associates, Inc., its general partner By: /s/ Murray A. Indick -------------------------------------- Murray A. Indick Partner and General Counsel BLUM CAPITAL PARTNERS, L.P. By: Richard C. Blum & Associates, Inc., its general partner By: /s/ Murray A. Indick --------------------------------------- Murray A. Indick Partner and General Counsel RICHARD C. BLUM & ASSOCIATES, INC. By: /s/ Murray A. Indick --------------------------------------- Murray A. Indick Partner, General Counsel and Secretary RICHARD C. BLUM /s/ Murray A. Indick - ------------------------------------------- By: Murray A. Indick, Attorney-in-Fact -----END PRIVACY-ENHANCED MESSAGE-----