-----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, Q0cDD88srthP+b2J+/MUTMhM9LvSjiHGpI9/3aORtKXaZSHeTcyHJFETkyzKC7WT fuuNo4vX9E5pczkW5FKUAw== 0000950134-01-503286.txt : 20010619 0000950134-01-503286.hdr.sgml : 20010619 ACCESSION NUMBER: 0000950134-01-503286 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010618 GROUP MEMBERS: CAROLINE HUNT TRUST ESTATE GROUP MEMBERS: FORTRESS VENTURE CAPITAL II LP GROUP MEMBERS: ROSEWOOD FINANCIAL INC GROUP MEMBERS: ROSEWOOD MANAGEMENT CORP GROUP MEMBERS: THE ROSEWOOD CORP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALAMOSA HOLDINGS INC CENTRAL INDEX KEY: 0001120102 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 752890997 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-61223 FILM NUMBER: 1662740 BUSINESS ADDRESS: STREET 1: 5225 S LOOP 289 CITY: LUBBOCK STATE: TX ZIP: 79424 BUSINESS PHONE: 8067221100 MAIL ADDRESS: STREET 1: 5225 S LOOP 289 CITY: LUBBOCK STATE: TX ZIP: 79424 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CAROLINE HUNT TRUST ESTATE CENTRAL INDEX KEY: 0001024767 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 100 CRESCENT COURT STREET 2: SUITE 1700 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2148718600 MAIL ADDRESS: STREET 1: 500 CRESCENT COURT STREET 2: SUITE 300 CITY: DALLAS STATE: TX ZIP: 75201 SC 13D/A 1 d88454a2sc13da.txt AMENDMENT NO. 2 TO SCHEDULE 13D 1 -------------------------------- OMB APPROVAL -------------------------------- OMB NUMBER: 3235-0145 Expires: October 31, 2002 Estimated average burden hours per form .............14.9 -------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* ALAMOSA HOLDINGS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE - -------------------------------------------------------------------------------- (Title of Class of Securities) 011589 10 8 - -------------------------------------------------------------------------------- (CUSIP Number) C. Jedson Nau 100 Crescent Court, Suite 1700 Dallas, Texas 75201 (214) 756-6100 (214) 756-6212 (fax) - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) MAY 25, 2001 - -------------------------------------------------------------------------------- (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 which is the subject of this Schedule 13D, and is filing this schedule because of Section 240.13d-1(e). 240.13d-1(f) or 240.13d-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 Section 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). 2 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 2 of 14 Pages - ------------------------ ------------------------ SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Caroline Hunt Trust Estate - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 7,405,506 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 803,974 OWNED BY --------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER 7,405,506 REPORTING --------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER 803,974 WITH - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,209,480* - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.93% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - -------------------------------------------------------------------------------- *Represents no net change in the number of shares Caroline Hunt Trust Estate and a subsidiary originally held in Alamosa PCS Holdings, Inc., a predecessor by merger to this issuer, in April 2000. 3 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 3 of 14 Pages - ------------------------ ------------------------ SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) The Rosewood Corporation - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 803,974 OWNED BY --------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING --------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER 803,974 WITH - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 803,974 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.87% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- 4 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 4 of 14 Pages - ------------------------ ------------------------ SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S.IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Rosewood Financial, Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 803,974 OWNED BY --------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING --------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER 803,974 WITH - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 803,974 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.87% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- 5 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 5 of 14 Pages - ------------------------ ------------------------ SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S.IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Rosewood Management Corporation - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 592,386 OWNED BY --------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING --------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER 592,386 WITH - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 592,386 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.64% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- 6 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 6 of 14 Pages - ------------------------ ------------------------ SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S.IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Fortress Venture Capital II, LP - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 592,386 OWNED BY --------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING --------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER 592,386 WITH - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 592,386 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.64% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- 7 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 7 of 14 Pages - ------------------------ ------------------------ This Amendment No. 2 to Schedule 13D (the "Amendment No. 2") amends and restates in its entirety the Schedule 13D filed by Caroline Hunt Trust Estate, The Rosewood Corporation, Rosewood Financial, Inc., Fortress Venture Capital II, L.P., and Rosewood Management Corporation by furnishing the information set forth below. This Amendment No. 2 relates to the adoption of a trading plan pursuant to Rule 10b5-1(c) by the Caroline Hunt Trust Estate, as described below under Item 4. ITEM 1. SECURITY AND ISSUER This Schedule 13D relates to the common stock, par value $0.01 (the "Common Stock") of Alamosa Holdings, Inc., a Delaware corporation ("Alamosa"). The principal executive offices of Alamosa are located at 5225 S. Loop 289, Lubbock, Texas 79424. ITEM 2. IDENTITY AND BACKGROUND This statement is filed by (i) Caroline Hunt Trust Estate ("CHTE"), (ii) The Rosewood Corporation ("Rosewood"), (iii) Rosewood Financial, Inc. ("Financial"), (iv) Fortress Venture Capital II, L.P. ("Fortress"), and (v) Rosewood Management Corporation ("Management" and together with CHTE, Rosewood, Financial, and Fortress, the "Reporting Persons"). Rosewood is a wholly-owned subsidiary of CHTE and Financial is an indirect wholly-owned subsidiary of CHTE and Rosewood Management is a wholly-owned subsidiary of Rosewood and serves as the General Partner of Fortress. An agreement among the Reporting Persons with respect to the filing of this statement is attached hereto as Exhibit 1. CHTE is a Texas trust. The principal activities of CHTE are to invest in closely held stock, other securities and ranching. Rosewood is a Texas corporation. The principal business activity of Rosewood is to act as a holding company. Financial is a Delaware corporation. The principal business activities of Financial are investing in securities for its own account. Management is a Delaware corporation. The principal business activity of Management is management and support services. Fortress is a Texas limited partnership. The principal business activity of Fortress is pursuing various investment opportunities. The limited partners of Fortress are members of the Caroline Hunt family or trusts for their benefit. The principal business and office address of each of the Reporting Persons is 100 Crescent Court, Suite 1700, Dallas, Texas 75201. The name, business address and present principal occupation or employment of the trustee and advisory board members of CHTE and each executive officer and director of Rosewood, Financial and Management are set forth on Attachment A hereto. To the knowledge of the Reporting Persons, all persons listed on Attachment A are United States citizens. During the last five years, no Reporting Persons, nor, to the best of their knowledge, any of the trustee or advisory board members of CHTE or executive officers or directors of Rosewood, Financial or Management have been (1) convicted of any criminal proceeding (excluding traffic violations or similar misdemeanors) or (2) a party to civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was 8 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 8 of 14 Pages - ------------------------ ------------------------ 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 As previously reported, on February 14, 2001, CHTE acquired 7,405,506 shares of Common Stock of Alamosa, Financial acquired 803,974 shares of Common Stock of Alamosa and Fortress acquired 592,386 shares of Common Stock of Alamosa as a result of a merger of Alamosa PCS Holdings, Inc., a Delaware corporation ("Old Alamosa"), with Alamosa. The Reporting Persons' shares of Old Alamosa common stock were exchanged for shares of Common Stock of Alamosa (the "Merger Shares" or the "Shares") at the ratio of 1:1. As a result, the Reporting Persons hold the same number of shares in Alamosa as they held in Old Alamosa in April 2000 and prior to the merger. ITEM 4. PURPOSE OF THE TRANSACTION As stated in Item 3 above, the Reporting Persons acquired the Merger Shares as a result of the merger. Depending on market conditions and other factors, the Reporting Persons and the persons listed on Attachment A may acquire additional shares as they deem appropriate, whether in open market purchases, privately negotiated transactions or otherwise. The Reporting Persons and the persons listed on Attachment A also reserve the right to dispose of some or all of their shares in the open market, in privately negotiated transactions to third parties or otherwise. Except as described in the following paragraph, none of the Reporting Persons nor, to their knowledge, any of the persons listed on Attachment A have any plans or proposals which relate to or would result in any action specified in clauses (a) through (j) of Item 4 of Schedule 13D. On May 25, 2001, CHTE entered into The Caroline Hunt Trust Estate Stock Trading Plan for Alamosa Holdings, Inc. (the "Trading Plan") with Salomon Smith Barney, Inc. (the "Broker"). The Trading Plan complies with the requirements of Rule 10b5-1(c) and permits sales to be made through the Broker on or after July 1, 2001 in accordance with the terms of Rule 145 under the Securities Act of 1933 and the terms of the Trading Plan. The Trading Plan provides for sales of a portion of the Shares held by CHTE at specified prices. CHTE has adopted the Trading Plan for diversification and liquidity purposes. Within the requirements of Rule 10b5-1(c), CHTE may modify the Trading Plan from time to time or terminate the Trading Plan at any time. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER The responses of the Reporting Persons to Items 7, 8, 9, 10, 11 and 13 on the cover pages of this statement and Attachment A relating to beneficial ownership as well as voting a dispositive power are incorporated herein by reference. The Reporting Persons indicating group status beneficially own 8,801,866 shares or 9.57% of the outstanding Common Stock of Alamosa 9 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 9 of 14 Pages - ------------------------ ------------------------ in the aggregate. The Reporting Persons indicating group status or shared voting power herein have done so by reason of their parent/subsidiary relationships only, and have no agreement, arrangement or understanding with regard to shares of Common Stock. CHTE, Rosewood and Financial disclaim beneficial ownership of any shares held by Management or Fortress, and Management and Fortress disclaim beneficial ownership of any shares held by CHTE, Rosewood or Financial. Except as set forth in Item 3 above and Attachment A hereto, no Reporting Person nor, to their knowledge, any person identified on Attachment A, has effected any transactions in shares of Common Stock during the preceding 60 days. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Other than as disclosed above, no Reporting Person nor, to their knowledge, any of the person listed on Attachment A, is a party to any other contract, arrangement, understanding or relationship, legal or otherwise, with respect to any securities of Alamosa. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Exhibit 1 Joint Filing Agreement dated June 15, 2001, entered into by and between CHTE, Rosewood, Financial, Fortress, and Management. SIGNATURE After reasonable inquiry and to the best of the undersigned's knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: June 15, 2001 CAROLINE HUNT TRUST ESTATE By: /s/ Don W. Crisp ------------------------------------- Don W. Crisp, Trustee THE ROSEWOOD CORPORATION By: /s/ C. Jedson Nau ------------------------------------- C. Jedson Nau, Senior Vice President 10 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 10 of 14 Pages - ------------------------ ------------------------ ROSEWOOD FINANCIAL, INC. By: /s/ C. Jedson Nau ------------------------------------- C. Jedson Nau, Senior Vice President FORTRESS VENTURE CAPITAL II, L.P. By: ROSEWOOD MANAGEMENT CORPORATION, its General Partner By: /s/ C. Jedson Nau ------------------------------------- C. Jedson Nau, Senior Vice President ROSEWOOD MANAGEMENT CORPORATION By: /s/ C. Jedson Nau ------------------------------------- C. Jedson Nau, Senior Vice President 11 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 11 of 14 Pages - ------------------------ ------------------------ INDEX TO EXHIBITS
EXHIBIT NUMBER DESCRIPTION - -------- ----------- Exhibit 1 Joint Filing Agreement, dated as of June 15, 2001 entered into by and between Caroline Hunt Trust Estate, Rosewood Financial, Inc., The Rosewood Corporation, Fortress Venture Capital II, L.P. and Rosewood Management Corporation.
12 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 12 of 14 Pages - ------------------------ ------------------------ Attachment A The Trustee and Advisory Board Members of Caroline Hunt Trust Estate ("CHTE") and the Directors and Executive Officers of Certain CHTE Subsidiaries
Present Amount of Price Present Principal Securities Date Per Type of Name and Position Business Address Occupation (1) Acquired Share Transaction Pledged - ----------------- ---------------- ---------- ---------- -------- ----- ----------- ------- Schuyler B. Marshall, 100 Crescent President of 28,000 2/14/01 $17.00 Director No President of Rosewood Court, Suite Rosewood (2) options (3)(2) and director and 1700 Dallas, 110,500 2/14/01 (2) executive officer of Texas 75201 (2) as trustee Financial and 500 2/14/01 (2) Management Susan L. Fish, Senior 100 Crescent Senior vice 25,183 2/14/01 (2) (2) No vice president and Court, Suite president and chief financial 1700 Dallas, chief officer of Rosewood Texas 75201 financial and director and officer of executive officer of Rosewood Financial C. Jedson Nau, Senior 100 Crescent Senior vice 10,000 2/14/01 (2) (2) No vice president and Court, Suite president and general counsel of 1700 Dallas, general Rosewood and executive Texas 75201 counsel of officer of Financial Rosewood and Management Stephen H. Sands, 100 Crescent Director of 49,365 2/14/01 (2) (2) No Director of Rosewood Court, Suite Rosewood 4500 (2) (2) as trustee and Management 1700 Dallas, Texas 75201 Laurie Sands Harrison 100 Crescent Director of 98,731 2/14/01 (2) (2) No Director of Rosewood Court, Suite Rosewood 4500 2/14/01 (2) (2) as trustee and Management 1700 Dallas, Texas 75201 David K. Sands, 100 Crescent Director of 103,731 2/14/01 (2) (2) No Director of Rosewood Court, Suite Rosewood 1500 2/14/01 (2) (2) as trustee and Management 1700 Dallas, Texas 75201 J.B. Sands, Director 100 Crescent Director of (4) (4) (4) (4) No of Rosewood and Court, Suite Rosewood 9,000 2/14/01 (2) (2) as trustee Management 1700 Dallas, Texas 75201 Patrick B. Sands, 100 Crescent Director of 174,279 2/14/01 (2) (2) No Director of Rosewood Court, Suite Rosewood 3000 2/14/01 (2) (2) as trustee and Management 1700 Dallas, Texas 75201 John M. Dziminski, 100 Crescent President of 14,810 2/14/01 (2) (2) Yes Senior vice president Court, Suite Management of Rosewood and 1700 Dallas, executive office and Texas 75201 director of Management
13 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 13 of 14 Pages - ------------------------ ------------------------ Tom Hunt, member of 5000 Chairman of (4) (4) (4) (4) No the advisory board of Thanksgiving the board and CHTE Tower, Dallas, director of Texas 75201 Hunt Petroleum Corporation and the management of personal and family interests Charles P. Summerall, 16475 Dallas Management of (4) (4) (4) (4) No member of the advisory Parkway, personal and board of CHTE Dallas, Texas family 75252 interests Don W. Crisp, Trustee 100 Crescent Chairman of 50,429 2/14/01 (2) (2) No of HCTE, member of the Court, Suite the Board of advisory board of 1700 Dallas, Rosewood CHTE, Chairman of the Texas 75201 Board of Rosewood and director of Financial and Management Ken D. Mindell, 100 Crescent Senior vice 14,000(5) 2/14/01 (2) (2) No executive officer of Court, Suite president of Management 1700 Dallas, Management Texas 75201
(1) Each of the share amounts listed below represent less than 0.19% of the outstanding shares of Common Stock. Each person listed below has the sole voting power of the shares identified for such person. (2) Acquired as Merger Shares. (3) Received as a result of the merger of Old Alamosa and Alamosa in exchange for an employee stock option to acquire 28,000 shares of Old Alamosa for $17.00 per share. (4) These persons directly own no shares of Common Stock. (5) Mr. Mindell sold 2,000 shares during May of 2001. EX-1 2 d88454a2ex1.txt JOINT FILING AGREEMENT 1 - ------------------------ ------------------------ CUSIP No. - 011589 10 8 Page 14 of 14 Pages - ------------------------ ------------------------ EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of Alamosa Holdings, Inc. and further agree that this Joint Filing Agreement be included as an Exhibit to such joint filings. In evidence thereof, the undersigned, being duly authorized, hereby execute this Agreement as of the 15th day of June, 2001. CAROLINE HUNT TRUST ESTATE By: /s/ Don W. Crisp ------------------------------------- Don W. Crisp, Trustee THE ROSEWOOD CORPORATION By: /s/ C. Jedson Nau ------------------------------------- C. Jedson Nau, Senior Vice President ROSEWOOD FINANCIAL, INC. By: /s/ C. Jedson Nau ------------------------------------- C. Jedson Nau, Senior Vice President FORTRESS VENTURE CAPITAL II, L.P. By: ROSEWOOD MANAGEMENT CORPORATION, its General Partner By: /s/ C. Jedson Nau ------------------------------------- C. Jedson Nau, Senior Vice President ROSEWOOD MANAGEMENT CORPORATION By: /s/ C. Jedson Nau ------------------------------------- C. Jedson Nau, Senior Vice President -----END PRIVACY-ENHANCED MESSAGE-----