-----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, Ffj0Om3Hy6TZ0+hfv2/aPPt/SoSFsP4HpOKk+enfgx1ccIzoQry3gN6fq2p0YEIO S6/UwLd8AaPsl6wBaO1FZA== 0000950150-02-000174.txt : 20020414 0000950150-02-000174.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950150-02-000174 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20020228 GROUP MEMBERS: DCM CAPITAL USA (UK) LIMITED GROUP MEMBERS: NTT DOCOMO, INC. FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NIPPON TELEGRAPH & TELEPHONE CORP CENTRAL INDEX KEY: 0000769594 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 000000000 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 19-2 NISHI-SHINJUKU 3-CHOME STREET 2: SHINJUKU-KU CITY: TOKYO 163-19 JAPAN STATE: M0 ZIP: 00000 MAIL ADDRESS: STREET 1: C/O 101 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10178 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AT&T WIRELESS SERVICES INC CENTRAL INDEX KEY: 0001138234 STANDARD INDUSTRIAL CLASSIFICATION: RADIO TELEPHONE COMMUNICATIONS [4812] IRS NUMBER: 911379052 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-61833 FILM NUMBER: 02562241 BUSINESS ADDRESS: STREET 1: 7277 164TH AVENUE NE BUILDING 1 CITY: REDMOND STATE: WA ZIP: 98052 BUSINESS PHONE: 4255806000 MAIL ADDRESS: STREET 1: 7277 164TH AVENUE NE STREET 2: BUILDING 1 CITY: REDMOND STATE: VA ZIP: 98052 SC 13D/A 1 a79517a3sc13da.txt AMENDMENT NO.3 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 3 AT&T WIRELESS SERVICES, INC. ------------------------------------------------------- (Name of Issuer) AT&T WIRELESS COMMON STOCK, PAR VALUE $1.00 PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 00209A 10 6 ------------------------------------------------------- (CUSIP Number) Kiyoyuki Tsujimura Managing Director-Global Business Department NTT DoCoMo, Inc. Sanno Park Tower 11-1, Nagata-cho 2-chome Chiyoda-ku Tokyo 100-6150 Japan 011-81-3-5563-2200 with a copy to: Hillel T. Cohn Squire, Sanders & Dempsey L.L.P. 801 South Figueroa Street Los Angeles, California 90017 (213) 689-5117 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 15, 2002 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If a 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 (S) (S)240.13d-1(e), 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 (S)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). - ----------------------- ------------------ CUSIP NO. 00209A 10 6 PAGE 2 OF 10 PAGES - ----------------------- ------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON NTT DOCOMO, INC. -- Not Applicable. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS BK - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Japan - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER 0 NUMBER OF -------------------------------------- SHARES 8. SHARED VOTING POWER BENEFICIALLY 474,324,764 OWNED BY EACH -------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON WITH 0 -------------------------------------- 10. SHARED DISPOSITIVE POWER 474,324,764 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT OF BENEFICIALLY OWNED BY EACH REPORTING PERSON 474,324,764 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- - ----------------------- ------------------ CUSIP NO. 00209A 10 6 PAGE 3 OF 10 PAGES - ----------------------- ------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Nippon Telegraph and Telephone Corporation -- Not Applicable. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS BK - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Japan - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER 0 NUMBER OF -------------------------------------- SHARES 8. SHARED VOTING POWER BENEFICIALLY 474,324,764 OWNED BY EACH -------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON WITH 0 -------------------------------------- 10. SHARED DISPOSITIVE POWER 474,324,764 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT OF BENEFICIALLY OWNED BY EACH REPORTING PERSON 474,324,764 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON HC, CO - -------------------------------------------------------------------------------- - ----------------------- ------------------ CUSIP NO. 00209A 10 6 PAGE 4 OF 10 PAGES - ----------------------- ------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON DCM Capital USA (UK) Limited -- Not Applicable. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS BK - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION England and Wales - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER 0 NUMBER OF -------------------------------------- SHARES 8. SHARED VOTING POWER BENEFICIALLY 474,324,764 OWNED BY EACH -------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON WITH 0 -------------------------------------- 10. SHARED DISPOSITIVE POWER 474,324,764 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT OF BENEFICIALLY OWNED BY EACH REPORTING PERSON 474,324,764 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- This Amendment No. 3 amends the Schedule 13D originally filed on January 8, 2001 (the "Schedule 13D"), by NTT DoCoMo, Inc. ("DoCoMo") which related to the Wireless Group Common Stock, par value $1.00 per share of AT&T Corp. ("AT&T"). The purpose of Amendment No. 3 is to amend Items 3 and 5 with respect to the acquisition of shares by DCM Capital USA (UK) Limited ("DCM Capital") pursuant to preemptive rights. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. Item 3 of the Schedule 13D is hereby amended by adding the following paragraph at the end of Item 3. DoCoMo utilized funds obtained through short term borrowings from various lenders to acquire on February 15, 2002 an additional 26,320,602 shares of AT&T Wireless Common Stock pursuant to the exercise of its preemptive rights as more fully described in Item 5 below. The aggregate purchase price for such shares was $375,858,196.56. A summary of such borrowing arrangements is filed as an exhibit hereto and is incorporated by reference herein. Certain confidential portions have been omitted from the exhibit and are filed separately with the Securities and Exchange Commission. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Item 5 of the Schedule 13D is hereby amended by adding the following paragraphs at the end of Item 5(a). On December 21, 2001, DoCoMo notified AT&T Wireless that it was exercising its preemptive rights with respect to AT&T Wireless Common Stock, which AT&T Wireless intended to issue in connection with its acquisition of Telecorp PCS, Inc. ("Telecorp") (the "Telecorp Transaction"). DoCoMo notified AT&T Wireless that it was exercising its preemptive rights to acquire the maximum number of shares to which it would be entitled pursuant to the Investor Agreement among DoCoMo, AT&T Wireless and AT&T, dated as of December 20, 2000. For a further description of the Telecorp Transaction, please see Amendment No. 2 to Schedule 13D filed by DoCoMo on December 31, 2001. On February 15, 2002, the Telecorp Transaction closed and pursuant to the exercise of its preemptive rights DCM Capital acquired an additional 26,320,602 shares of AT&T Wireless Common Stock. As a result, DCM Capital directly beneficially owns 474,324,764 shares of AT&T Wireless Common Stock (including previously held Warrants to acquire 41,748,273 shares of AT&T Wireless Common Stock), which represents approximately 16% of the outstanding shares of AT&T Wireless Common Stock. As a result of the transaction set forth above, DoCoMo indirectly beneficially owns (by virtue of DoCoMo's 100% ownership of DCM Capital) and NTT indirectly beneficially owns (by virtue of NTT's approximate 64% ownership of DoCoMo) 474,324,764 shares of AT&T Wireless Common Stock (including previously held Warrants to acquire 41,748,273 shares of AT&T Wireless Common Stock), which represents approximately 16% of the outstanding shares of AT&T Wireless. ITEM 7 MATERIAL TO BE FILED AS EXHIBITS Item 7 of the Schedule 13D is hereby amended by adding the following exhibit.
Exhibit No. Description ----------- ----------- *6 Summary of the principal terms of Promissory Notes, dated February 14, 2002, and related arrangements between NTT DoCoMo, Inc. and various lenders.
* Certain confidential portions of the summary are omitted pursuant to a request for confidential treatment and are separately filed with the Securities and Exchange Commission. 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. Dated: February 27, 2002 NTT DOCOMO, INC. By: /s/ Yoshinori Uda ----------------------------------- Name: Yoshinori Uda Title: Senior Executive Vice President 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. Dated: February 27, 2002 NIPPON TELEGRAPH AND TELEPHONE CORPORATION By: /s/ KANJI KOIDE ------------------------------------- Name: Kanji Koide Title: Senior Vice President 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. Dated: February 27, 2002 DCM CAPITAL USA (UK) LIMITED By: /s/ MASAO UMEZU ------------------------------------- Name: Masao Umezu Title: Director EXHIBIT INDEX
Exhibit No. Description ----------- ----------- *6 Summary of the principal terms of Promissory Notes, dated February 14, 2002, and related arrangements between NTT DoCoMo, Inc. and various lenders.
* Certain confidential portions of the summary are omitted pursuant to a request for confidential treatment and are separately filed with the Securities and Exchange Commission. EX-6 3 a79517a3ex6.txt EXHIBIT 6 EXHIBIT 6 Summary of the Principal Terms of Promissory Notes, dated February 14, 2002, and Related Arrangements Between NTT DoCoMo, Inc. and Various Lenders Borrower: NTT DoCoMo, Inc. Lenders and Principal Amounts: The Bank of Tokyo-Mitsubishi, Limited (US$ 135,858,196.56) Sumitomo Mitsui Banking Corporation (US$ 120,000,000.00) The Industrial Bank of Japan, Limited (US$ 120,000,000.00) Principal Terms common to the funding arrangements with each Lender: 1. Due Date: March 28, 2002 2. Interest Rate: Base rate = an interest rate per annum equal to LIBOR for US dollars published by the British Bankers Association at or around 11:00 a.m., two London Business Days prior to the proposed date of the Promissory Note Spread = *** 3. Payment of principal and interest: On maturity date 4. Collateral: Unsecured 5. Other Fees: None 6. Principal covenants of Borrower: a. To inform the Lender of the occurrence of any event of default; b. To inform the Lender of any material adverse change in the assets, management or business conditions of the Borrower; and c. To comply with applicable laws and regulations, and to continue to conduct its business as currently conducted. 7. Events of Default: a. If any proceeding is commenced against the Borrower seeking to adjudicate it a bankrupt entity, or seeking a corporate reorganization, rehabilitation or similar remedies; *** Portions of this page have been omitted pursuant to a request for confidential treatment and are filed separately with the Securities and Exchange Commission. b. If the Borrower's privileges to effect transactions on the commercial clearing house are suspended; c. If any court order for attachment or provisional attachment is rendered against the Borrower for the benefit of the Lender; d. If the Borrower abandons its principal facilities and the Lender is unable to locate the Borrower; e. If the Borrower defaults in payment of any amounts payable to the Lender; f. If the Borrower breaches any covenant made to the Lender with respect to this funding; or g. If there is any material adverse effect on the Borrower's business or assets, and it is necessary to protect the Lender's interest in the Promissory Note. -----END PRIVACY-ENHANCED MESSAGE-----