-----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, S43mZacLwntIBtgg5eIPm/V2iD1IBPiNGaOgDU5/LjPuR2IEtcgCmeZxFGO70sjj W9elplJTPaKGDWajnbSrWA== 0001179022-10-000016.txt : 20100216 0001179022-10-000016.hdr.sgml : 20100215 20100216104000 ACCESSION NUMBER: 0001179022-10-000016 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Smith Linda Jones CENTRAL INDEX KEY: 0001436843 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 200 CLINTON AVENUE SUITE 805 CITY: HUNTSVILLE STATE: AL ZIP: 35801 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADTRAN INC CENTRAL INDEX KEY: 0000926282 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 630918200 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44919 FILM NUMBER: 10603201 BUSINESS ADDRESS: STREET 1: 901 EXPLORER BLVD CITY: HUNTSVILLE STATE: AL ZIP: 35806 BUSINESS PHONE: 2569638000 MAIL ADDRESS: STREET 1: 901 EXPLORER BLVD CITY: HUNTSVILLE STATE: AL ZIP: 35806 SC 13G/A 1 lsmith13gamdt3.htm SCHEDULE 13G/A Schedule 13G

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

SCHEDULE 13G/A

 

(Amendment No. 3)

Under the Securities Exchange Act of 1934

 

 

ADTRAN, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

 

 

00738A106

                                (CUSIP NUMBER)                                

December 31, 2009

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

¨ Rule 13d-1(b)

x Rule 13d-1(c)

¨ Rule 13d-1(d)

 

 

   

SCHEDULE 13G

 

CUSIP No. 00738A106    

 

  1.  

NAME OF REPORTING PERSONS:

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

                LINDA JONES SMITH
  2.   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
  (a)  x
    (b)  ¨
  3.   SEC USE ONLY
     
  4.   CITIZENSHIP OR PLACE OF ORGANIZATION
                UNITED STATES

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

     5.    SOLE VOTING POWER
 
                  3,163,082
    6.    SHARED VOTING POWER
 
                         0
    7.    SOLE DISPOSITIVE POWER
 
                         0
    8.    SHARED DISPOSITIVE POWER
 
                  5,337,111(1)
  9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
                5,337,111(1)
10.   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:   ¨
     
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
               8.5 %(2)
12.   TYPE OF REPORTING PERSON
                IN

 

(1) Includes shares held as indicated by the following trusts, for which the Reporting Person is Settlor:  (a) 978,874 shares of Common Stock owned by the LJS GRAT October 2008 UAD 10/07/08 Mark Clay Smith Trustee; (b) 500,000 shares of Common Stock owned by the LJS GRAT July 2009-1 UAD 7/10/09 Mark Clay Smith Trustee; (c) 300,000 shares of Common Stock owned by the LJS GRAT October 2009-1 UAD 11/2/09 Mark Clay Smith Trustee; and (d) 300,000 shares of Common Stock owned by the LJS GRAT November 2009-1 UAD 11/30/09 Mark Clay Smith Trustee.  Also included are 95,155 shares of Common Stock owned directly by Mark Clay Smith and 3,163,082 shares of Common Stock owned by the Reporting Person.

 

(2) Based on 62,843,157 shares issued and outstanding at October 26, 2009, as reported in the Issuer's  Quarterly Report on Form 10-Q for the quarter ended September 30, 2009.

SCHEDULE 13G

 

CUSIP No. 00738A106

 

    
Item 1.  

(a).

    Name of Issuer:
     ADTRAN, Inc.
   

(b).

    Address of Issuer’s Principal Executive Offices:
    

901 Explorer Boulevard

Huntsville, AL 35806-2807

Item 2.  

(a).

    Name of Persons Filing:
     Linda Jones Smith, individually and as settlor with respect to the shares of Common Stock owned by the LJS GRAT October 2008 UAD 10/07/08 Mark Clay Smith Trustee (the "LJS GRAT 2008"), the LJS GRAT July 2009-1 UAD 7/10/09 Mark Clay Smith Trustee (the "LJS GRAT July 2009"), the LJS GRAT October 2009-1 UAD 11/2/09 Mark Clay Smith Trustee (the "LJS GRAT October 2009"), and the LJS GRAT November 2009-1 UAD 11/30/09 Mark Clay Smith Trustee (the "LJS GRAT November 2009") (collectively, the "Trusts").
   

(b).

    Address of Principal Business Office or, if None, Residence:
    

c/o Smith Asset Management Co.

200 Clinton Avenue, Suite 805

Huntsville, AL 35801

   

(c).

    Citizenship or Place of Organization:
     United States
   

(d).

    Title of Class of Securities:
     Common Stock
   

(e).

    CUSIP Number:
     00738A106
Item 3.   If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
  Not Applicable
  (a)    ¨    Broker or dealer registered under Section 15 of the Exchange Act;
  (b)    ¨    Bank as defined in Section 3(a)(6) of the Exchange Act;
  (c)    ¨    Insurance Company as defined in Section 3(a)(19) of the Exchange Act;
  (d)    ¨    Investment Company registered under Section 8 of the Investment Company Exchange Act;
  (e)    ¨    Investment Adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
  (f)    ¨    Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F);
  (g)    ¨    Parent Holding Company or Control Person in accordance with Rule 13d-1(b)(1)(ii)(G);
  (h)    ¨    Saving Association as defined in Section 3(b) of The Federal Deposit Insurance Act;
  (i)    ¨    Church Plan that is excluded from the definition of an Investment Company under Section 3(c)(14) of the Investment Company Act;
  (j)    ¨    Group, in accordance with Rule 13d-1(b)(1)(ii)(J).

 

SCHEDULE 13G

 

CUSIP No. 00738A106

 

    
Item 4.    Ownership.
   (a)    Amount beneficially owned:
      Ms. Smith may be deemed the beneficial owner of 5,337,111 shares of Common Stock. Ms. Smith has sole voting power over 3,163,082 shares of Common Stock, which are held directly by Ms. Smith; additionally, Ms. Smith may be deemed to have shared dispositive power over (i) 978,874 shares of Common Stock owned by the LJS GRAT 2008; (ii) 500,000 shares of Common Stock owned by the LJS GRAT July 2009; (iii) 300,000 shares of Common Stock owned by the LJS GRAT October 2009; and (iv) 300,000 shares of Common Stock owned by the LJS GRAT November 2009.  Ms. Smith also may be deemed to have shared dispositive power over 95,155 shares of Common Stock owned directly by Mark Clay Smith.  Ms. Smith disclaims beneficial ownership of the shares of Common Stock held by the Trusts and by Mr. Smith except to the extent of her pecuniary interest therein and the filing of this report is not an admission that Ms. Smith is the beneficial owner of those securities. 
   (b)    Percent of Class:
      8.5%
   (c)    Number of shares as to which such person has:
      (i)    Sole power to vote or direct the vote:
         3,163,082
      (ii)    Shared power to vote or to direct the vote:
          0
      (iii)    Sole power to dispose or direct the disposition of:
          0
      (iv)    Shared power to dispose or to direct the disposition of:
          5,337,111
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: o

 

Not Applicable

Item 6.    Ownership of More than Five Percent on Behalf of Another Person.
   The LJS Children's Trusts are the beneficiaries of each of the Trusts and have the right to receive the dividends from and the proceeds from the sale of, the shares of Common Stock owned by the Trusts.
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.
   The members of the group are Mark Clay Smith and Linda Jones Smith.
Item 9.    Notice of Dissolution of Group.
   Not Applicable
Item 10.    Certification.
   By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

SCHEDULE 13G

 

CUSIP No. 00738A106    

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 12, 2010

/s/ Mark Clay Smith

(Signature)

 Mark Clay Smith by power of attorney for Linda Jones Smith

(Name/Title)
 

 

 

 

 

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