-----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, JUaiahPmYARCbsFWuGTzK/RokplhwRjoJ6rL8cFd7Ml/62LYPMsD+dq8TRqAP4YD mdd/ubtrzIru25nY29uBvw== 0001104659-08-009922.txt : 20080213 0001104659-08-009922.hdr.sgml : 20080213 20080213161031 ACCESSION NUMBER: 0001104659-08-009922 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080213 DATE AS OF CHANGE: 20080213 GROUP MEMBERS: LEHMAN BROTHERS INC. GROUP MEMBERS: LEHMAN BROTHERS SPECIAL FINANCING INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHWESTERN CORP CENTRAL INDEX KEY: 0000073088 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 460172280 STATE OF INCORPORATION: DE FISCAL YEAR END: 1206 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-36015 FILM NUMBER: 08604857 BUSINESS ADDRESS: STREET 1: 125 S DAKOTA AVENUE STREET 2: SUITE 1100 CITY: SIOUX STATE: SD ZIP: 57104 BUSINESS PHONE: 6059782908 MAIL ADDRESS: STREET 1: 125 S DAKOTA AVENUE STREET 2: SUITE 1100 CITY: SIOUX STATE: SD ZIP: 57104 FORMER COMPANY: FORMER CONFORMED NAME: NORTHWESTERN PUBLIC SERVICE CO DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEHMAN BROTHERS HOLDINGS INC CENTRAL INDEX KEY: 0000806085 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133216325 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: LEHMAN BROTHERS STREET 2: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125267000 MAIL ADDRESS: STREET 1: LEHMAN BROTHERS STREET 2: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN HUTTON HOLDINGS INC DATE OF NAME CHANGE: 19901017 SC 13G/A 1 a08-4900_26sc13ga.htm SC 13G/A

 

 

 

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No. 1)*

 

Northwestern Corporation

(Name of Issuer)

Common Stock, par value $0.01

(Title of Class of Securities)

668074305

(CUSIP Number)

December 31, 2007

(Date of Event Which Requires Filing of this Statement)

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

o

Rule 13d-1(b)

x

Rule 13d-1(c)

o

Rule 13d-1(d)

 

* 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 the 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).

 


 


 

CUSIP No. 668074305

 

 

1.

Names of Reporting Persons
Lehman Brothers Holdings Inc.

 

 

 

 

S.S. or I.R.S. Identification No. of Above Person
13-3216325

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
126,122

 

6.

Shared Voting Power
-0-

 

7.

Sole Dispositive Power
126,122

 

8.

Shared Dispositive Power
-0-

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
126,122

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.3%(1)

 

 

12.

Type of Reporting Person (See Instructions)
HC/CO

 

 

 

(1) Based on 37,060,658 shares of common stock outstanding as of  October 26, 2007, as reported in the Form 10-Q for the quarter ended September 30, 2007.

 

 

2



 

 

CUSIP No. 668074305

 

 

1.

Names of Reporting Persons
Lehman Brothers Inc.

 

 

 

 

S.S. or I.R.S. Identification No. of Above Person
13-2518466

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
126,122

 

6.

Shared Voting Power
-0-

 

7.

Sole Dispositive Power
126,122

 

8.

Shared Dispositive Power
-0-

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
126,122

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.3%(1)

 

 

12.

Type of Reporting Person (See Instructions)
BD/CO

 

 

 

(1) Based on 37,060,658 shares of common stock outstanding as of  October 26, 2007, as reported in the Form 10-Q for the quarter ended September 30, 2007.

 

 

3



 

CUSIP No. 668074305

 

 

1.

Names of Reporting Persons
Lehman Brothers Special Financing Inc.

 

 

 

 

S.S. or I.R.S. Identification No. of Above Person
11-2751029

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
119,080

 

6.

Shared Voting Power
-0-

 

7.

Sole Dispositive Power
119,080

 

8.

Shared Dispositive Power
-0-

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
119,080

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.3%(1)

 

 

12.

Type of Reporting Person (See Instructions)
CO

 

 

 

(1) Based on 37,060,658 shares of common stock outstanding as of  October 26, 2007, as reported in the Form 10-Q for the quarter ended September 30, 2007.

 

 

4



 

Item 1.

 

(a)

Name of Issuer:
Northwestern Corporation

 

(b)

Address of Issuer’s Principal Executive Offices:
125 South Dakota Avenue

Sioux Falls, SD 57104

 

Item 2.

 

(a)

Name of Person Filing:
Lehman Brothers Holdings Inc.

Lehman Brothers Inc.

Lehman Brothers Special Financing Inc.

 

(b)

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

Lehman Brothers Holdings Inc.

745 Seventh Avenue

New York, New York 10019

 

Lehman Brothers Inc.

745 Seventh Avenue

New York, New York 10019

 

Lehman Brothers Special Financing Inc.

745 Seventh Avenue

New York, New York 10019

 

5


 


 

 

(c)

Citizenship or Place of Organization:
Lehman Brothers Holdings Inc. (“Holdings”) is a corporation organized under the laws of the State of Delaware.

 

Lehman Brothers Inc. (“LBI”) is a corporation organized under the laws of the State of Delaware.

 

Lehman Brothers Special Financing Inc. (“LBSF”) is a corporation organized under the laws of the State of Delaware.

 

(d)

Title of Class of Securities:
Common Stock

 

(e)

CUSIP Number:
668074305

 

6



 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)

o

A broker or dealer under Section 15 of the 1934 Act

 

(b)

o

A bank as defined in Section 3(a)(6) of the 1934 Act

 

(c)

o

An insurance company as defined in Section 3(a) (19) of the 1934 Act

 

(d)

o

An investment company registered under Section 8 of the Investment Company Act of 1940

 

(e)

o

An investment advisor in accordance with Rule 13d-1(b)(1)(ii)(E)

 

(f)

o

An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F)

 

(g)

o

A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G)

 

(h)

o

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act

 

(i)

o

A church plan that is excluded from the definition of investment Company under Section 3(c)(14) of the Investment Company Act Of 1940

 

(j)

o

A group, in accordance with Rule 13d-1(b)(1)(ii)(J)

 

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned:   

See Item 9 of cover pages.

 

(b)

Percent of class:   

See Item 11 of cover pages.

 

(c)

Number of shares as to which the person has:

 

 

 

(i)

Sole power to vote or to direct the vote   

 

 

 

(ii)

Shared power to vote or to direct the vote    

 

 

 

(iii)

Sole power to dispose or to direct the disposition of   

 

 

 

(iv)

Shared power to dispose or to direct the disposition of   

 

 

 

 

See Items 5-8 of cover pages.

 

7



 

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 or Control Person

LBI is the actual owner of 7,042 shares of common stock reported herein. LBI, a broker-dealer registered under Section 15 of the Act, is a wholly-owned subsidiary of Holdings.

 

Under the rules and regulations of the Securities and Exchange Commission, Holdings may be deemed to be the beneficial owner of the Common Units owned by LBI.

 

LBSF is the actual owner of 119,080 shares of common stock reported herein. LBSF, is wholly-owned by LBI which is wholly-owned by Holdings.

 

Under the rules and regulations of the Securities and Exchange Commission, LBI and Holdings may be deemed to be the beneficial owners of the common stock owned by LBSF.

 

8



 

Item 8.

Identification and Classification of Members of the Group

Not Applicable

 

Item 9.

Notice of Dissolution of Group

Not Applicable

 

Item 10.

Certification

 

o

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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.

 

x

By signing below I hereby 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.

 

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.

 

 

February 13, 2008

 

Date

 

 

 

LEHMAN BROTHERS HOLDINGS INC.

 


/s/ Barrett S. DiPaolo

 

Signature

 


Barrett S. DiPaolo

Vice President

 

Name/Title

 

 

 

LEHMAN BROTHERS INC.

 


/s/ Barrett S. DiPaolo

 

Signature

 


Barrett S. DiPaolo

Senior
Vice President

 

Name/Title

 

9



 

 

LEHMAN BROTHERS SPECIAL
FINANCING INC.

 


/s/ Barrett S. DiPaolo

 

Signature

 


Barrett S. DiPaolo

Vice President

 

Name/Title

 

10



 

EXHIBIT A - JOINT FILING AGREEMENT

 

The undersigned hereby agree that the Statement on Schedule 13G filed herewith (and any amendments thereto), is being filed jointly with the Securities and Exchange Commission pursuant to Rule 13d-1(k) (1) under the Securities Exchange Act of 1934, as amended, on behalf of each such person.

 

 

February 13, 2008

 

Date

 

 

 

LEHMAN BROTHERS HOLDINGS INC.

 


/s/ Barrett S. DiPaolo

 

Signature

 


Barrett S. DiPaolo

Vice President

 

Name/Title

 

 

 

LEHMAN BROTHERS INC.

 


/s/ Barrett S. DiPaolo

 

Signature

 


Barrett S. DiPaolo

Senior
Vice President

 

Name/Title

 

 

 

LEHMAN BROTHERS SPECIAL
FINANCING INC.

 


/s/ Barrett S. DiPaolo

 

Signature

 


Barrett S. DiPaolo

Vice President

 

Name/Title

 

11


 

-----END PRIVACY-ENHANCED MESSAGE-----