-----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, O1tCf5qBKjs1iTOKhBRfIIyYQrmBxRui70U/wkoNX3JcUNchkKdnWmosq2nEkcLZ VW/CrDmBbn8m7L9dfM1ieQ== 0000009749-97-000058.txt : 19970222 0000009749-97-000058.hdr.sgml : 19970222 ACCESSION NUMBER: 0000009749-97-000058 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: AMEX SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRICO MARINE SERVICES INC CENTRAL INDEX KEY: 0000921549 STANDARD INDUSTRIAL CLASSIFICATION: OIL & GAS FILED MACHINERY & EQUIPMENT [3533] IRS NUMBER: 721252405 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49411 FILM NUMBER: 97528522 BUSINESS ADDRESS: STREET 1: 610 PALM AVE CITY: HOUMA STATE: LA ZIP: 70364 BUSINESS PHONE: 5048513833 MAIL ADDRESS: STREET 1: P.O. BOX 2468 CITY: HOUMA STATE: LA ZIP: 70361 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST NEW YORK CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 280 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 SC 13G 1 TRICO MARINE SERVICES INC 13G BANKERS TRUST NEW YORK CORPORATION One Bankers Trust Plaza New York, New York 10006 Linda L. Assali Mailing Address Vice President BT Services Tennessee, Inc. Telephone : (615)835-2901 648 Grassmere Park Road Nashville, Tennessee 37211 February 14, 1997 Securities and Exchange Commission SEC Document Control 450 Fifth Street, N W Washington, DC 20549 Attn. : Filling Desk Dear Sirs : Re : Filing of Schedule 13G on TRICO MARINE SERVICES INC Pursuant to Rule 13d-1 of the General Rules and Regulations copy under the Securities Exchange Act of 1934, the following is one of the Schedule 13G with respect to the common stock of the above referenced corporation. Please acknowledge your receipt of the Schedule 13G filing submission through the EDGAR-Link System software, by E-Mail confirmation. Sincerely, Linda L. Assali Enclosures Page 1 of 6 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) * -------- TRICO MARINE SERVICES INC NAME OF ISSUER : Common Stock: $.01 Par Value TITLE OF CLASS OF SECURITIES 896106101 CUSIP NUMBER Check the following box if a fee is being paid with this statement [ x ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent there to reporting beneficial ownership of five percent or less of such class. ) ( See Rule 13d-7.) * 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 reminder 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). Continued on following page(s) Page 2 of 6 CUSIP No. 896106101 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust New York Corporation and its wholly- owned subsidiary, Bankers Trust Company. 13-6180473 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Both Bankers Trust New York Corporation and Bankers Trust Company are New York Corporation. NUMBER OF 5. SOLE VOTING POWER Bankers Trust Company 233,700 shares SHARES BENEFICIALLY 6. SHARED VOTING POWER Bankers Trust Company 0 shares OWNED BY EACH 7. SOLE DISPOSITION POWER Bankers Trust Company 348,300 shares REPORTING PERSON 8. SHARED DISPOSITION POWER Bankers Trust Company 0 shares WITH 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Bankers Trust Company 348,300 shares 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES * [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Bankers Trust Company 5.11% 12. TYPE OF REPORTING PERSON * Bankers Trust New York Corporation - HC Bankers Trust Company - BK Page 3 of 6 CUSIP No. 896106101 Item 1 (a) NAME OF ISSUER: TRICO MARINE SERVICES INC Item 1 (b) ADDRESSES OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 2401 Fountainview Suite 626 Houston, TX 77057 Item 2 (a) NAME OF PERSON FILING: Bankers Trust New York Corporation, and its wholly-owned subsidiary, Bankers Trust Company. Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 280 Park Avenue New York, New York 10017 Item 2(c) CITIZENSHIP: Bankers Trust New York Corporation, and its wholly - owned subsidary, Bankers Trust Company are incorporated in the State of New York with its principal business office located in New York. Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock: $.01 Par Value Item 2 (e) CUSIP NUMBER: 896106101 CUSIP No. 896106101 Page 4 of 6 Item 3 THE PERSON FILING IS A: For Bankers Trust New York Corporation, (g) [X] Parent Holding Company, in accordance with Section 240.13d-1(b) (ii) (G) For Bankers Trust company, (b) [X] Bank as defined in Section 3(a)(6) of the Act Item 4 OWNERSHIP: As of December 31, 1996 (a) Amount Beneficially Owned: Bankers Trust Company 348,300 shares (b) Percent of Class: Bankers Trust Company 5.11% (c) Number of shares as to which the Bank has: (i) Sole power to vote or to direct the vote - Bankers Trust Company 233,700 shares (ii) Shared power to vote or to direct the vote - Bankers Trust Company 0 shares (iii) Sole power to dispose or to direct the disposition of - Bankers Trust Company 348,300 shares (iv) Shared power to dispose or to direct the disposition of - Bankers Trust Company 0 shares CUSIP No. 896106101 Page 5 of 6 Item 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: [ ] 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: See Item 3 above. Item 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not applicable. Item 9 NOTICE OF DISSOLUTION OF GROUP: Not applicable. Page 6 of 6 CUSIP No. 896106101 Item 10 CERTIFICATION: By signing below I certify that , to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such 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. Date: as of December 31, 1996 Signature: Bankers Trust New York Corporation By : /s/James T. Byrne, Jr. Name : James T. Byrne, Jr. Title: Secretary Signature: Bankers Trust Company By: /s/James T. Byrne, Jr. Name: James T. Byrne, Jr. Title: Secretary EXHIBIT TO ITEM 7 The chain of ownership from Bankers Trust New York Corporation to Bankers Trust Company is shown below: Bankers Trust New York Corporation | 100% | Bankers Trust Company -----END PRIVACY-ENHANCED MESSAGE-----