-----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, A6MWRXjxGYtcGxwBMh8krXv+cgFD9CSeUQdLgNMpRFOUe/49sRgFJvKQUjRs0ltp ploMVtgQcUk1OSIed4OiBw== 0000950130-01-000245.txt : 20010123 0000950130-01-000245.hdr.sgml : 20010123 ACCESSION NUMBER: 0000950130-01-000245 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010118 GROUP MEMBERS: TRUMP CASINOS II INC GROUP MEMBERS: TRUMP CASINOS INC GROUP MEMBERS: TRUMP DONALD J SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRUMP HOTELS & CASINO RESORTS INC CENTRAL INDEX KEY: 0000943320 STANDARD INDUSTRIAL CLASSIFICATION: HOTELS & MOTELS [7011] IRS NUMBER: 133818402 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-44483 FILM NUMBER: 1510757 BUSINESS ADDRESS: STREET 1: 2500 BOARDWALK CITY: ATLANTIC CITY STATE: NJ ZIP: 08401 BUSINESS PHONE: 6094416060 MAIL ADDRESS: STREET 1: 2500 BOARDWALK CITY: ATLANTIC CITY STATE: NJ ZIP: 08401 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRUMP DONALD J CENTRAL INDEX KEY: 0000947033 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 725 FIFTH AVENUE STREET 2: 24TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128322000 MAIL ADDRESS: STREET 1: 725 FIFTH AVENUE STREET 2: 24TH FL CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D/A 1 0001.txt SCHEDULE 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDED THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 5)* TRUMP HOTELS & CASINO RESORTS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, par value $.01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 898168109 - -------------------------------------------------------------------------------- (CUSIP Number) Robert M. Pickus Executive Vice President and Secretary Trump Hotels & Casino Resorts, Inc. Huron Avenue and Brigantine Boulevard Atlantic City, New Jersey 08401 609-340-5060 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 28, 2000 - -------------------------------------------------------------------------------- (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 Rule 13d-1(e), 13d-1(f) or 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 Rule 13d-7 (b) 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). (Page 1 of 7 Pages) SCHEDULE 13D ------------------ -------------------- CUSIP NO. 898168109 Page 2 of 7 Pages ------------------ -------------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). Donald J. Trump - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS (See Instructions) 4 PF - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 12,360,573 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 3,618,267 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 12,360,573 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 3,618,267 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 15,978,840 - ------------------------------------------------------------------------------ CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 12 (See Instructions) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 43.0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (See Instructions) 14 IN - ------------------------------------------------------------------------------ SCHEDULE 13D ------------------ -------------------- CUSIP NO. 898168109 Page 3 of 7 Pages ------------------ -------------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). Trump Casinos, Inc. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS (See Instructions) 4 OO - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 New Jersey - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 1,407,017 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 1,407,017 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,407,017 - ------------------------------------------------------------------------------ CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 12 (See Instructions) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 6.0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (See Instructions) 14 CO - ------------------------------------------------------------------------------ SCHEDULE 13D ------------------ -------------------- CUSIP NO. 898168109 Page 4 of 7 Pages ------------------ -------------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). Trump Casinos II, Inc. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS (See Instructions) 4 OO - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 2,211,250 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 2,211,250 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 2,211,250 - ------------------------------------------------------------------------------ CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 12 (See Instructions) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 9.1% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (See Instructions) 14 CO - ------------------------------------------------------------------------------ This Amendment No. 5 amends Amendment No. 4 filed by Mr. Donald J. Trump, Trump Casinos, Inc. and Trump Casinos II, Inc. (collective, the "Reporting Persons") on April 30, 1999 ("Amendment No. 4"), and is being filed pursuant to Rule 13d-2(a) under the Securities Exchange Act of 1934, as amended. Capitalized terms not otherwise defined herein shall have the meanings ascribed to them in Amendment No. 4. ______________________ 1. Item 2 is hereby amended by deleting the second full paragraph of Item 2 in its entirety and replacing it with the following paragraph: Mr. Trump's present principal occupation is Chairman of the Board of Directors, President and Chief Executive Officer of the Company; Chief Executive Officer and limited partner of Trump Hotels & Casino Resorts Holdings, L.P.; Chairman of the Board of Directors, President and Chief Executive Officer of each of Trump Hotels & Casino Resorts Funding, Inc., Trump Atlantic City Funding, Inc., Trump Atlantic City Funding II, Inc., Trump Atlantic City Funding III, Inc., Trump's Castle Hotel & Casino, Inc. ("TCHI"), Trump's Castle Funding, Inc., Trump's Marina Hotel Casino, L.P. (f/k/a Trump's Castle Associates, L.P.) and Trump International Casino, Ltd.; Chairman of the Board of Directors, President and Treasurer of each of THCR Holding Corp. (f/k/a Taj Mahal Holding Corp.) ("THCR Corp.") and THCR/LP Corporation (f/k/a TM/GP Corporation) ("THCR/LP"); sole Director, President and Treasurer of each of TCI and TCI-II; sole Director, President and Chief Executive Officer of Trump Indiana, Inc. ("Trump Indiana"); Director and President of THCR Enterprises, Inc., Trump Atlantic City Corporation (f/k/a The Trump Taj Mahal Corporation) ("AC Corporation") and Trump Atlantic City Holding, Inc. (f/k/a Trump Plaza Holding, Inc.) ("AC Holding, Inc."); Chief Executive Officer of Trump Taj Mahal Associates; sole Director and President of each of Trump Taj Mahal Realty Corp. and Trump Boardwalk Realty Corp.; and President of the Trump Organization. The business address of Mr. Trump is 725 Fifth Avenue, New York, New York 10022. Mr. Trump is a citizen of the United States of America. 2. Item 5 is hereby amended by deleting the second full paragraph of Item 5 and replacing it with the following paragraph: The Reporting Persons have been advised by the Company that the total number of shares of Common Stock outstanding as of January 18, 2001 is 22,010,027 shares (the "Outstanding Shares"). 3. Item 5 is further amended by deleting the table set forth immediately after the second full paragraph of Item 5 and replacing it with the new table: Page 5 of 7 Pages
- ----------------------------------------------------------------------------------------------------------------------------------- Reporting Person Aggregate Number Number of Number of Number of Number of Percent of of Shares Shares Shares with Shares with Shares with Adjusted Number Share Beneficially with Sole Shared Power Sole Power to Shared Power of Shares Benificially Owned Power to Vote to Vote Dispose to Dispose Outstanding Owned - ----------------------------------------------------------------------------------------------------------------------------------- Mr. Donald J. Trump 15,978,840 12,360,573 (1) 3,618,267 (2) 12,360,573 (1) 3,618,267 (2) 37,195,417 (3) 43.0% - ----------------------------------------------------------------------------------------------------------------------------------- TCI 1,407,017 0 1,407,017 (4) 0 1,407,017 (5) 23,417,044 (6) 6.0% - ----------------------------------------------------------------------------------------------------------------------------------- TCI-II 2,211,250 0 2,211,250 (4) 0 2,211,250 (5) 24,221,277 (7) 9.1% - -----------------------------------------------------------------------------------------------------------------------------------
____________________________________ (1) Consists of (i) the Trump Shares, (ii) the Trump Conversion Shares, (iii) 600,000 shares of Common Stock issuable upon the exercise of the Trump Warrants, (iv) 500,000 shares of Common Stock issuable upon the exercise of options exercisable at a purchase price of $4.625 per share within 60 days from the date hereof, (v) 166,667 shares of Common Stock issuable upon the exercise of options exercisable at a purchase price of $2.625 per share within 60 days from the date hereof (the options listed in (iv) and (v) are collectively referred to as the "Trump Options"), (vi) 17,000, 8,000 and 15,100 shares of Common Stock purchased by Mr. Trump on December 28, 2000 at a purchase price per share of $1.977, $1.915 and $1.977, respectively, and (vii) 9,900 shares of Common Stock purchased by Mr. Trump on December 29, 2000 at a purchase price of $1.977 per share. (2) Consists of (i) the TCI Conversion Shares and (ii) the TCI-II Conversion Shares. (3) Calculated by adding the Outstanding Shares, Conversion Shares and the shares issuable upon the exercise of the Trump Warrants and Trump Options. (4) Voting power shared with Mr. Trump. (5) Dispositive power shared with Mr. Trump. (6) Calculated by adding the TCI Conversion Shares and the Outstanding Shares. (7) Calculated by adding the TCI-II Conversion Shares and the Outstanding Shares. Page 6 of 7 Pages After reasonable inquiry and to the best knowledge and belief of the undersigned, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: January 18, 2001 /s/ Donald J. Trump ------------------------------------ Donald J. Trump TRUMP CASINOS, INC. By: /s/ Donald J. Trump ----------------------------------- Name: Donald J. Trump Title: Sole Director, President and Treasurer TRUMP CASINOS II, INC. By: /s/ Donald J. Trump ----------------------------------- Name: Donald J. Trump Title: Sole Director, President and Treasurer Page 7 of 7 Pages -----END PRIVACY-ENHANCED MESSAGE-----