-----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, TDulLdFSQBBQmbt1a+mMByJJEyGKPe2Nz1WHQHBFLftcTF073HVCX/WgZcIZ5gQT A4oKXym4ToNN+o3k8k/nlw== 0000919574-05-001609.txt : 20050504 0000919574-05-001609.hdr.sgml : 20050504 20050504163041 ACCESSION NUMBER: 0000919574-05-001609 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050419 FILED AS OF DATE: 20050504 DATE AS OF CHANGE: 20050504 ISSUER: 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: 1231 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LUCE MICHAEL D CENTRAL INDEX KEY: 0001233573 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10499 FILM NUMBER: 05799577 BUSINESS ADDRESS: BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBERT RAYMOND J CENTRAL INDEX KEY: 0001233571 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10499 FILM NUMBER: 05799578 BUSINESS ADDRESS: BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALCONE PHILIP CENTRAL INDEX KEY: 0001233569 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10499 FILM NUMBER: 05799580 BUSINESS ADDRESS: BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: 555 MADISON AVE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HMC INVESTORS LLC CENTRAL INDEX KEY: 0001233566 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10499 FILM NUMBER: 05799581 BUSINESS ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HMC DISTRESSED INVESTMENT OFFSHORE MANAGER LLC CENTRAL INDEX KEY: 0001224055 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10499 FILM NUMBER: 05799582 BUSINESS ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 BUSINESS PHONE: 2059875500 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBERT DISTRESSED INVESTMENT MASTER FUND LTD CENTRAL INDEX KEY: 0001233563 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10499 FILM NUMBER: 05799583 BUSINESS ADDRESS: STREET 1: C/O INTERNATIONAL FUND SERVICES STREET 2: THIRD FL BISHOP SQUARE REDMONDS HILL CITY: DUBLIN IRELAND STATE: L2 ZIP: 00000 BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: C/O INTERNATIONAL FUND SERVICES STREET 2: THIRD FL BISHOP SQUARE REDMONDS HILL CITY: DUBLIN IRELAND STATE: L2 ZIP: 00000 4 1 p568581_ex.xml X0202 4 2005-04-19 0 0000073088 NORTHWESTERN CORP NWEC 0001233563 HARBERT DISTRESSED INVESTMENT MASTER FUND LTD C/O INTERNATIONAL FUND SERVICES THIRD FL BISHOP SQUARE REDMONDS HILL DUBLIN IRELAND L2 00000 IRELAND 0 0 1 0 0001224055 HMC DISTRESSED INVESTMENT OFFSHORE MANAGER LLC ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 0001233566 HMC INVESTORS LLC ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 0001233569 FALCONE PHILIP 555 MADISON AVE 16TH FLOOR NEW YORK NY 10022 0 0 1 0 0001233571 HARBERT RAYMOND J ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 0001233573 LUCE MICHAEL D ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 Common Stock 2005-04-19 4 J 0 42015 A 7185354 D Common Stock 2005-04-19 4 J 0 0 0 A 7185354 I By Harbert Distressed Investments Master Fund, Ltd. Common Stock 2005-04-19 4 J 0 10025 A 84731 I By Alpha US Sub Fund VI, LLC CommonStock 2005-04-20 4 J 0 30195 A 7215549 D Common Stock 2005-04-20 4 J 0 0 0 A 7215549 I By Harbert Distressed Investments Master Fund, Ltd. Common Stock 2005-04-20 4 J 0 6115 A 90846 I By Alpha US Sub Fund VI, LLC These securities are owned by Harbert Distressed Investment Master Fund, Ltd., which is a Reporting Person. These securities may be deemed to be beneficially owned by HMC Distressed Investment Offshore Manager, L.L.C. ("HMC Management"), the investment manager of Harbert Distressed Investment Master Fund, Ltd., HMC Investors, L.L.C., its managing member ("HMC Investors"), Philip Falcone, a member of HMC Management and the portfolio manager of Harbert Distressed Investment Master Fund, Ltd., Raymond J. Harbert, a member of HMC Investors, and Michael D. Luce, a member of HMC Investors. Each such Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. These securities may be deemed to be beneficially owned by HMC Investors, Philip Falcone, who is the portfolio manager of Alpha US Sub Fund VI, LLC, Raymond J. Harbert and Michael D. Luce. Each such Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Received as a distribution pursuant to Northwestern Corporation's Second Amended and Restated Plan of Reorganization. Harber Distressed Investment Master Fund, Ltd., HMC Distressed Investments Offshore Manager, L.L.C., By: HMC Investors, L.L.C., Managing Member, By: /s/ Joel S. Piassick 2005-05-04 HMC Distressed Investment Offshore Manager, L.L.C., By: HMC Investors, L.L.C., Managing Member., By: /s/ Joel Piassick 2005-05-04 HMC Investors, L.L.C., By: /s/ Joel Piassick 2005-05-04 By: /s/ Philip Falcone 2005-05-04 By: /s/ Raymond J. Harbert 2005-05-04 By: /s/ Michael D. Luce 2005-05-04 -----END PRIVACY-ENHANCED MESSAGE-----