-----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, DuiiDZAS+8uuUw8KCFl85SK8SsRUi3zxQms0unuaLs4VJqfuFO4ubLcfn726tG+H NgR1+dAlSYkGkOkYZK3XDQ== 0000890566-98-000153.txt : 19980217 0000890566-98-000153.hdr.sgml : 19980217 ACCESSION NUMBER: 0000890566-98-000153 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CORNELL CORRECTIONS INC CENTRAL INDEX KEY: 0001016152 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-FACILITIES SUPPORT MANAGEMENT SERVICES [8744] IRS NUMBER: 760433642 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48735 FILM NUMBER: 98533722 BUSINESS ADDRESS: STREET 1: 4801 WOODWAY STREET 2: STE 400W CITY: HOUSTON STATE: TX ZIP: 77056 BUSINESS PHONE: 7136230790 MAIL ADDRESS: STREET 1: 4801 WOODWAY STREET 2: STE 400W CITY: HOUSTON STATE: TX ZIP: 77056 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CORNELL DAVID M /TX/ /ADV CENTRAL INDEX KEY: 0000714213 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 457522506 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O CORNELL CORRECTIONS INC STREET 2: 4801 WOODWAY SUITE 100E CITY: HOUSTON STATE: TX ZIP: 77056 BUSINESS PHONE: 2186230790 FORMER COMPANY: FORMER CONFORMED NAME: CORNELL DAVID M /TX/ /ADV DATE OF NAME CHANGE: 19970211 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 Cornell Corrections, Inc (Name of Issuer) Common Stock (Title of Class of Securities) 219141 10 8 (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (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 thereto 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 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). -1- CUSIP NO. 219141 10 8 PAGE 2 OF 5 PAGES ================================================================================ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David M. Cornell, S.S.No. ###-##-#### 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP Not applicable (a)[ ] (b)[ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. 5 SOLE VOTING POWER NUMBER OF 509,987 (1) SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 0 REPORTING PERSON 7 SOLE DISPOSITIVE POWER WITH 421,322 8 SHARED DISPOSITIVE POWER 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 509,987 (1) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not applicable. 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Approximately 5.4% TYPE OF REPORTING PERSON* 12 IN ================================================================================ *SEE INSTRUCTION BEFORE FILLING OUT! (1) Includes 88,665 shares of the common stock, par value $.001 per share, of Cornell Corrections, Inc. (the "Common Stock") over which Jane B. Cornell, the former wife of David M. Cornell, has sole dispositive power and, pursuant to a voting agreement, over which Mr. Cornell has sole voting power. Also includes 126,124 outstanding options to purchase shares of Common Stock; such options represent shares that may be acquired within 60 days after the date hereof. -2- ITEM 1. Item 1(a) NAME OF ISSUER: Cornell Corrections, Inc. Item 1(b) ADDRESS OF ISSUER'S 4801 Woodway, Suite 100E PRINCIPAL EXECUTIVE OFFICES: Houston, Texas 77056 ITEM 2. Item 2(a) NAME OF PERSON FILING: David M. Cornell Item 2(b) ADDRESS OF PRINCIPAL 4801 Woodway, Suite 100E BUSINESS OFFICE: Houston, Texas 77056 Item 2(c) CITIZENSHIP: U.S. Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock Item 2(e) CUSIP NUMBER: 219141 10 8 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or dealer registered under section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [ ] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see ss. 240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with ss. 240.13d-1(b)(ii)(G) (Note: See Item 7) (h) [ ] Group, in accordance with ss. 240.13d-1(b)(1)(ii)(H) -3- ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 509,987 (1) (b) Percent of Class: Approximately 5.4% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 509,987 (1) (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 421,322 (iv) Shared power to dispose or to direct the disposition: 0 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not Applicable 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 Not Applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not Applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable ITEM 10. CERTIFICATION Not Applicable (1) Includes 88,665 shares of the common stock, par value $.001 per share, of Cornell Corrections, Inc. (the "Common Stock") over which Jane B. Cornell, the former wife of David M. Cornell, has sole dispositive power and, pursuant to a voting agreement, over which Mr. Cornell has sole voting power. Also includes 126,124 outstanding options to purchase shares of Common Stock; such options represent shares that may be acquired within 60 days after the date hereof. -4- 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, 1998 /s/ DAVID M. CORNELL David M. Cornell -5- -----END PRIVACY-ENHANCED MESSAGE-----