-----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, K7P16VytCr9XeHwDtHe78H5Wp+k6td6NEuYw4sp0axzWjFyZg655F0VYAtgjbdtl YHWo4dv+C5V9/jInaMnFXA== 0000950162-97-000098.txt : 19970222 0000950162-97-000098.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950162-97-000098 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-48735 FILM NUMBER: 97529085 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: DILLON READ HOLDING INC/DILLON READ INC/ ET AL CENTRAL INDEX KEY: 0000904723 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133634771 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 535 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2129067324 MAIL ADDRESS: STREET 1: 535 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ____)* Cornell Corrections, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 219141108 - -------------------------------------------------------------------------------- (CUSIP Number) *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 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). Page 1 of 9 pages SCHEDULE 13G - ---------------------------------- ---------------------------------------- CUSIP No. 219141108 Page 2 of 9 Pages ----------- ------- -------- - ---------------------------------- ---------------------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Dillon, Read Holding Inc. I.R.S. No. 13-3634771 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| N/A - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF None SHARES ---------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 1,077,654 REPORTING ---------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER None ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,077,654 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Dillon, Read Holding Inc. disclaims beneficial ownership of 1,077,654 shares attributed to it through its ownership of Dillon, Read Inc. - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) |_| N/A - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 15.93 - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) HC - ------------------------------------------------------------------------------- Page 2 of 9 Pages SCHEDULE 13G - ---------------------------------- ---------------------------------------- CUSIP No. 219141108 Page 3 of 9 Pages ----------- ------- -------- - ---------------------------------- ---------------------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Dillon, Read Inc. I.R.S. No. 13-3404336 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| N/A - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF None SHARES ---------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 1,077,654 REPORTING ---------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER None ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,077,654 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Dillon, Read Inc. disclaims beneficial ownership of 1,077,654 shares attributed to it through its ownership of Dillon, Read & Co. Inc. - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) |_| N/A - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 15.93 - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) HC - ------------------------------------------------------------------------------- Page 3 of 9 Pages SCHEDULE 13G - ---------------------------------- ---------------------------------------- CUSIP No. 219141108 Page 4 of 9 Pages ----------- ------- -------- - ---------------------------------- ---------------------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Dillon, Read & Co. Inc. I.R.S. No. 13-1939216 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| N/A - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Connecticut - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF None SHARES ---------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 1,077,654 REPORTING ---------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER None ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,077,654 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON The reporting person reports 1,077,654 shares held for managed accounts and the reporting person disclaims beneficial interest in such shares. - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) |_| N/A - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 15.93 - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) BD - ------------------------------------------------------------------------------- Page 4 of 9 Pages Page 5 of 9 Pages Item 1(a). Name of Issuer: Cornell Corrections, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 4801 Woodway, Suite 400W Houston, Texas 77056-1805 Item 2(a). Name of Person Filing: Dillon, Read Holding Inc. Item 2(b). Address of Principal Business Office, or, if none, Residence: 535 Madison Avenue New York, New York 10022 Item 2(c). Place of Organization: Delaware Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 219141108 Item 3. If this statement is filed pursuant to Rules 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 Section 240.13d-1(b)(1)(ii)(F) Page 6 of 9 Pages (g) [X] Parent Holding Company, in accordance with Section 240.13d-1(b)(1)(ii)(G) (Note: See Item 7) (h) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(H) Item 4. Ownership: If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount Beneficially Owned: 1,077,654 (b) Percent of Class: 15.93 (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: None (ii) shared power to vote or to direct the vote: 1,077,654 (iii) sole power to dispose or to direct the disposition of: None (iv) shared power to dispose or to direct the disposition of: 1,077,654 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 that five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person: N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: See Exhibit A Page 7 of 9 Pages Item 8. Identification and Classification of Members of the Group: N/A Item 9. Notice of Dissolution of Group: N/A 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 purposes 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. Dated: February 11, 1997 Dillon, Read Holding Inc. By /s/ David W. Niemiec ------------------------ Name: David W. Niemiec Title: Vice Chairman Page 8 of 9 Pages Exhibit A RELEVANT SUBSIDIARIES (Item 7) Item 3 Identity Classification 1. Dillon, Read Inc. (g) Holding Company 2. Dillon, Read & Co. Inc. (a) Broker-Dealer Dillon, Read Holding Inc. owns Dillon, Read Inc., the 100% owner of Dillon, Read & Co. Inc. Page 9 of 9 Pages Exhibit B The undersigned all hereby agree in writing that Schedule13G, filed with the Securities and Exchange Commission by DILLON, READ HOLDING INC., and containing the information required by the Schedule 13G with respect to beneficial ownership of the same shares of the Common Stock of Cornell Corrections, Inc. is jointly filed on behalf of each DILLON, READ HOLDING INC., DILLON, READ INC. and DILLON, READ & CO. INC. DILLON, READ HOLDING INC. By:/s/ David W. Niemiec ---------------------------- Name: David W. Niemiec Title: Vice Chairman DILLON, READ INC. By:/s/ David W. Niemiec ---------------------------- Name: David W. Niemiec Title: Secretary DILLON, READ & CO. INC. By:/s/ David W. Niemiec ---------------------------- Name: David W. Niemiec Title: Vice Chairman -----END PRIVACY-ENHANCED MESSAGE-----