-----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, SuP6T/8I8WyTxlmL66cz7e5FQuABovR2VgT84NzOMXh9D8m3PAyWIA2TzmrOreEF Sz72vgFXLwXQhururyrFlw== 0000903423-02-000081.txt : 20020414 0000903423-02-000081.hdr.sgml : 20020414 ACCESSION NUMBER: 0000903423-02-000081 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TXU CORP /TX/ CENTRAL INDEX KEY: 0001023291 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 752669310 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-52457 FILM NUMBER: 02540392 BUSINESS ADDRESS: STREET 1: ENERGY PLAZA STREET 2: 1601 BRYAN ST CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2148125210 MAIL ADDRESS: STREET 1: 1601 BRYAN STREET STREET 2: SUITE 36056 CITY: DALLAS STATE: TX ZIP: 75201 FORMER COMPANY: FORMER CONFORMED NAME: TUC HOLDING CO DATE OF NAME CHANGE: 19960919 FORMER COMPANY: FORMER CONFORMED NAME: TEXAS UTILITIES CO /TX/ DATE OF NAME CHANGE: 19970805 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CATER ALLEN INTERNATIONAL LTD CENTRAL INDEX KEY: 0001130065 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1 TRITON SQ STREET 2: LONDON CITY: ENGLAND NW1 3DU STATE: X0 ZIP: 00000 BUSINESS PHONE: 4412073839300 MAIL ADDRESS: STREET 1: 1 TRITON SQ STREET 2: LONDON CITY: ENGLAND NW1 3DU STATE: X0 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: CARTER ALLEN INTERNATIONAL LTD DATE OF NAME CHANGE: 20001215 SC 13G/A 1 txu13ga_2-13.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. 1) TXU Corporation 1 - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 873168108 - -------------------------------------------------------------------------------- (CUSIP Number) 2 December 31, 2001 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) 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 Formerly, TXU Utilities Company. 2 The CUSIP number provided is assigned to the American Depositary Receipts representing shares of ordinary stock of the Issuer. The shares reported herein by the reporting person are held in the form of Ordinary Shares. CUSIP No. 873168108 13G Page 2 of 5 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Cater Allen International Limited 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom 5 SOLE VOTING POWER 4,758,000 NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY Not Applicable EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 4,758,000 8 SHARED DISPOSITIVE POWER Not Applicable 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,758,000 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.84% 12 TYPE OF REPORTING PERSON CO Item 1 (a). Name of Issuer: TXU Corporation Item 1 (b). Address of Issuer's Principal Executive Offices: 1601 Bryan Street Dallas, Texas 75201-3411 Item 2 (a). Name of Persons Filing: Cater Allen International Limited Item 2 (b). Address of Principal Business Office: 1 Triton Square London NW1 3DU United Kingdom Item 2 (c). Citizenship: U.K. Item 2 (d). Title of Class of Securities: Common Stock Item 2 (e). CUSIP Number: 873168108 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a(n): (a) [ ] Broker or Dealer registered under Section 15 of the Act (15 U.S.C. 78o) (b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c) (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c) (d) [ ] Investment Company registered under Section 8 of the Investment Company Act (15 (U.S.C. 80a-8) (e) [ ] Person registered as an investment adviser under Section 203 of the Investment Advisers Act of 1940 (15 U.S.C. 80b-3) or under the laws of any state (f) [ ] Employee Benefit Plan or Endowment Fund in accordance with Section 240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company or Control Person in accordance with Section 240.13d-1(b)(ii)(G) (h) [ ] Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813) (i) [ ] Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3) (j) [ ] Group in accordance with Section 240.13d-1(b)(1)(ii)(J) Item 4. Ownership (a) Amount Beneficially Owned: 4,758,000 (b) Percent of Class: 1.84% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 4,758,000 (ii) Shared power to vote or to direct the vote: Not applicable (iii) Sole power to dispose or to direct the disposition of: 4,758,000 (iv) Shared power to direct the disposition of: Not Applicable 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 than five percent of the class of securities, check the following: [X] 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. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having that 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. February 12, 2002 ------------------------------------- (Date) /s/ Tony S. Hibbitt ------------------------------------- (Signature) Tony S. Hibbitt/Director ------------------------------------- (Name/Title) /s/ Philip E H Hindley ------------------------------------- (Signature) Philip E H Hindley/Head of Compliance ------------------------------------- (Name/Title) -----END PRIVACY-ENHANCED MESSAGE-----