-----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, OBDtulXK4ZCc8re39p628+mnfR851AiO+rYhl78huHcCEBvFrJrxMBbZ6KlEURWr d+tTXmCVH4VzT5GH7QB/TA== 0000950142-99-000551.txt : 19990712 0000950142-99-000551.hdr.sgml : 19990712 ACCESSION NUMBER: 0000950142-99-000551 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990709 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRIAD HOSPITALS INC CENTRAL INDEX KEY: 0001074771 STANDARD INDUSTRIAL CLASSIFICATION: HOSPITAL & MEDICAL SERVICE PLANS [6324] IRS NUMBER: 752816101 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-56393 FILM NUMBER: 99661437 BUSINESS ADDRESS: STREET 1: 13455 NOCI RD STREET 2: 20TH FL CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 9727892732 MAIL ADDRESS: STREET 1: 13455 NOCI RD STREET 2: 20TH FL CITY: DALLAS STATE: TX ZIP: 75240 FORMER COMPANY: FORMER CONFORMED NAME: TRIAD HOSPITALS LLC DATE OF NAME CHANGE: 19981207 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRIAD HOSPITALS INC EMPLOYEE STOCK OWNERSHIP TRUST CENTRAL INDEX KEY: 0001090111 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: US TRUST CO NATIONAL ASSOCIATION STREET 2: 1300 EYE STREET N W SUITE 280 EAST CITY: WASHINGTON STATE: DC ZIP: 20005-3314 MAIL ADDRESS: STREET 1: US TRUST CO NATIONAL ASSOCIATION STREET 2: 1300 EYE STREET N W SUITE 280 EAST CITY: WASHINGTON STATE: DC ZIP: 20005-3314 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 (Amendment No. __)* Triad Hospitals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 89579K 10 9 ----------------------------------------------------------------------- (CUSIP Number) June 10, 1999 ----------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) * 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). CUSIP No. 89579K 10 9 13G Page 2 of 5 Pages ----------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person Triad Hospitals, Inc. Employee Stock S.S. or I.R.S. Identifica- Ownership Trust tion No. of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) if a Member of a Group (b) - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Not applicable Organization - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 3,000,000 Owned by Each -------------------------------------------------------------- Reporting Person (6) Shared Voting With Power 0 -------------------------------------------------------------- (7) Sole Dispositive Power 3,000,000 -------------------------------------------------------------- (8) Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 3,000,000 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 8.8% - -------------------------------------------------------------------------------- 12. Type of Reporting Person EP - -------------------------------------------------------------------------------- ITEM 1 (a) Name of Issuer Triad Hospitals, Inc. (b) Address of Issuer's Principal Executive Offices 13455 Noel Road, 20th Floor Dallas, Texas 75240 ITEM 2 (a) Name of Persons Filing Triad Hospitals, Inc. Employee Stock Ownership Trust (b) Address of Principal Business Office or, if none, residence c/o U.S. Trust Company, National Association 1300 Eye Street, N.W. Suite 280 East Washington, D.C. 20005-3314 (c) Citizenship Not applicable (d) Title of Class of Securities Common Stock (e) CUSIP Number 89579K 10 9 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: (a) [ ] Broker 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 fined 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 of 1940 (15 U.S.C. 80a-8). (e) [ ] An investment adviser in accordance with 240.13d-1(b) (1) (ii) (E); (f) [X] An employee benefit plan or endowment fund in accordance with 240.13d-1(b) (1) (ii) (F); (g) [ ] A parent holding company or control person in accordance with 240.13d-1(b) (1) (ii) (G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A 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 240.13d-l(b) (1) (ii) (J). ITEM 4 Ownership (a) Amount Beneficially Owned: 3,000,000 shares (b) Percent of Class: 8.8% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 3,000,000 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 3,000,000 (iv) Shared power to dispose or to direct the disposition of: 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 By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 the 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. Date: July 1, 1999 Triad Hospitals, Inc. Employee Stock Ownership Trust By: U.S. Trust Company, National Association, not in its individual or corporate capacity, but solely as Trustee of the Triad Hospitals, Inc. Employee Stock Ownership Trust By: /s/ Michael E. Shea ------------------- Name: Michael E. Shea Title: Vice President -----END PRIVACY-ENHANCED MESSAGE-----