-----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, TGfoAVQqt6fL0K9/Wg+S6iSedAhHxi7+9/QjJOakYjIiOlXJoU7hCkEYxnGp0v/K by6L08JPRa1CzU8dBV5DDQ== 0001047469-02-004464.txt : 20021126 0001047469-02-004464.hdr.sgml : 20021126 20021126114541 ACCESSION NUMBER: 0001047469-02-004464 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021126 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOOKER FURNITURE CORP CENTRAL INDEX KEY: 0001077688 STANDARD INDUSTRIAL CLASSIFICATION: HOUSEHOLD FURNITURE [2510] IRS NUMBER: 540251350 STATE OF INCORPORATION: VA FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58359 FILM NUMBER: 02840341 BUSINESS ADDRESS: STREET 1: 440 E COMMONWEALTH BLVD CITY: MARTINSVILLE STATE: VA ZIP: 24112 BUSINESS PHONE: 5406322133 MAIL ADDRESS: STREET 1: 440 E COMMONWEALTH BLVD CITY: MARTINSVILLE STATE: VA ZIP: 24112 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: US TRUST CO NATIONAL ASSOCIATION CENTRAL INDEX KEY: 0000898225 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 954311476 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 515 FLOWER ST STE 2800 CITY: LOS ANGELES STATE: CA ZIP: 90071-2291 BUSINESS PHONE: 2138615027 MAIL ADDRESS: STREET 1: 515 FLOWER STREET STREET 2: SUITE 2800 CITY: LOS ANGELES STATE: CA ZIP: 90071-2291 FORMER COMPANY: FORMER CONFORMED NAME: US TRUST CO OF CALIFORNIA NA DATE OF NAME CHANGE: 19930304 SC 13G/A 1 a2094822zsc13ga.htm SC 13G/A
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 2)*

    Hooker Furniture Corporation
(Name of Issuer)		    

 
 
 
 
 
    Common Stock
(Title of Class and Securities)		    

 
 
 
 
 
    439038100
(CUSIP Number of Class of Securities)		    

 
 
 
 
 
    10/31/02
(Date of Event Which Requires Filing of this Statement)		    

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

        ý      Rule 13d-1(b)

        o      Rule 13d-1(c)

        o      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. 439038100       Page 2 of 5 Pages
     
(1)   NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).		    

 
 
U.S. Trust Company, National Association - ID 95-4311476
Trustee for Hooker Furniture Employee Stock Ownership Plan & Trust
 
 
(2)   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)    
        (a)  o
        (b)  o
(3)   SEC USE ONLY    

 
 
 
 
 
(4)   CITIZENSHIP OR PLACE OF ORGANIZATION    

 
 
515 S. Flower St. #2800 Los Angeles, CA. 90071
 
 
    (5)   SOLE VOTING POWER
NUMBER OF       -0-
SHARES  
BENEFICIALLY   (6)   SHARED VOTING POWER
OWNED       -0-
BY  
EACH   (7)   SOLE DISPOSITIVE POWER
REPORTING       -0-
PERSON  
WITH   (8)   SHARED DISPOSITIVE POWER
        -0-
(9)   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    

 
 
See Item 5
 
 
(10)   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)    

 
 
 
 
o
(11)   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)    

 
 
 
 
 
(12)   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)    

 
 
 
 
 


Item 1.

(a)   Name of Issuer

 
 
Hooker Furniture Corporation
   
(b)   Address of Issuer's Principal Executive Offices

 
 
440 E. Commonwealth Blvd. Martinsville, VA. 24115
   


Item 2.

(a)   Name of Person Filing

 
 
U.S. Trust Company, National Association
   
(b)   Address of Principal Business Office or, if none, Residence

 
 
515 S. Flower St. #2800 Los Angeles, CA. 90071
   
(c)   Citizenship

 
 
USA
   
(d)   Title of Class of Securities

 
 
Common Stock
   
(e)   CUSIP Number

 
 
439038100
   

 
 
Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 
 
o
Not Applicable

(a)
 
o
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

(b)
 
o
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

(c)
 
o
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

(d)
 
o
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

(e)
 
o
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

(f)
 
ý
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

(g)
 
o
A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

(h)
 
o
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)
 
o
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)
 
o
Group, in accordance with §240.13d-1(b)(1)(ii)(J).
       


Item 4.    Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

(a)   Amount beneficially owned:

 
 
See Item 5
   
(b)   Percent of class:

 
 
 
 
   
(c)   Number of shares as to which the person has:
       
    (i) Sole power to vote or to direct the vote

 
 
 
 
     
    (ii) Shared power to vote or to direct the vote

 
 
 
 
     
    (iii) Sole power to dispose or to direct the disposition of

 
 
 
 
     
    (iv) Shared power to dispose or to direct the disposition of

 
 
 
 
     

Instruction.  For computations regarding securities which represent a right to acquire an underlying security see §240.13d3(d)(1).


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.  ý

Instruction.  Dissolution of a group requires a response to this item.


Item 6.    Ownership of More than Five Percent on Behalf of Another Person

If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.


Item 8.    Identification and Classification of Members of the Group

If a group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to §240.13d-1(c) or §240.13d-1(d), attach an exhibit stating the identity of each member of the group.


Item 9.    Notice of Dissolution of Group

Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transaction in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.


Item 10.    Certification

    (a)
    The following certification shall be included if the statement is filed pursuant to §240.13d-1(b):

      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.  o

    (b)
    The following certification shall be included if the statement is filed pursuant to §240.13d-1(c):

      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 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.  o

      Not applicable  o

November 26, 2002   By: /s/  OTIS A. SINNOTT, JR.      
Otis A. Sinnott, Jr.
Senior Vice President
       


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SCHEDULE 13G
Item 3.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
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