-----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, Bvj/huvDpkmT7/Cjrb73jFZk8003nn+WioWL5Z2qW1ThCFflHCGSbpStAvWYIlJG nfn+OQ9cFoj7WS02tMEufQ== 0000950123-01-001317.txt : 20010223 0000950123-01-001317.hdr.sgml : 20010223 ACCESSION NUMBER: 0000950123-01-001317 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: UNITED STATES TRUST CO OF NEW YORK/ GROUP MEMBERS: US TRUST CORPORATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CURON MEDICAL INC CENTRAL INDEX KEY: 0001114365 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 770470324 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60601 FILM NUMBER: 1541310 BUSINESS ADDRESS: STREET 1: 735 PALOMAR AVENUE CITY: SUNNYVALE STATE: CA ZIP: 94086 BUSINESS PHONE: 4087339910 MAIL ADDRESS: STREET 1: 735 PALOMAR AVENUE CITY: SUNNYVALE STATE: CA ZIP: 94086 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED STATES TRUST CO OF NEW YORK/ CENTRAL INDEX KEY: 0001085059 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 135459866 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 114 WEST 47TH STREET CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2128523812 MAIL ADDRESS: STREET 1: 114 WEST 47TH STREET CITY: NEW YORK STATE: NY ZIP: 10036 SC 13G 1 y45535tsc13g.txt CURON MEDICAL, INC. 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Curon Medical, Inc ------------------------------------------------------------------------------- (Name of Issuer) Common ------------------------------------------------------------------------------- (Title of Class of Securities) 231292 10 3 --------------------------------------------- (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). (Continued on following pages(s)) Page 1 of 5 Pages 2 CUSIP No. 231292 10 3 13G Page 2 of 5 - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (1) U.S. Trust Corporation* 13-2927955 (2) United States Trust Company of New York 13-5459866 * - U.S. Trust Corporation is a wholly-owned direct subsidiary of The Charles Schwab Corporation. Each entity files reports completely separate and independent from the other. Correspondingly, neither entity shares with the other either any information and/or power with respect to either the voting and/or disposition of the securities reported by each. - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 N/A (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 New York - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 - 0 - NUMBER OF ------------------------------------------------------------ SHARES SHARED VOTING POWER BENEFICIALLY 6 2,458,038 OWNED BY EACH ------------------------------------------------------------ REPORTING SOLE DISPOSITIVE POWER PERSON 7 WITH - 0 - ------------------------------------------------------------ SHARED DISPOSITIVE POWER 8 See 6 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See 6 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 N/A - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 13.2 - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON 12 (1) HC (2) BK - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 Issuer ------ Curon Medical, Inc Item 1 (b) Address of Issuer's Principal Executive Offices: ------------------------------------------------ 735 Palomar Ave Sunnyvale CA 94085 Item 2 (a) Name of Person Filing: --------------------- U.S. Trust Corporation U.S. Trust Company of New York Item 2 (b) Address or Principal Place of Business: --------------------------------------- 114 West 47th Street New York, N.Y. 10036 Item 2 (c) Citizenship: New York Item 2 (d) Title of Class of Securities: ---------------------------- Common Item 2 (e) CUSIP Number: 231292 10 3 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) Not applicable (b) (X) United States Trust Company of New York, a bank as defined in Section 3(a)(6) of Act. (c) Not applicable (d) Not applicable (e) Not applicable (f) Not applicable (g) (X) U.S. Trust Corporation is a parent holding company, in accordance with section 240.13d-1 (b)(1)(ii)(G). (h) Not applicable -3- 4 Item 4 (a) Amount Beneficially Owned: 2,458,038 (b) Percent of Class: 13.2 (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote -0- (ii) shared power to vote or to direct the vote See 4(a) (iii) sole power to dispose or to direct the disposition of -0- (iv) shared power to dispose or to direct the disposition of See 4(a) Item 5 Ownership of Five Percent or Less of a Class -------------------------------------------- N/A Item 6 Ownership of More than Five Percent on Behalf of ------------------------------------------------ Another Person. --------------- The stock was acquired, and is being held, for investment purposes. Item 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company. See Items 1 and 12 of Page 2 and Item 3 herein. Item 8 Identification and Classification of the Members of --------------------------------------------------- the Group. ---------- Not applicable 5 Item 9 Notice of Dissolution of Group. ------------------------------- Not applicable Item 10 Certification. By signing below we certify that, to ------------- the best of our 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 purpose or effect. Signature. After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: February 14, 2001 ------------------ UNITED STATES TRUST COMPANY OF NEW YORK By: /s/ Joseph A. Tricarico ------------------------------------------ Name: Joseph A. Tricarico Title: Vice President and Trust Counsel U.S. TRUST CORPORATION By: /s/ Joseph A. Tricarico ------------------------------------------ Joseph A. Tricarico Authorized Agent -----END PRIVACY-ENHANCED MESSAGE-----