-----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, EpOVVQZLVhmDKo7Vk6N/PlC51HVG1picg9nzQuKwOoe5b7ESuh9Ij9Y5laGuILbF xrNE7Dkgm86hTQ/+TSbGlg== 0000950134-01-001764.txt : 20010228 0000950134-01-001764.hdr.sgml : 20010228 ACCESSION NUMBER: 0000950134-01-001764 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010227 GROUP MEMBERS: CAROLINE HUNT TRUST ESTATE GROUP MEMBERS: DON W. CRISP GROUP MEMBERS: ROSEWOOD FINANCIAL, INC GROUP MEMBERS: THE ROSEWOOD CORPORATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALAMOSA HOLDINGS INC CENTRAL INDEX KEY: 0001120102 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 752890997 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-61223 FILM NUMBER: 1554865 BUSINESS ADDRESS: STREET 1: 4430 BROWNFIELD HIGHWAY CITY: LUBBOCK STATE: TX ZIP: 79407 BUSINESS PHONE: 8067221100 MAIL ADDRESS: STREET 1: 4430 BROWNFIELD HIGHWAY CITY: LUBBOCK STATE: TX ZIP: 79407 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CAROLINE HUNT TRUST ESTATE CENTRAL INDEX KEY: 0001024767 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 100 CRESCENT COURT STREET 2: SUITE 1700 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2148718600 MAIL ADDRESS: STREET 1: 500 CRESCENT COURT STREET 2: SUITE 300 CITY: DALLAS STATE: TX ZIP: 75201 SC 13D 1 d84561sc13d.txt SCHEDULE 13D 1 --------------------------------- OMB APPROVAL --------------------------------- OMB NUMBER: 3235-0145 Expires: October 31, 2002 Estimated average burden hours per form ........... 14.9 --------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* ALAMOSA HOLDINGS, INC. ------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE ------------------------------------------------------------------------- (Title of Class of Securities) 011589 10 8 ------------------------------------------------------------------------- (CUSIP Number) C. JEDSON NAU 100 CRESCENT COURT, SUITE 1700 DALLAS, TEXAS 75201 (214) 756-6100 (214) 756-6212 (FAX) ------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) FEBRUARY 14, 2001 ---------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ] Note: Schedules filed in paper format shall include a signed original and five copies of the Schedule, including all exhibits. See Section 240.13d-7 for other parties to whom copies are to be sent. *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 on 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). 2 - ----------------------- ------------------ CUSIP No. - 011589 10 8 Page 2 of 11 Pages - ----------------------- ------------------ SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Caroline Hunt Trust Estate - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 7,405,506 SHARES BENEFICIALLY ----------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER 0 EACH REPORTING ----------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER 7,405,506 WITH ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,405,506 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.2% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - -------------------------------------------------------------------------------- 3 - ----------------------- ------------------ CUSIP No. - 011589 10 8 Page 3 of 11 Pages - ----------------------- ------------------ SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) The Rosewood Corporation - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 0 SHARES BENEFICIALLY ----------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER 803,974 EACH REPORTING ----------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER 0 WITH ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 803,974 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 803,974 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- 4 - ----------------------- ------------------ CUSIP No. - 011589 10 8 Page 4 of 11 Pages - ----------------------- ------------------ SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Rosewood Financial, Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 0 SHARES BENEFICIALLY ----------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER 803,974 EACH REPORTING ----------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER 0 WITH ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 803,974 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 803,974 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- 5 - ----------------------- ------------------ CUSIP No. - 011589 10 8 Page 5 of 11 Pages - ----------------------- ------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Don W. Crisp, individually and as trustee of Caroline Hunt Trust Estate - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 7,455,935 SHARES BENEFICIALLY ----------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER 0 EACH REPORTING ----------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER 7,455,935 WITH ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,455,935 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.2% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - -------------------------------------------------------------------------------- 6 - ----------------------- ------------------ CUSIP No. - 011589 10 8 Page 6 of 11 Pages - ----------------------- ------------------ ITEM 1. SECURITY AND ISSUER This Schedule 13D relates to the common stock, par value $0.01 (the "Common Stock") of Alamosa Holdings, Inc., a Delaware corporation ("Alamosa"). The principal executive offices of Alamosa are located at 5225 S. Loop 289, Lubbock, Texas 79424. ITEM 2. IDENTITY AND BACKGROUND This statement is filed by Caroline Hunt Trust Estate ("CHTE"), The Rosewood Corporation ("Rosewood") and Rosewood Financial, Inc. ("Financial"), and Don W. Crisp, individually and as trustee of CHTE (Trustee, and together with CHTE, Financial and Rosewood, the "Reporting Persons"). Rosewood is a wholly-owned subsidiary of CHTE and Financial is an indirect wholly-owned subsidiary of CHTE and Rosewood. An agreement among the Reporting Persons with respect to the filing of this statement is attached hereto as Exhibit 1. CHTE is a trust organized under the laws of the state of Texas. The principal activities of CHTE are to invest in closely held stock, other securities and ranching. Rosewood is a Texas corporation. The principal business activity of Rosewood is to act as a holding company. Financial is a Delaware corporation. The principal business activities of Financial are investing in securities for its own account. The Trustee is a United States citizen. The Trustee's principal occupation is as Chairman of the Board of Rosewood. The principal business and office address of each of the Reporting Persons is 100 Crescent Court, Suite 1700, Dallas, Texas 75201. The name, business address and present principal occupation or employment, of the advisory board members of CHTE and each executive officer and director of Rosewood and Financial are set forth on Attachment A hereto. During the last five years, neither of the Reporting Persons, nor, to the best of their knowledge, any of the trustee or advisory board members of CHTE or executive officers or directors of Rosewood or Financial have been (1) convicted of any criminal proceeding (excluding traffic violations or similar misdemeanors) or (2) a party to civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION On February 14, 2001, CHTE acquired 7,405,506 shares of Common Stock of Alamosa and Financial acquired 803,974 shares of Common Stock of Alamosa and the Trustee, as an individual, acquired 50,429 shares of Common Stock of Alamosa as a result of a merger of Alamosa PCS Holdings, Inc., a Delaware corporation ("Alamosa PCS"), with Alamosa. The Reporting Persons' shares of Alamosa PCS common stock were exchanged for shares of Common Stock of Alamosa at the ratio of 1:1 (the "Merger Shares"). ITEM 4. PURPOSE OF THE TRANSACTION As stated in Item 3 above, the Reporting Persons acquired the Merger Shares as a result of the merger. Depending on market conditions and other factors, the Reporting Persons may acquire additional shares as they deem appropriate, whether in open market purchases, privately negotiated transactions or otherwise. The Reporting Persons' also reserve the right to dispose of some or all of their shares in the open market, in privately negotiated 7 - ----------------------- ------------------ CUSIP No. - 011589 10 8 Page 7 of 11 Pages - ----------------------- ------------------ transactions to third parties or otherwise. The Reporting Persons have no plans or proposals which relate to or would result in any action specified in clauses (a) through (j) of Item 4 of Schedule 13D. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER The responses of the Reporting Persons to Items 7, 8, 9, 10, 11 and 13 on the cover pages of this statement and Attachment A relating to beneficial ownership as well as voting and dispositive power are incorporated herein by reference. The Trustee, as an individual, holds 50,429 shares of Alamosa Common Stock beneficially and of record. The Trustee, in his capacity as trustee of CHTE, may be deemed to have beneficial ownership of the 7,405,506 shares held by CHTE. The Trustee disclaims beneficial ownership in these shares. Except as set forth in Item 3 above and Attachment A hereto, neither Reporting Person nor, to the best of their knowledge, any person identified on Attachment A, has effected any transactions in shares of Common Stock during the preceding 60 days. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER No Reporting Person is a party to any other contract, arrangement, understanding or relationship, legal or otherwise, with respect to any securities of Alamosa. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Exhibit 1 Joint Filing Agreement dated February 26, 2001, entered into by and between CHTE, Rosewood, Financial and the Trustee. 8 - ----------------------- ------------------ CUSIP No. - 011589 10 8 Page 8 of 11 Pages - ----------------------- ------------------ SIGNATURE After reasonable inquiry and to the best of the undersigned's knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: February 26, 2001 CAROLINE HUNT TRUST ESTATE By: /s/ DON W. CRISP -------------------------------------- Don W. Crisp, Trustee THE ROSEWOOD CORPORATION By: /s/ C. JEDSON NAU -------------------------------------- C. Jedson Nau, Senior Vice President ROSEWOOD FINANCIAL, INC. By: /s/ C. JEDSON NAU -------------------------------------- C. Jedson Nau, Senior Vice President DON W. CRISP /s/ DON W. CRISP -------------------------------------- Don W. Crisp 9 - ----------------------- ------------------ CUSIP No. - 011589 10 8 Page 9 of 11 Pages - ----------------------- ------------------ INDEX TO EXHIBITS
EXHIBIT NUMBER DESCRIPTION - ------- ----------- 1 Joint Filing Agreement, dated as of February 26, 2001 entered into by and between Caroline Hunt Trust Estate, The Rosewood Corporation, Rosewood Financial, Inc. and Don W. Crisp
10 - ----------------------- ------------------- CUSIP No. - 011589 10 8 Page 10 of 11 Pages - ----------------------- ------------------- ATTACHMENT A THE TRUSTEE AND ADVISORY BOARD MEMBERS OF CAROLINE HUNT TRUST ESTATE ("CHTE") AND THE DIRECTORS AND EXECUTIVE OFFICERS OF CERTAIN CHTE SUBSIDIARIES
PRESENT BUSINESS PRESENT PRINCIPAL AMOUNT OF DATE PRICE PER TYPE OF NAME AND POSITION ADDRESS OCCUPATION SECURITIES ACQUIRED SHARE TRANSACTION PLEDGED ----------------- ---------------- ----------------- ---------- -------- --------- ----------- ------- Schuyler B. Marshall, 100 Crescent Court, President of 28,000 2/14/01 $17.00 Director No President of Rosewood Suite 1700 Rosewood options and director and Dallas, Texas 75201 110,000 2/14/01 (1) (1) executive officer of Financial Susan L. Fish, Senior 100 Crescent Court, Senior vice No vice president and chief Suite 1700 president and chief 25,183 2/14/01 (1) (1) financial officer of Dallas, Texas 75201 financial officer of Rosewood and director and Rosewood executive officer of Financial C. Jedson Nau, Senior 100 Crescent Court, Senior vice No vice president and Suite 1700 president and 10,000 2/14/01 (1) (1) general counsel of Dallas, Texas 75201 general counsel of Rosewood and executive Rosewood officer of Financial Stephen H. Sands, 100 Crescent Court, Director of Rosewood No Director of Rosewood Suite 1700 49,365 2/14/01 (1) (1) Dallas, Texas 75201 Laurie Sands Harrison, 100 Crescent Court, Director of Rosewood No Director of Rosewood Suite 1700 98,731 2/14/01 (1) (1) Dallas, Texas 75201 David K. Sands, Director 100 Crescent Court, Director of Rosewood No of Rosewood Suite 1700 103,731 2/14/01 (1) (1) Dallas, Texas 75201 J. B. Sands, Director of 100 Crescent Court, Director of Rosewood No Rosewood Suite 1700 (2) (2) (2) (2) Dallas, Texas 75201
11 - ----------------------- ------------------- CUSIP No. - 011589 10 8 Page 11 of 11 Pages - ----------------------- -------------------
PRESENT BUSINESS PRESENT PRINCIPAL AMOUNT OF DATE PRICE PER TYPE OF NAME AND POSITION ADDRESS OCCUPATION SECURITIES ACQUIRED SHARE TRANSACTION PLEDGED ----------------- ---------------- ----------------- ---------- -------- --------- ----------- ------- Patrick B. Sands, 100 Crescent Court, Director of Rosewood No Director of Rosewood Suite 1700 174,279 2/14/01 (1) (1) Dallas, Texas 75201 John M. Dziminski, Senior 100 Crescent Court, Senior vice 14,810 2/14/01 (1) (1) Yes vice president of Rosewood Suite 1700 president of Rosewood Dallas, Texas 75201 Tom Hunt, member of the 5000 Thanksgiving Chairman of the (2) (2) (2) (2) No advisory board of CHTE Tower Board and director Dallas, Texas 75201 of Hunt Petroleum Corporation and the management of personal and family interests Charles P. Summerall, 16475 Dallas Parkway Management of (2) (2) (2) (2) No member of the advisory Dallas, Texas 75252 personal and family board of CHTE interests
(1) Acquired as a result of the merger of Alamosa PCS and Alamosa. (2) These persons own no shares of Common Stock. EX-99.1 2 d84561ex99-1.txt JOINT FILING AGREEMENT 1 EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of Alamosa Holdings, Inc., and further agree that this Joint Filing Agreement be included as an Exhibit to such joint filings. In evidence thereof, the undersigned, being duly authorized, hereby execute this Agreement as of the 26th day of February, 2001. ROSEWOOD FINANCIAL, INC. By: /s/ C. JEDSON NAU ------------------------------- Name: C. Jedson Nau Title: Senior Vice President THE ROSEWOOD CORPORATION By: /s/ C. JEDSON NAU ------------------------------- Name: C. Jedson Nau Title: Senior Vice President CAROLINE HUNT TRUST ESTATE By: /s/ DON W. CRISP ------------------------------- Name: Don W. Crisp Title: Trustee DON W. CRISP /s/ DON W. CRISP ------------------------------- Don W. Crisp -----END PRIVACY-ENHANCED MESSAGE-----