0000061227-12-000011.txt : 20120127
0000061227-12-000011.hdr.sgml : 20120127
20120127121350
ACCESSION NUMBER: 0000061227-12-000011
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20120127
DATE AS OF CHANGE: 20120127
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: U.S. Concrete, Inc.
CENTRAL INDEX KEY: 0001307784
IRS NUMBER: 760586680
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-84033
FILM NUMBER: 12550621
BUSINESS ADDRESS:
STREET 1: 2925 BRIARPARK, SUITE 500
CITY: HOUSTON
STATE: TX
ZIP: 77042
BUSINESS PHONE: 713-499-6200
MAIL ADDRESS:
STREET 1: 2925 BRIARPARK, SUITE 500
CITY: HOUSTON
STATE: TX
ZIP: 77042
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: MACKAY SHIELDS LLC
CENTRAL INDEX KEY: 0000061227
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000]
IRS NUMBER: 134080466
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 9 WEST 57TH STREET
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-758-5400
MAIL ADDRESS:
STREET 1: 9 WEST 57TH STREET
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
FORMER COMPANY:
FORMER CONFORMED NAME: MACKAY SHIELDS FINANCIAL CORP
DATE OF NAME CHANGE: 19920929
SC 13G/A
1
g13.txt
UNITED STATES SECURITIES AND
EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G/A
(Amendment #2)
Under the Securities Exchange Act of 1934
Information to be included in statements filed
pursuant to Rule 13d-1 (b) (c) and (d) and Amendments thereto
filed pursuant to Rule 13d-2 (b).
U.S. Concrete, Inc.
(Name of Issuer)
Common Stock, $.001 Par Value
(Title of Class of Securities)
90333L201
(CUSIP Number)
December 31, 2011
(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).
SCHEDULE 13G
Issuer: U.S. Concrete, Inc. CUSIP No.: 90333L201
1 NAMES OF REPORTING PERSONS I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS
MacKay Shields LLC
IRS# 13-4080466;
2 CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a)
(b)
3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware (United States)
NUMBER OF SHARES 5 SOLE VOTING POWER 1,468,526
BENEFICIALLY 6 SHARED VOTING POWER 0
OWNED BY
EACH 7 SOLE DISPOSITIVE POWER 1,468,526
REPORTING
PERSON 8 SHARED DISPOSITIVE POWER 0
WITH
9 AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
Total: 1,468,526
10 CHECK IF THE AGGREGATE AMOUNT IN
ROW (11) EXCLUDES CERTAIN SHARES
Not Applicable
11 PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 11
12.31%
12 TYPE OF REPORTING PERSON
IA
SCHEDULE 13G
Issuer: U.S. Concrete, Inc. CUSIP No.: 90333L201
ITEM 1
(a) Name of Issuer:
U.S Concrete, Inc.
(b) Address of Issuer's Principal Executive Offices:
2925 Briarpark, Suite 1050
Houston, TX 77042
ITEM 2(a) Name of Person Filing:
MacKay Shields LLC
(b) Address of Principal Business Office:
9 West 57th Street
New York, NY 10019
(c) Citizenship:
United States
(d) Title of Class of Securities:
Common Stock, $.001 Par Value
(e) CUSIP Number: 90333L201
ITEM 3
If this statement is filed pursuant to Sections 240.
13d-1(b), or 240.13d-2(b) or (c), check whether
the person filing is a:
(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 if 1940
(15 U.S.C. 80a-8);
(e) [X] An investment adviser in accordance with Section
240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in
accordance with Section 240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in
accordance with Section 240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings associations 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 insurance 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).
SCHEDULE 13G
Issuer: U.S Concrete, Inc. CUSIP No.: 90333L201
ITEM 4. Ownership.
MacKay Shields LLC, an investment adviser registered under
Section 203 of the Investment Advisers Act of 1940, is deemed to be
the beneficial owner of 1,468,526 shares or 12.31% of the Common
Stock believed to be outstanding as a result of acting as investment
adviser to various clients. The Common Stock was received in
connection with a plan of reorganization of the Issuer which was
effective September 1, 2010.
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 OR CONTROL PERSON.
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 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 such securities and were
not acquired and are not held in connection with or as a participant
in any transaction having that purpose of 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: January 27, 2012
Signature: /s/ Rene A. Bustamante
Name/Title: Rene A. Bustamante
Chief Compliance Officer