-----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, Nj8Uy3GfXpAs6+Cbq/S4bdAUUKp4QUWI7mdm07xKg/giB1ESpzhU1Ca8LfK/FYeg OpzfX/SPeM192bBot1g83g== 0000950172-02-000286.txt : 20020414 0000950172-02-000286.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950172-02-000286 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 GROUP MEMBERS: EXCELSIOR PRIVATE EQUITY FUND II, INC. GROUP MEMBERS: U. S. TRUST COMPANY GROUP MEMBERS: U.S. TRUST CORPORATION GROUP MEMBERS: UNITED STATES TRUST COMPANY OF NEW YORK SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARDIAC SCIENCE INC CENTRAL INDEX KEY: 0000876188 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 330465681 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-41851 FILM NUMBER: 02547732 BUSINESS ADDRESS: STREET 1: 16931 MILLIKAN AVENUE CITY: IRVINE STATE: CA ZIP: 92606 BUSINESS PHONE: 9495870357 MAIL ADDRESS: STREET 1: 16931 MILLIKAN AVENUE CITY: IRVINE STATE: CA ZIP: 92606 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EXCELSIOR PRIVATE EQUITY FUND II INC CENTRAL INDEX KEY: 0001036052 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 114 WEST 47TH ST CITY: NEW YORK STATE: NY ZIP: 10036-1532 BUSINESS PHONE: 2128523949 MAIL ADDRESS: STREET 1: 114 WEST 47TH ST CITY: NEW YORK STATE: NY ZIP: 10036-1532 SC 13G 1 s230422.txt SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ------- Cardiac Science, Inc. - ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, par value $0.001 per share - ------------------------------------------------------------------------------ (Title of Class of Securities) 141410209 - ------------------------------------------------------------------------------ (CUSIP Number) December 31, 2001 - ------------------------------------------------------------------------------ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [x] 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 (the "Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. =============================== ==================== CUSIP NO. 141410209 13G Page 2 of 10 pages =============================== ==================== ============================================================================== 1 NAME(S) OF REPORTING PERSON(S) S.S. OR I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) U.S. Trust Corporation 13-3818952 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /_/ (b) /_/ - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York ============================================================================== 5 SOLE VOTING POWER NUMBER OF SHARES 0 -------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 3,564,700 shares of Common Stock -------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 -------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 3,564,700 shares of Common Stock ================================================ ======= ===================== 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,564,700 shares of Common Stock - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES Not applicable - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.3% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON HC ============================================================================== =============================== ==================== CUSIP NO. 141410209 13G Page 3 of 10 pages =============================== ==================== ============================================================================== 1 NAME(S) OF REPORTING PERSON(S) S.S. OR I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) United States Trust Company of New York 13-381954 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /_/ (b) /_/ - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York ============================================================================== 5 SOLE VOTING POWER NUMBER OF SHARES 0 -------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 3,564,700 shares of Common Stock -------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 -------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 3,564,700 shares of Common Stock ============================================================================== 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,564,700 shares of Common Stock - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES Not applicable - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.3% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON BK ============================================================================== =============================== ==================== CUSIP NO. 141410209 13G Page 4 of 10 pages =============================== ==================== ============================================================================== 1 NAME(S) OF REPORTING PERSON(S) S.S. OR I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) U.S. Trust Company 06-1486047 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /_/ (b) /_/ - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Connecticut ============================================================================== 5 SOLE VOTING POWER NUMBER OF SHARES 0 -------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 3,564,700 shares of Common Stock -------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 -------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 3,564,700 shares of Common Stock ============================================================================== 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,564,700 shares of Common Stock - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES Not applicable - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.3% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON BK ============================================================================== =============================== ==================== CUSIP NO. 141410209 13G Page 5 of 10 pages =============================== ==================== ============================================================================== 1 NAME(S) OF REPORTING PERSON(S) S.S. OR I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) Excelsior Private Equity Fund II, Inc. 22-3510108 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /_/ (b) /_/ - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Maryland ============================================================================== 5 SOLE VOTING POWER NUMBER OF SHARES 0 ------- ------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 3,564,700 shares of Common Stock ------- ------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 ------- ------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH 3,564,700 shares of Common Stock ============================================================================== 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,564,700 shares of Common Stock - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES Not applicable - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.3% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON CO ============================================================================== Item 1(a) Name of Issuer Cardiac Science, Inc. Item 1(b) Address of Issuer's Principal Executive Offices 16931 Millikan Avenue Irvine, California 92606 Item 2(a) Name of Persons Filing (1) U.S. Trust Corporation* (2) United States Trust Company of New York** (3) U.S. Trust Company** (4) Excelsior Private Equity Fund II, Inc.** * U.S. Trust Corporation is a wholly-owned direct subsidiary of The Charles Schwab Corporation and each of United States Trust Company of New York and U.S. Trust Company is a wholly-owned direct subsidiary of U.S. Trust Corporation. The Charles Schwab Corporation and its controlling persons (collectively, "Schwab") expressly disclaim beneficial ownership of the securities covered hereby and declare that the filing of this statement shall not be construed as an admission that Schwab is, for purposes of Sections 13(d) or (g) of the Securities Exchange Act of 1934, as amended, the beneficial owner of such securities. ** Pursuant to management agreement with Excelsior Private Equity Fund II, Inc. (the "Fund"), a business development company within the meaning of Section 2(a)(48) of the Investment Company Act of 1940, as amended, each of United States Trust Company of New York and U.S. Trust Company act as investment adviser to the Fund. Item 2(b) Address of Principal Business Offices or, if none, Residence ------------------------------------------------------------ (1), (2) 114 West 47th Street and (4) New York, NY 10036 (3) 225 High Ridge Road Stamford, CT 06905 Item 2(c) Citizenship (1) and (2) New York (3) Connecticut Page 6 of 10 pages (4) Maryland Item 2(d) Title of Class of Securities Common Stock, par value $0.001 per share Item 2(e) CUSIP Number 141410209 Item 3. If this statement is filed pursuant to Rules 13d-1(b) ----------------------------------------------------- or 13d-2(b) or (c), check whether the person filing is a: ---------------------------------------------------------- Not applicable (a) [ ] Broker or dealer registered under Section 15 of the Act; (b) [ ] Bank as defined in section 3(a)(6) of the Act; (c) [ ] Insurance company as defined in Section 3(a)(19) of the Act; (d) [ ] Investment company registered under Section 8 of the Investment Company Act; (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Page 7 of 10 pages Item 4. Ownership (a) Amount Beneficially Owned: 3,564,700 shares of Common Stock. U.S. Trust Corporation expressly disclaims beneficial ownership of the securities covered hereby. (b) Percent of Class: 5.3% (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: 3,564,700 shares of Common Stock (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 3,564,700 shares of Common Stock 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 [ ]. Item 6. Ownership of More than Five Percent on Behalf of ------------------------------------------------ Another Person -------------- Not applicable Page 8 of 10 pages Item 7. Identification and Classification of the Subsidiary --------------------------------------------------- Which Acquired the Security Being Reported on by the Parent ------------------------------------------------------------ Holding Company --------------- See Exhibit I. Item 8. Identification and Classification of Members of the Group --------------------------------------------------------- Not applicable Item 9. Notice of Dissolution of Group Not applicable Item 10. Certification Not applicable Page 9 of 10 pages Signatures ---------- 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. February 14, 2002 ------------------- (Date) U.S. Trust Corporation By: /s/ Susan Jacobi -------------------------------------- Name: Susan Jacobi Title: Senior Vice President and Assistant General Counsel United States Trust Company of New York By: /s/ Irene S. Greenberg -------------------------------------- Name: Irene S. Greenberg Title: Vice President and Assistant General Counsel U.S. Trust Company By: /s/ Cynthia Englert -------------------------------------- Name: Cynthia Englert Title: Vice President Excelsior Private Equity Fund II, Inc. By: /s/ Cynthia Englert -------------------------------------- Name: Cynthia Englert Title: Chief Administrative Officer Page 10 of 10 pages -----END PRIVACY-ENHANCED MESSAGE-----