-----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, DueiJ094jPikRp1dVIe67bF8W4fOm4zfZTXDc/xZPUhOH62qXVBjAIxple9YFFEt yFCJRwMuX34CtfSPORycvQ== 0001021408-01-503737.txt : 20010724 0001021408-01-503737.hdr.sgml : 20010724 ACCESSION NUMBER: 0001021408-01-503737 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20010723 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MOHEGAN TRIBAL GAMING AUTHORITY CENTRAL INDEX KEY: 0001005276 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEMBERSHIP SPORTS & RECREATION CLUBS [7997] IRS NUMBER: 061436334 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: SEC FILE NUMBER: 033-80655 FILM NUMBER: 1686169 BUSINESS ADDRESS: STREET 1: 27 CHURCH LANE CITY: UNCASVILLE STATE: CT ZIP: 06382 BUSINESS PHONE: 2038480545 10-K/A 1 d10ka.txt FORM 10-K/A ================================================================================ SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _______________ Form 10-K/A Amendment #1 Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended September 30, 2000 Commission file number 033-80655 _______________ MOHEGAN TRIBAL GAMING AUTHORITY (Exact Name of Registrant as Specified in its Charter) Connecticut 06-1436334 (State of Incorporation of Registrant) (I.R.S. Employer I.D. No.) One Mohegan Sun Boulevard Uncasville, Connecticut 06382 (Address of Principal Executive Offices) (860) 862-8000 (Registrant's telephone number) Securities registered pursuant to Section 12(b) of the Act: None Securities registered pursuant to Section 12(g) of the Act: None ______ ________ Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes [X] No [ ] Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. [ ] ================================================================================ The registrant hereby amends and restates in its entirety "Item 14, Exhibits, Financial Statement Schedules and Reports on Form 8-K" of its Annual Report on Form 10-K for the year ended September 30, 2000 filed with the Securities Exchange Commission on December 14, 2000. The purpose of this amendment is to correct the description of certain exhibits. TABLE OF CONTENTS Item Page - ------ ---- PART IV Item 14. Exhibits, Financial Statement Schedules and Reports on Form 8-K 3 _______________ 2 PART IV Item 14. Exhibits, Financial Statement Schedules and Reports on Form 8-K A(1). Financial Statements See Index to financial statements included herein. A(2). Financial Statement Schedules Included in Part IV of this Report: Schedule II - Valuation and Qualifying Accounts and Reserves Schedules other than that listed above are omitted because they are not required or are not applicable, or the required information is shown in the financial statements or notes to the financial statements. A(3). Exhibits Exhibit No. Description - ----------- ----------- 3.1 Constitution of the Mohegan Tribe of Indians of Connecticut* 3.2 Ordinance No. 95-2 of the Tribe for Gaming on Tribal Lands, enacted on July 15, 1995* 4.1 Note Purchase Agreement dated September 29, 1995 between the Mohegan Tribal Gaming Authority and Sun International Hotels Limited* 4.2 Form of Junior Subordinated Notes due 2003 of the Mohegan Tribal Gaming Authority (contained in the Note Purchase Agreement as filed as Exhibit 4.1)* 4.3 Indenture dated March 3, 1999 among the Mohegan Tribal Gaming Authority, the Mohegan Tribe of Indians of Connecticut and First Union National Bank, as Trustee, relating to the 8 1/8% Senior Notes Due 2006 of the Mohegan Tribal Gaming Authority** 4.4 Form of Global 8 1/8% Senior Notes Due 2006 of the Mohegan Tribal Gaming Authority (contained in the Indenture filed as Exhibit 4.3)** 4.5 Senior Registration Rights Agreement dated March 3, 1999 among the Mohegan Tribal Gaming Authority, Salomon Smith Barney Inc., NationsBanc Montgomery Securities LLC, SG Cowen Securities Corporation, Bear, Stearns & Co. Inc., BancBoston Robertson Stephens Inc. and Fleet Securities, Inc.** 4.6 Indenture dated as of March 3, 1999 among the Mohegan Tribal Gaming Authority, Mohegan Tribe of Indians of Connecticut and State Street Bank and Trust Company, as Trustee, relating to the 8 3/4% Senior Subordinated Notes Due 2009 of the Mohegan Tribal Gaming Authority** 4.7 Form of Global 8 3/4% Senior Subordinated Notes Due 2009 of the Mohegan Tribal Gaming Authority (contained in the Indenture filed as Exhibit 4.6)** 4.8 Senior Subordinated Registration Rights Agreement dated March 3, 1999 among the Mohegan Tribal Gaming Authority, Salomon Smith Barney Inc., NationsBanc Montgomery Securities LLC, SG Cowen Securities Corporation, Bear, Stearns & Co. Inc., BancBoston Robertson Stephens Inc. and Fleet Securities, Inc.** 10.1 The Mohegan Tribe - State of Connecticut Gaming Compact between the Mohegan Tribe of Indians of Connecticut and the State of Connecticut (the "Compact")* 10.2 Agreement dated April 25, 1994 between the Mohegan Tribe of Indians of Connecticut and the State of Connecticut resolving certain land claims (the "Resolution Agreement")* 10.3 Memorandum of Understanding dated May 17, 1994 between the Mohegan Tribe of Indians of Connecticut and the State of Connecticut regarding implementation of the Compact and the Resolution Agreement* 3 10.4 Agreement between the Mohegan Tribe of Indians of Connecticut and the Town of Montville, Connecticut* 10.5 Land Lease dated September 29, 1995 between the Mohegan Tribe of Indians of Connecticut and the Mohegan Tribal Gaming Authority; Amendment of Land Lease dated September 29, 1995* 10.6 Amendment to the Land Lease dated February 18, 1999 between the Mohegan Tribe of Indians of Connecticut and the Mohegan Tribal Gaming Authority** 10.7 Amended and Restated Gaming Facility Management Agreement dated August 30, 1995 between the Mohegan Tribe of Indians of Connecticut, the Mohegan Tribal Gaming Authority and Trading Cove Associates* 10.8 Development Services Agreement dated February 7, 1998 by and among the Mohegan Tribal Gaming Authority, the Mohegan Tribe of Indians of Connecticut and Trading Cove Associates*** 10.9 Relinquishment Agreement dated February 7, 1998 by and among the Mohegan Tribal Gaming Authority, the Mohegan Tribe of Indians of Connecticut and Trading Cove Associates*** 10.10 The Loan Agreement dated as of March 3, 1999 by and among the Mohegan Tribal Gaming Authority, the Mohegan Tribe of Indians of Connecticut, Bank of America National Trust and Savings Association as Administrative Agent, Salomon Smith Barney Inc. as Syndication Agent, Societe Generale as Documentation Agent, NationsBanc Montgomery Securities LLC as Lead Arranger and each lender named therein** 10.11 Escrow Deposit Agreement dated March 3, 1999 by and among the Mohegan Tribal Gaming Authority and First Union National Bank** 10.12 Construction Reserve Disbursement Agreement dated March 3, 1999 among the Mohegan Tribal Gaming Authority, the Mohegan Tribe of Indians of Connecticut and Fleet National Bank** 10.13 The Merrill Lynch Non-Qualified Deferred Compensation Plan Trust Agreement dated September 1, 1998 between the Authority and Merrill Lynch Trust** 10.14 Employment Agreement dated April 22, 1999 by and between the Mohegan Tribal Gaming Authority and William J. Velardo** 10.15 Employment Agreement dated April 22, 1999 by and between the Mohegan Tribal Gaming Authority and Mitchell Grossinger Etess** 10.16 Employment Agreement dated April 22, 1999 by and between the Mohegan Tribal Gaming Authority and Jeffrey E. Hartmann** 10.17 Amendment No. 1 to Loan Agreement dated as of November 30, 2000 by and among the Mohegan Tribal Gaming Authority, the Mohegan Tribe of Indians of Connecticut and Bank of America National Trust and Savings Association **** * Filed by the Authority with its Registration Statement on Form S-1 (file no. 33-80655), filed with the Securities and Exchange Commission on December 21, 1995, as amended, and incorporated herein by reference ** Filed by the Authority with its Registration Statement on Form S-4 (file no. 333-76753), filed with the Securities and Exchange Commission on April 21, 1999, and incorporated herein by reference *** Filed by the Authority with its Form 10-K for the fiscal year ended September 30, 1998 and incorporated herein reference **** Filed by the Authority with its Form 10-K for the fiscal year ended September 30, 2000 and incorporated herein by reference A(4). Reports on Form 8-K. None. 4 Signatures Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Mohegan Tribal Gaming Authority has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized, on July 23, 2001. MOHEGAN TRIBAL GAMING AUTHORITY By:/s/ Mark F. Brown --------------------------------- Mark F. Brown Chairman, Management Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed by the following person on behalf of the registrant and in the capacity indicated on July 23, 2001. Signature Title /s/ Mark F. Brown - ---------------------- Chairman, Management Board Mark F. Brown 5 -----END PRIVACY-ENHANCED MESSAGE-----