-----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, PQMoAPr9CdRXBai++PlL5vBkQ/PdgglF/Ql+I946wTuWc/hGlhktF+b2Hbjrj3Lf WYeG77+NmBLISQNu1RDgwQ== /in/edgar/work/0000912057-00-044073/0000912057-00-044073.txt : 20001009 0000912057-00-044073.hdr.sgml : 20001009 ACCESSION NUMBER: 0000912057-00-044073 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20001006 GROUP MEMBERS: HOOKER FUNITURE CORP EMPLOYEE STOCK OWNERSHIP PLAN TRUST GROUP MEMBERS: US TRUST COMPANY NATIONAL ASSOCIATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOOKER FURNITURE CORP CENTRAL INDEX KEY: 0001077688 STANDARD INDUSTRIAL CLASSIFICATION: [2510 ] IRS NUMBER: 540251350 STATE OF INCORPORATION: VA FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-58359 FILM NUMBER: 736185 BUSINESS ADDRESS: STREET 1: 440 E COMMONWEALTH BLVD CITY: MARTINSVILLE STATE: VA ZIP: 24112 BUSINESS PHONE: 5406322133 MAIL ADDRESS: STREET 1: 440 E COMMONWEALTH BLVD CITY: MARTINSVILLE STATE: VA ZIP: 24112 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HOOKER FUNITURE CORP EMPLOYEE STOCK OWNERSHIP PLAN TRUST CENTRAL INDEX KEY: 0001120047 STANDARD INDUSTRIAL CLASSIFICATION: [ ] IRS NUMBER: 561368984 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: US TRUST CO, TRUSTEE STREET 2: 600 14TH ST NW STE 600 CITY: WASHINGTON STATE: DC ZIP: 20005 BUSINESS PHONE: 2027837054 MAIL ADDRESS: STREET 1: 600 14TH ST NW STE 600 CITY: WASHINGTON STATE: DC ZIP: 20005 SC 13G 1 a2027301zsc13g.txt SCHEDULE 13G CUSIP No. 439038 10 0 Page 1 of 6 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ------ Hooker Furniture Corporation ------------------------------------------------------- (Name of Issuer) Common Stock ------------------------------------------------------- (Title of Class of Securities) 439038 10 0 ------------------------------------------------------- (CUSIP Number) September 8, 2000 ------------------------------------------------------- (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). CUSIP No. 439038 10 0 Page 2 of 6 - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). U.S. Trust Company, NATIONAL ASSOCIATION as Trustee For Hooker Furniture Corporation Employee Stock Ownership Plan Trust Tax id # 95-4311476 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) /X/ of a Group (See Instructions) (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization Virginia, United States of America - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially -0- Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 2,364,270 -------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------- (8) Shared Dispositive Power 2,364,270 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,364,270 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 31% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) EP - ------------------------------------------------------------------------------- CUSIP No. 439038 10 0 Page 3 of 6 - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). U.S. Trust Company, NATIONAL ASSOCIATION - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) /X/ of a Group (See Instructions) (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization USA - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially -0- Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 2,364,270 -------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------- (8) Shared Dispositive Power 2,364,270 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,364,270 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 31% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) EP - ------------------------------------------------------------------------------- CUSIP No. 439038 10 0 Page 4 of 6 ITEM 1. (a) Name of Issuer Hooker Furniture Corporation --------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices 440 East Commonwealth Boulevard Martinsville, VA 24115 --------------------------------------------------------------------- ITEM 2. (a) Name of Person Filing Hooker Furniture Corporation Employee Stock Ownership Plan Trust U.S. Trust Company, NATIONAL ASSOCIATION --------------------------------------------------------------------- (b) Address of Principal Business Office or, if none, Residence 515 S. Flower St #2800 Los Angeles, CA 90071 --------------------------------------------------------------------- (c) Citizenship USA --------------------------------------------------------------------- (d) Title of Class of Securities Common Stock, no par value per share --------------------------------------------------------------------- (e) CUSIP Number 439038 10 0 --------------------------------------------------------------------- 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 of 1940 (15 U.S.C. 80a-8). (e) / / An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E). (f) /X/ 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 association 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 investment 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). CUSIP No. 439038 10 0 Page 5 of 6 ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 2,364,270 --------------------------------------------------------------------------- (b) Percent of class: 31% --------------------------------------------------------------------------- (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote -0- ----------------------------------------------------------------- (ii) Shared power to vote or to direct the vote 2,364,270 ----------------------------------------------------------------- (iii) Sole power to dispose or to direct the disposition of -0- ----------------------------------------------------------------- (iv) Shared power to dispose or to direct the disposition of 2,364,270 ----------------------------------------------------------------- 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 ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not Applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable CUSIP No. 439038 10 0 Page 6 of 6 ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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 the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or 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. October 5, 2000 ---------------------------------------- Date /s/ OTIS A. SINNOTT, JR. ---------------------------------------- Signature Otis A. Sinnott, Jr. SVP ---------------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----