-----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, FMIieIWTndZATJHeamL+FFglOu2qGjc6YAU2eKwvB8yvRG2DuOFiZfFt2KyazWXI Z3y8O2L7LZOM4c2ORUHd0A== 0000950131-96-005380.txt : 19961101 0000950131-96-005380.hdr.sgml : 19961101 ACCESSION NUMBER: 0000950131-96-005380 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961031 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MK RAIL CORP CENTRAL INDEX KEY: 0000919563 STANDARD INDUSTRIAL CLASSIFICATION: RAILROAD EQUIPMENT [3743] IRS NUMBER: 820461010 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23802 FILM NUMBER: 96651006 BUSINESS ADDRESS: STREET 1: 1200 REEDSDALE ST CITY: PITTSBURGH STATE: PA ZIP: 15233 BUSINESS PHONE: 4122372250 MAIL ADDRESS: STREET 1: 1200 REEDSDALE STREET CITY: PITTSBURGH STATE: PA ZIP: 15233 COMPANY DATA: COMPANY CONFORMED NAME: CS FIRST BOSTON INC CENTRAL INDEX KEY: 0000036121 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] OTHER IRS NUMBER: 132853402 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 55 E 52ND ST STREET 2: PARK AVE PLZ CITY: NEW YORK STATE: NY ZIP: 10055 BUSINESS PHONE: 2129092000 MAIL ADDRESS: STREET 1: 55 E 52ND ST CITY: NEW YORK STATE: NY ZIP: 10055-0186 FORMER COMPANY: FORMER CONFORMED NAME: CS FIRST BOSTON GROUP INC/DE DATE OF NAME CHANGE: 19931029 3 1 FORM 3
- -------- FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION - -------- Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - ---------------------------------------------------------------- 1. Name and Address of Reporting Person* CS First Boston, Inc. - ---------------------------------------------------------------- (Last) (First) (Middle) Park Avenue Plaza 55 East 52nd Street - ---------------------------------------------------------------- (Street) - ---------------------------------------------------------------- New York, NY 10055 - ---------------------------------------------------------------- (City) (State) (Zip) - ---------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 9/14/96 - ---------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) 13-2853402 - ---------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol MK Rail Corporation (MKRL) - ---------------------------------------------------------------- 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ____ Director _X__ 10% Owner ____ Officer (give title below) _X__ Other (specify below) (Reporting Persons may be deemed members of a group.) - ---------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - ---------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) ____ Form filed by One Reporting Person __X_ Form filed by More than One Reporting Person - ---------------------------------------------------------------- Table I--Non-Derivative Securities Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Amount of Securities Beneficially Owned 3. Ownership Form: Direct 4. Nature of Indirect (D) or Indirect (I) Beneficial (Instr. 4) (Instr. 4) (Instr. 5) Ownership (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.01 par value 1,885,099 shares (a) I/D (a) By CS First Boston Securities Corporation - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.01 par value 55,000 shares (b) I By CS First Boston Corporation - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. *If the form is filed by more than one reporting person, see instruction 5(b)(v). Page 1 of 4 SEC 1473 (7-96)
FORM 3 (CONTINUED) TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Date Exer- 3. Title and Amount of 4. Conversion 5. Owner- 6. Nature of Indirect Security (Instr. 4) cisable and Securities Underlying or Exercise ship Beneficial Expiration Derivative Security Price of Form of Ownership Date (Instr. 4) Derivative Derivative (Instr. 5) (Month/Day/ Security Security: Year) Direct ------------------------------------------------------------ (D) or Date Expira- Amount Indirect Exer- tion or (I) cisable Date Title Number (Instr. 5) of Shares - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: See page 4. CS First Boston, Inc. By: /s/ Agnes F. Reicke 10/30/96 -------------------------------- -------- **Signature of Reporting Person Date **Intentional misstatements or omissions of facts constitute Name: Agnes F. Reicke Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Title: Deputy General Counsel, Director and Secretary Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
Page 2 of 4 SEC 1473 (7-96) JOINT FILER INFORMATION Name: CS First Boston Securities Corporation Address: Park Avenue Plaza 55 East 52nd Street New York, NY 10055 Designated Filer: CS First Boston, Inc. Date of Event Requiring Statement: September 14, 1996 IRS Identification Number of Reporting Person: 13-2972600 Issuer and Ticker Symbol: MK Rail Corporation (MKRL) CS First Boston Securities Corporation Signature: By: /s/ Agnes F. Reicke ------------------------------ Name: Agnes F. Reicke Title: Vice President and Secretary Date: 10/30/96 ------------ Page 3 of 4 SEC 1473 (7-96) Names of Reporting Persons: CS First Boston, Inc. CS First Boston Securities Corporation Address of Each of Reporting Persons: Park Avenue Plaza 55 East 52nd Street New York, NY 10055 Date of Event Requiring Statement: September 14, 1996 Issuer and Ticker Symbol: MK Rail Corporation (MKRL) --------------- EXPLANATION OF RESPONSES (a) Pursuant to an order of the United States Bankruptcy Court for the District of Delaware, dated August 26, 1996, the First Amended Plan of Reorganization of Morrison Knudsen Corporation ("MKC") under Chapter 11 of the Bankruptcy Code (the "Plan") was confirmed. Under the Plan, CS First Boston Securities Corporation ("CSFBSC"), a direct, wholly-owned subsidiary of CS First Boston, Inc. ("CSFBI"), and a joint filer with CSFBI of this Form 3, became entitled to receive 1,885,099 shares of Common Stock (the "Aggregate Proceeds"), comprised of 927,171 shares on account of debt owed by MKC and 957,928 shares on account of debt owed by American Passenger Rail Company, L.L.C., a Delaware limited liability company ("APRC"), an affiliate of MKC (the "APRC Proceeds"). The Aggregate Proceeds and the APRC Proceeds include 519,542 shares (the "Nomura Proceeds") which CSFBSC became entitled to receive under the Plan on behalf of Nomura Holding America, Inc. ("Nomura"), as a result of purchases of debt owed by APRC made pursuant to an oral agreement entered into between CSFBSC and Nomura in June 1996 (the "Nomura Agreement"). Under the Nomura Agreement, CSFBSC has agreed to irrevocably transfer, assign and convey to Nomura specified percentages of the debt owed by APRC and purchased by CSFBSC at various times, or the proceeds thereof (which constitute the Nomura Proceeds), upon the payment to CSFBSC by Nomura of the specified percentages of CSFBSC's actual cost of the related purchases, plus an amount based on CSFBSC's cost of carry of the purchases from the dates of such purchases. Upon the receipt of payment under the terms of the Nomura Agreement, CSFBSC will transfer, assign and convey the Nomura Proceeds to Nomura, and the Reporting Persons will have no further arrangements with Nomura with respect to the Nomura Proceeds or the securities of MK Rail, except to the extent the Nomura Proceeds are subject to the Stockholders Agreement described below. The Reporting Persons disclaim beneficial ownership of the Nomura Proceeds for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Plan required creditors of MKC, including CSFBSC, to be bound by the terms of a Stockholders Agreement dated as of June 20, 1996, and as amended by the First Amendment to the Stockholders Agreement dated as of July 25, 1996, between MK Rail and MKC (the "Stockholders Agreement"). The Stockholders Agreement provides that the shares of Common Stock received by CSFBSC and the other stockholders bound thereby (the "Stockholders") must be voted for certain nominees for election to MK Rail's board of directors. The Reporting Persons and the Stockholders may be deemed to constitute a group for purposes of Section 13(d)(3) of the Exchange Act because of the Stockholders Agreement. The Reporting Persons disclaim beneficial ownership of the shares of Common Stock held by the Stockholders and disclaim that they constitute a group with the Stockholders for purposes of each of Section 13(d)(3) and Section 16 of the Exchange Act. (b) CS First Boston Corporation ("CSFBC"), a direct, wholly-owned subsidiary of CSFBI, acts as a market maker in the Common Stock. As of the filing date, CSFBC held 55,000 shares of Common Stock in its trading account, acquired from time to time in open market transactions in the ordinary course of its market making activities. Page 4 of 4 SEC 1473 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----