-----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, KDCckZlNq8Haji7IU00W2+NIZkZWkqif6PJlsRo1Ou7MZZjqgr7dR+iwiM1MIfUr NPKlJsATavOzZqHflnLqMA== 0000950131-96-006328.txt : 19961217 0000950131-96-006328.hdr.sgml : 19961217 ACCESSION NUMBER: 0000950131-96-006328 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961216 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23802 FILM NUMBER: 96680720 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: 4 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 4 1 FORM 4 +--------+ | FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION +--------+ WASHINGTON, D.C. 20549 [_] Check this box if no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP to Section 16. Form 4 or Form 5 Filed pursuant to Section 16(a) of the Securities obligations may Exchange Act of 1934, Section 17(a) of the continue. See Public Utility Holding Company Act of 1935 or Instruction 1(b). Section 30(f) of the Investment Company Act of 1940 - ----------------------------- OMB APPROVAL - ----------------------------- OMB Number 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response..... 0.5 - ----------------------------- - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* CS First Boston, Inc. - -------------------------------------------------------------------------------- (Last) (First) (Middle) Eleven Madison Avenue - -------------------------------------------------------------------------------- (Street) New York, NY 10010 - -------------------------------------------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol MK Rail Corporation (MKRL) ----------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) 13-2853402 -------------- 4. Statement for Month/Year 11/96 --------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) --------------------------------- 6. Relationship of Reporting Persons to Issuer (Check all applicable) [ ] Director [ ] Officer [ ] 10% Owner [X] Other (give title below) (specify below) (Reporting Persons May be deemed members of a group.) 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 ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Title 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature of action action or Disposed of (D) Securities ship of In- Security Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Instr. 3) (Month/ (Instr. 8) Owned at Direct Bene- Day/ ----------------------------------------------- End of (D) or ficial Year) Month Indirect Owner- Code V Amount (A) or Price (Instr. 3 and 4) (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.01 par value 11/22/96 S 473,925 D (a) 1,466,174 I (b) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.01 par value 11/26/96 J(c) 1,411,174 (c) (c) 1,466,174 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
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 4(b)(v). (Over) SEC 1474 (7-96) FORM 4 (continued) Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- --------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative | 2. Conver- | 3. Trans- | 4. Transac- | 5. Number of Deriv- | Security (Instr. 3) | sion or | action | tion Code | ative Securities | | Exercise | Date | (Instr. 8) | Acquired (A) or | | Price of | (Month/ | | Disposed of (D) | | Deriv- | Day/ | | (Instr. 3, 4, and 5) | | ative | Year) | | | | Security | | | | | | | | | | | |---------------------|---------------------------------| | | | Code | V | (A) | (D) | | | | | | | | - ----------------------------|-------------------|------------------|----------|----------|---------------|-----------------| | | | | | | | | | | | | | | - ----------------------------|-------------------|------------------|----------|----------|---------------|---------------- | | | | | | | | - ----------------------------|-------------------|------------------|----------|----------|---------------|---------------- | | | | | | | | - ----------------------------|-------------------|------------------|----------|----------|---------------|---------------- | | | | | | | | | | | | | | | - ----------------------------|-------------------|------------------|----------|----------|---------------|---------------- | | | | | | | | - ----------------------------|-------------------|------------------|----------|----------|---------------|---------------- | | | | | | | | - ----------------------------|-------------------|------------------|----------|----------|---------------|---------------- | | | | | | | | - ----------------------------|-------------------|------------------|----------|----------|---------------|---------------- | | | | | | | | - ----------------------------|-------------------|------------------|----------|----------|---------------|---------------- | | | | | | | | - ----------------------------|-------------------|------------------|----------|----------|---------------|---------------- | | | | | | | | - ---------------------------------------------------------------------------------------------------------------------------
- --------------------------------------------------------------------------------------------------------------------------------- | | | | | | 1. Title of Derivative | 6. Date Exer- | 7. Title and Amount of | 8. Price | 9. Number | 10. Owner- | 11. Na- Security (Instr. 3) | cisable and | Underlying Securities | of | of Deriv- | ship | ture | Expiration | (Instr. 3 and 4) | Deriv- | ative | Form | of In- | Date | | ative | Secur- | of De- | direct | (Month/Day/ | | Secur- | ities | rivative | Bene- | Year) | | ity | Bene- | Secu- | ficial | | | (Instr.| ficially | rity | Owner- |-----------------|--------------------------| 5) | Owned | Direct | ship | Date | Expira| | Amount or | | at End | (D) or | (Instr. | Exer- | tion | Title | Number of | | of | Indi- | 4) | cisable| Date | | Shares | | Month | rect (I) | | | | | | | (Instr. 4)| (Instr. 4)| - ----------------------------|---------|-------|----------|---------------|-----------|--------------|---------------|------------- | | | | | | | | | | | | | | | | | | | | | | | | - ----------------------------|---------|-------|----------|---------------|-----------|--------------|---------------|------------- | | | | | | | | | | | | | | | | - ----------------------------|---------|-------|----------|---------------|-----------|--------------|---------------|------------- | | | | | | | | | | | | | | | | - ----------------------------|---------|-------|----------|---------------|-----------|--------------|---------------|------------- | | | | | | | | | | | | | | | | - ----------------------------|---------|-------|----------|---------------|-----------|--------------|---------------|------------- | | | | | | | | | | | | | | | | - ----------------------------|---------|-------|----------|---------------|-----------|--------------|---------------|------------- | | | | | | | | | | | | | | | | - ----------------------------|---------|-------|----------|---------------|-----------|--------------|---------------|------------- | | | | | | | | | | | | | | | | - ----------------------------|---------|-------|----------|---------------|-----------|--------------|---------------|------------- | | | | | | | | | | | | | | | | - ----------------------------|---------|-------|----------|---------------|-----------|--------------|---------------|------------- | | | | | | | | | | | | | | | | - ----------------------------|---------|-------|----------|---------------|-----------|--------------|---------------|------------- | | | | | | | | | | | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: See page 5. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided 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. CS First Boston, Inc. /s/ Agnes F. Reicke 12/13/96 - ------------------------------- ----------------- **Signature of Reporting Person Date Name: Agnes F. Reicke Page 2 Title: Deputy General Counsel, SEC 1474 (7-96) Director and Secretary JOINT FILER INFORMATION Name: CS First Boston Securities Corporation Address: Eleven Madison Avenue New York, NY 10010 Designated Filer: CS First Boston, Inc. Statement for: November 1996 IRS Identification Number of Reporting Person: 13-2972600 Issuer Name 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: 12/13/96 -------- Page 3 of 5 SEC 1474 (7-96) JOINT FILER INFORMATION Name: CS First Boston Corporation Address: Eleven Madison Avenue New York, NY 10010 Designated Filer: CS First Boston, Inc. Statement for: November 1996 IRS Identification Number of Reporting Person: 13-5659485 Issuer Name and Ticker Symbol: MK Rail Corporation (MKRL) CS First Boston Corporation Signature: By: /s/ Agnes F. Reicke --------------------------- Name: Agnes F. Reicke Title: Secretary Date: 12/13/96 -------- Page 4 of 5 SEC 1474 (7-96) Names of Reporting Persons: CS First Boston, Inc. CS First Boston Securities Corporation CS First Boston Corporation Address of Each of Reporting Persons: Eleven Madison Avenue New York, NY 10010 Statement for: November 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. As a result of purchases of debt owed by American Passenger Rail Company ("APRC") made pursuant to an oral agreement entered into between CS First Boston Securities Corporation ("CSFBSC"), a direct, wholly- owned subsidiary of CS First Boston, Inc. ("CSFBI"), and Nomura Holding America, Inc. ("Nomura"), in June 1996 (the "Nomura Agreement"), CSFBSC became entitled to receive 473,925 shares of the common stock, $0.01 par value, of MK Rail Corporation (the "MK Rail Common Stock"), 963,916 shares of the common stock, $0.01 par value, of MKC and 71,808 shares of the preferred stock, $0.01 par value, of MKC (collectively, the "APRC Proceeds") on behalf of Nomura. Under the Nomura Agreement, CSFBSC 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 APRC 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. Pursuant to the Nomura Agreement, CSFBSC transferred beneficial ownership of the APRC Proceeds, which included 473,925 shares of MK Rail Common Stock, after receiving a total payment of $11,519,675.44. (b) By CS First Boston Corporation, a direct, wholly-owned subsidiary of CSFBI. (c) In the ordinary course of business, CSFBSC transferred to CS First Boston Corporation ("CSFBC"), both of which are wholly-owned subsidiaries of CSFBI, beneficial ownership of its 1,411,174 shares of MK Rail Common Stock remaining after the consummation of the transaction described in Note (a) above. CSFBSC is no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. Page 5 of 5 SEC 1474 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----