-----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, LKI9ye0kYpF4a4Fmbc9NP7YNsgw2mqKg7pgMYLzFLa7BfN/KjdMRYKhpxQXisb9S LFmrT8nwrUEEKjPrdfSebw== 0000950129-02-001270.txt : 20020415 0000950129-02-001270.hdr.sgml : 20020415 ACCESSION NUMBER: 0000950129-02-001270 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020313 COMPANY DATA: COMPANY CONFORMED NAME: KRATZ OWEN E CENTRAL INDEX KEY: 0001041815 OFFICER FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: 400 N SAM HOUSTON PARKWAY STREET 2: SUITE 400 CITY: HOUSTON STATE: TX ZIP: 77060 MAIL ADDRESS: STREET 1: 400 N SAM HOUSTON PARKWAY STREET 2: SUITE 400 CITY: HOUSTON STATE: TX ZIP: 77060 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAL DIVE INTERNATIONAL INC CENTRAL INDEX KEY: 0000866829 STANDARD INDUSTRIAL CLASSIFICATION: OIL, GAS FIELD SERVICES, NBC [1389] IRS NUMBER: 953409686 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 000-22739 FILM NUMBER: 02574457 BUSINESS ADDRESS: STREET 1: 400 N SAM HOUSTON PKWYE STREET 2: SUITE 400 CITY: HOUSTON STATE: TX ZIP: 77060 BUSINESS PHONE: 2816180400 MAIL ADDRESS: STREET 1: 400 N SAM HOUSTON PKWY E STREET 2: SUITE 400 CITY: HOUSTON STATE: TX ZIP: 77060 144 1 h94976e144.txt OWEN KRATZ FOR CAL DIVE INTERNATIONAL, INC. FORM 144 U.S. SECURITIES AND EXCHANGE COMMISSION -------------------------- WASHINGTON, DC 20549 S.E.C. USE ONLY -------------------------- NOTICE OF PROPOSED SALE OF SECURITIES DOCUMENTARY SEQUENCE NO. PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 -------------------------- ATTENTION: Transmit for filing three copies of this form concurrently with CUSIP NUMBER either placing an order with a broker to execute a sale or executing a sale directly with a market maker. -------------------------- WORK LOCATION -------------------------- - --------------------------------------------------------------------------------------------------------- 1(a) NAME OF ISSUER (b) IRS IDENT. NO. (c) S.E.C. FILE NO. Cal Dive International, Inc. 95-3409686 026811-0000 - ------------------------------------------------------------------------------------------------------------------------------------ 1(d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE (e) TELEPHONE NO. ------------------------ 400 N. Sam Houston Pkwy. E. #400 Houston Texas 77060 AREA CODE NUMBER 281 618-0400 - ------------------------------------------------------------------------------------------------------------------------------------ 2(a) NAME OF PERSON FOR WHOSE ACCOUNT (b) SOCIAL SECURITY (c) RELATIONSHIP (d) ADDRESS STREET CITY STATE ZIP CODE THE SECURITIES ARE TO BE SOLD NO. OR IRS IDENT. NO. TO ISSUER 400 N. Sam Houston Pkwy. E. #400 Owen Kratz ###-##-#### Officer Houston, TX 77060 - ------------------------------------------------------------------------------------------------------------------------------------ INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number. - ------------------------------------------------------------------------------------------------------------------------------ 3(a) (b) (c) (d) TITLE OF THE NAME AND ADDRESS OF EACH BROKER S.E.C. USE ONLY NUMBER OF SHARES AGGREGATE CLASS OF THROUGH WHOM THE SECURITIES ARE TO BE --------------- OR OTHER UNITS MARKET SECURITIES OFFERED OR EACH MARKET MAKER WHO IS BROKER-DEALER TO BE SOLD VALUE TO BE SOLD ACQUIRING THE SECURITIES FILE NUMBER (See instr. 3(c)) (See instr. 3(d)) - ------------------------------------------------------------------------------------------------------------------------------ Common UBS Warburg LLC 500,000 12,505,000 299 Park Avenue, 29th Floor New York, NY 10171 - ------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------ (e) (f) (g) NUMBER OF SHARES APPROXIMATE NAME OF EACH OR OTHER UNITS DATE OF SALE SECURITIES OUTSTANDING (Mo. Day Yr.) EXCHANGE (See instr. 3(e)) (See instr. 3(f)) (See instr. 3(g)) - ----------------------------------------------------------------------------- 32,449,000 3/13/02 NASDAQ - ----------------------------------------------------------------------------- - ----------------------------------------------------------------------------- - ----------------------------------------------------------------------------- INSTRUCTIONS: 1. (a) Name of issuer (b) Issuer's I.R.S. Identification Number (c) Issuer's S.E.C. file number, if any (d) Issuer's address, including zip code (e) Issuer's telephone number, including area code 2. (a) Name of person for whose account the securities are to be sold (b) Such person's Social Security or I.R.S. Identification Number (c) Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of the immediate family of any of the foregoing) (d) Such person's address, including zip code 3. (a) Title of the class of securities to be sold (b) Name and address of each broker through whom the securities are intended to be sold (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Number of shares or other units of the class outstanding, or if debt securities, the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold
SEC 653 Rev. 4/85 TABLE I--SECURITIES TO BE SOLD Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the Payment of all or any part of the purchase price or other consideration therefor:
- --------------------------------------------------------------------------------------------------------------------------------- TITLE OF DATE YOU NATURE OF ACQUISITION NAME OF PERSON FROM AMOUNT OF DATE OF NATURE OF PAYMENT THE CLASS ACQUIRED TRANSACTION WHOM ACQUIRED SECURITIES PAYMENT (IF GIFT, ALSO GIVE ACQUIRED DATE DONOR ACQUIRED) - --------------------------------------------------------------------------------------------------------------------------------- Common 7/29/90 Private Acquisition Diversified Energies, Inc. 200,000 7/29/90 Cash Placement - ---------------------------------------------------------------------------------------------------------------------------------
INSTRUCTIONS: 1. If the Securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments, describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. 2. If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto. - -------------------------------------------------------------------------------- TABLE II--SECURITIES SOLD DURING THE PAST 3 MONTHS Furnish the following information as to all securities of the issuer sold during the past three months by the person for whose account the securities are to be sold.
- ------------------------------------------------------------------------------------------------------------------------------------ NAME AND ADDRESS OF SELLER TITLE OF SECURITIES SOLD DATE OF SALE AMOUNT OF GROSS PROCEEDS SECURITIES SOLD - ------------------------------------------------------------------------------------------------------------------------------------ None None - ------------------------------------------------------------------------------------------------------------------------------------
REMARKS: INSTRUCTIONS: See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. 3/13/02 ---------------------------------------- DATE OF NOTICE ATTENTION: The Person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. /s/ Owen Kratz ---------------------------------------- SIGNATURE The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. - -------------------------------------------------------------------------------- ATTENTION: INTERNATIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001). - -------------------------------------------------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----