0000950162-01-500873.txt : 20011029
0000950162-01-500873.hdr.sgml : 20011029
ACCESSION NUMBER: 0000950162-01-500873
CONFORMED SUBMISSION TYPE: S-3/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20011024
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: XL CAPITAL TRUST III
CENTRAL INDEX KEY: 0001161235
STANDARD INDUSTRIAL CLASSIFICATION: []
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: S-3/A
SEC ACT: 1933 Act
SEC FILE NUMBER: 333-72018-01
FILM NUMBER: 1764796
BUSINESS ADDRESS:
STREET 1: XL HOUSE ONE BERMUDIANA ROAD
CITY: HAMILTON BERMUDA
STATE: D0
ZIP: 00000
MAIL ADDRESS:
STREET 1: 35 BASINGHALL STREET
CITY: LONDON ENGLAND
STATE: X0
ZIP: EC2V 5DB
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: XL CAPITAL TRUST II
CENTRAL INDEX KEY: 0001161234
STANDARD INDUSTRIAL CLASSIFICATION: []
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: S-3/A
SEC ACT: 1933 Act
SEC FILE NUMBER: 333-72018-02
FILM NUMBER: 1764797
BUSINESS ADDRESS:
STREET 1: XL HOUSE ONE BERMUDIANA ROAD
CITY: HAMILTON BERMUDA
STATE: D0
ZIP: 00000
MAIL ADDRESS:
STREET 1: 35 BASINGHALL STREET
CITY: LONDON ENGLAND
STATE: X0
ZIP: EC2V 5DB
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: XL CAPITAL TRUST I
CENTRAL INDEX KEY: 0001161232
STANDARD INDUSTRIAL CLASSIFICATION: []
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: S-3/A
SEC ACT: 1933 Act
SEC FILE NUMBER: 333-72018-03
FILM NUMBER: 1764798
BUSINESS ADDRESS:
STREET 1: XL HOUSE ONE BERMUDIANA ROAD
CITY: HAMILTON BERMUDA
STATE: D0
ZIP: 00000
MAIL ADDRESS:
STREET 1: 35 BASINGHALL STREET
CITY: LONDON ENGLAND
STATE: X0
ZIP: EC2V 5DB
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: XL FINANCE UK PLC
CENTRAL INDEX KEY: 0001161231
STANDARD INDUSTRIAL CLASSIFICATION: []
IRS NUMBER: 000000000
STATE OF INCORPORATION: X0
FILING VALUES:
FORM TYPE: S-3/A
SEC ACT: 1933 Act
SEC FILE NUMBER: 333-72018-04
FILM NUMBER: 1764799
BUSINESS ADDRESS:
STREET 1: 35 BASINGHALL STREET
CITY: LONDON ENGLAND
STATE: X0
ZIP: EC2V 5DB
MAIL ADDRESS:
STREET 1: 35 BASINGHALL STREET
CITY: LONDON ENGLAND
STATE: X0
ZIP: EC2V 5DB
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: XL CAPITAL LTD
CENTRAL INDEX KEY: 0000875159
STANDARD INDUSTRIAL CLASSIFICATION: SURETY INSURANCE [6351]
IRS NUMBER: 980058718
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: S-3/A
SEC ACT: 1933 Act
SEC FILE NUMBER: 333-72018
FILM NUMBER: 1764793
BUSINESS ADDRESS:
STREET 1: XL HOUSE
STREET 2: ONE BERMUDIANA ROAD
CITY: HAMILTON HM11 BERMUD
STATE: D2
BUSINESS PHONE: 4412928515
MAIL ADDRESS:
STREET 1: CAHILL GORDON & REINDEL(IMMANUEL KOHN)
STREET 2: 80 PINE STREET
CITY: NEW YORKI
STATE: NY
ZIP: 10005
FORMER COMPANY:
FORMER CONFORMED NAME: EXEL LTD
DATE OF NAME CHANGE: 19950720
S-3/A
1
xls3a102401.txt
AMENDMENT NO. 1
As filed with the Securities and Exchange Commission on October 24, 2001
Registration No. 333-72018
================================================================================
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Amendment No. 1 to
FORM S-3
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
--------------------
XL CAPITAL LTD
(Exact name of registrant as specified in its charter)
Cayman Islands 98-0191098
(State or other jurisdiction (I.R.S. Employer Identification Number.)
of incorporation or organization)
XL House
One Bermudiana Road CT Corporation System
Hamilton HM11 111 Eighth Avenue
Bermuda New York, New York 10011
(441) 292-8515 (212) 590-9200
(Address, including zip code, and telephone number, including (Name, address,
including zip code, and telephone area code, of registrant's principal
executive office) number, including area code, of agent for service))
--------------------
XL FINANCE (UK) PLC
(Exact name of registrant as specified in its charter)
England and Wales N/A
(State or other jurisdiction (I.R.S. Employer Identification Number.)
of incorporation or organization)
CT Corporation System
35 Basinghall Street 111 Eighth Avenue
London EC2V 5DB New York, New York 10011
England (212) 590-9200
(Address, including zip code, and telephone number, including (Name, address,
including zip code, and telephone area code, of registrant's principal
executive office) number, including area code, of agent for service)
--------------------
XL CAPITAL TRUST I
XL CAPITAL TRUST II
XL CAPITAL TRUST III
(Exact name of registrant as specified in its charter)
Delaware Each Applied For
(State or other jurisdiction (I.R.S. Employer Identification Number.)
of incorporation or organization)
XL House
One Bermudiana Road CT Corporation System
Hamilton HM11 111 Eighth Avenue
Bermuda New York, New York 10011
(441) 292-8515 (212) 590-9200
(Address, including zip code, and telephone number, including (Name, address,
including zip code, and telephone area code, of registrant's principal
executive office) number, including area code, of agent for service)
--------------------
Copies to:
Paul S. Giordano, Esq. Immanuel Kohn, Esq.
Executive Vice President, General Counsel Cahill Gordon & Reindel
and Secretary 80 Pine Street
XL Capital Ltd New York, New York 10005-1702
(441) 292-8515 (212) 701-3000
--------------------
Approximate date of commencement of proposed sale to the public: From time
to time after the registration statement becomes effective.
If the only securities being registered on this Form are being offered
pursuant to dividend or interest reinvestment plans, please check the following
box. |_|
If any of the securities being registered on this Form are to be offered on
a delayed or continuous basis pursuant to Rule 415 under the Securities Act of
1933, please check the following box. |X|
If this Form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act, check the following box and
list the Securities Act registration statement number of the earlier effective
registration statement for the same offering. |_|
If this Form is a post-effective amendment filed pursuant to Rule 462(c)
under the Securities Act, check the following box and list the Securities Act
registration statement number of the earlier effective registration statement
for the same offering. |_|
If delivery of the prospectus is expected to be made pursuant to Rule 434,
please check the following box. |_| --------------------
The registrants hereby amend this registration statement on such date or
dates as may be necessary to delay its effective date until the registrants
shall file a further amendment which specifically states that this registration
statement shall thereafter become effective in accordance with Section 8(a) of
the Securities Act of 1933, as amended, or until this registration statement
shall become effective on such date as the Commission, acting pursuant to said
Section 8(a), may determine.
PART II INFORMATION NOT REQUIRED IN PROSPECTUS
Item 14. Other Expenses of Issuance and Distribution.
The following table sets forth the costs and expenses, other than
underwriting discounts and commissions, incurred in connection with the
distribution of the securities being registered (all amounts are estimated (on
the assumption that all shares will be sold in a single transaction), except the
SEC registration fee).
SEC registration fee....................................... $375,000
New York Stock Exchange listing fee for ordinary shares.... 1,500
Printing and engraving expenses............................ 75,000
Legal fees and expenses.................................... 500,000
Accounting fees and expenses............................... 150,000
Blue Sky fees and expenses................................. 10,000
Trustees and transfer agents fees.......................... 75,000
Rating agency fees......................................... 750,000
Miscellaneous.............................................. 263,500
----------
Total................................................ $2,200,000
==========
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, the
Registrant certifies that it has reasonable grounds to believe that it meets all
of the requirements for filing on Form S-3 and has duly caused this Amendment
No. 1 to the Registration Statement to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of Hamilton and Country of
Bermuda, on October 23, 2001.
XL CAPITAL LTD
By: /s/ Jerry de St. Paer
--------------------------------------------
Name: Jerry de St. Paer
Title: Executive Vice President and Chief
Financial
Officer
Pursuant to the requirements of the Securities Act of 1933, as amended,
this Amendment No. 1 to the Registration Statement has been signed by the
following persons in the capacities and on the dates indicated:
Signature Title Date
--------- ----- ----
/s/ Brian M. O'Hara President, Chief Executive Officer and October 23, 2001
---------------------------------------- Director
Name: Brian M. O'Hara
/s/ Jerry de St. Paer Executive Vice President and Chief October 23, 2001
---------------------------------------- Financial Officer (Principal Financial
Name: Jerry de St. Paer Officer and Principal Accounting Officer)
/s/ Michael P. Esposito, Jr. * Chairman and Director October 23, 2001
----------------------------------------
Name: Michael P. Esposito, Jr.
/s/ Ronald L. Bornhuetter * Director October 23, 2001
----------------------------------------
Name: Ronald L. Bornhuetter
/s/ Michael A. Butt * Director October 23, 2001
----------------------------------------
Name: Michael A. Butt
/s/ Robert Clements * Director October 23, 2001
----------------------------------------
Name: Robert Clements
/s/ Sir Brian Corby * Director October 23, 2001
----------------------------------------
Name: Sir Brian Corby
/s/ Robert R. Glauber * Director October 23, 2001
----------------------------------------
Name: Robert R. Glauber
/s/ Paul Jeanbart * Director October 23, 2001
----------------------------------------
Name: Paul Jeanbart
/s/ John Loudon * Director October 23, 2001
----------------------------------------
Name: John Loudon
/s/ Robert S. Parker * Director October 23, 2001
----------------------------------------
Name: Robert S. Parker
/s/ Cyril Rance * Director October 23, 2001
----------------------------------------
Name: Cyril Rance
/s/ Alan Z. Senter * Director October 23, 2001
----------------------------------------
Name: Alan Z. Senter
/s/ John T. Thornton * Director October 23, 2001
----------------------------------------
Name: John T. Thornton
/s/ Ellen E. Thrower * Director October 23, 2001
----------------------------------------
Name: Ellen E. Thrower
/s/ John W. Weiser * Director October 23, 2001
----------------------------------------
Name: John W. Weiser
*By: /s/ Jerry de St. Paer
-----------------------
Attorney-in-Fact
Pursuant to the requirements of the Securities Act of 1933, as amended, the
Registrant certifies that it has reasonable grounds to believe that it meets all
of the requirements for filing on Form S-3 and has duly caused this Amendment
No. 1 to the Registration Statement to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of Hamilton and Country of
Bermuda, on October 23, 2001.
XL FINANCE (UK) PLC
By: /s/ Jerry de St. Paer
-----------------------------------------------
Name: Jerry de St. Paer
Title: Director
By: /s/ Fiona Luck
-----------------------------------------------
Name: Fiona Luck
Title: Director
By: /s/ Paul S. Giordano
-----------------------------------------------
Name: Paul S. Giordano
Title: Secretary
Pursuant to the requirements of the Securities Act of 1933, as amended, the
Registrant certifies that it has reasonable grounds to believe that it meets all
of the requirements for filing on Form S-3 and has duly caused this Amendment
No. 1 to the Registration Statement to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of Hamilton and Country of
Bermuda, on October 23, 2001.
XL CAPITAL TRUST I
By: /s/ Brian M. O'Hara
---------------------------------------------
Name: Brian M. O'Hara
Title: Trustee
By: /s/ Jerry de St. Paer
---------------------------------------------
Name: Jerry de St. Paer
Title: Trustee
By: /s/ Paul S. Giordano
---------------------------------------------
Name: Paul S. Giordano
Title: Trustee
Pursuant to the requirements of the Securities Act of 1933, as amended, the
Registrant certifies that it has reasonable grounds to believe that it meets all
of the requirements for filing on Form S-3 and has duly caused this Amendment
No. 1 to the Registration Statement to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of Hamilton and Country of
Bermuda, on October 23, 2001.
XL CAPITAL TRUST II
By: /s/ Brian M. O'Hara
---------------------------------------------
Name: Brian M. O'Hara
Title: Trustee
By: /s/ Jerry de St. Paer
---------------------------------------------
Name: Jerry de St. Paer
Title: Trustee
By: /s/ Paul S. Giordano
---------------------------------------------
Name: Paul S. Giordano
Title: Trustee
Pursuant to the requirements of the Securities Act of 1933, as amended, the
Registrant certifies that it has reasonable grounds to believe that it meets all
of the requirements for filing on Form S-3 and has duly caused this Amendment
No. 1 to the Registration Statement to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of Hamilton and Country of
Bermuda, on October 23, 2001.
XL CAPITAL TRUST III
By: /s/ Brian M. O'Hara
--------------------------------------------
Name: Brian M. O'Hara
Title: Trustee
By: /s/ Jerry de St. Paer
--------------------------------------------
Name: Jerry de St. Paer
Title: Trustee
By: /s/ Paul S. Giordano
--------------------------------------------
Name: Paul S. Giordano
Title: Trustee