-----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, PEWoCbVuwoLos/mleUwo2QC9KcZvhysT7yJQGs5cAU11yv4hYNqRMNN8uTzH6u9B b2gxB57jWwtOkQTq9IOgkQ== 0001209191-07-047273.txt : 20070809 0001209191-07-047273.hdr.sgml : 20070809 20070809214807 ACCESSION NUMBER: 0001209191-07-047273 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070809 FILED AS OF DATE: 20070809 DATE AS OF CHANGE: 20070809 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DreamWorks Animation SKG, Inc. CENTRAL INDEX KEY: 0001297401 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MOTION PICTURE & VIDEO TAPE PRODUCTION [7812] IRS NUMBER: 680589190 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: GRANDVIEW BUILDING STREET 2: 1000 FLOWER STREET CITY: GLENDALE STATE: CA ZIP: 91201 BUSINESS PHONE: (818) 695-5000 MAIL ADDRESS: STREET 1: GRANDVIEW BUILDING STREET 2: 1000 FLOWER STREET CITY: GLENDALE STATE: CA ZIP: 91201 FORMER COMPANY: FORMER CONFORMED NAME: DreamWorks Animation, Inc. DATE OF NAME CHANGE: 20040715 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DW Investment II, Inc. CENTRAL INDEX KEY: 0001307175 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32337 FILM NUMBER: 071042555 BUSINESS ADDRESS: STREET 1: 505 FIFTH AVENUE SOUTH CITY: SEATTLE STATE: WA ZIP: 98104 BUSINESS PHONE: 206-342-2000 MAIL ADDRESS: STREET 1: 505 FIFTH AVENUE SOUTH CITY: SEATTLE STATE: WA ZIP: 98104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALLEN PAUL G CENTRAL INDEX KEY: 0000904057 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32337 FILM NUMBER: 071042556 BUSINESS ADDRESS: STREET 1: 110 110TH AVE N E STREET 2: STE 500 CITY: BELLEVUE STATE: WA ZIP: 98004 BUSINESS PHONE: 206-342-2448 MAIL ADDRESS: STREET 1: 505 FIFTH AVENUE SOUTH STREET 2: SUITE 900 CITY: SEATTLE STATE: WA ZIP: 98104-3891 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2007-08-09 0 0001297401 DreamWorks Animation SKG, Inc. DWA 0000904057 ALLEN PAUL G 505 FIFTH AVENUE SOUTH SUITE 900 SEATTLE WA 98104 1 0 1 0 0001307175 DW Investment II, Inc. 505 FIFTH AVENUE SOUTH SUITE 900 SEATTLE WA 98104 0 0 1 0 Class A Common Stock 2007-08-09 4 S 0 15000000 31.16 D 6654776 I See Footnote Class A Common Stock 2007-08-09 4 C 0 1 A 6654777 I See Footnote Class C Common Stock 2007-08-09 4 C 0 1 D Class A Common Stock 1 0 I See Footnote Sale of securities held directly by DW Investment II, Inc. ("DWI II"), which is wholly owned by Paul G. Allen. Includes 10,186,137 shares of Class A common stock sold in an underwritten public offering and 4,813,863 shares of Class A common stock sold to the Issuer. Includes 6,071,831 shares held directly by DWI II and 582,945 shares held by DWA Escrow LLLP ("Holdco"), of which DWI II is the sole general partner. DWI II, and, indirectly, Paul G. Allen, may be deemed to share investment control of Holdco and to be indirect beneficial owners of securities held directly by Holdco. Each of DWI II and Paul G. Allen disclaims beneficial ownership of securities held by Holdco except to the extent of its or his pecuniary interest therein. Shares of Class C Common Stock convert automatically into Class A Common Stock on a one-for-one basis upon the reporting person's beneficial ownership of the Issuer's common stock falling below a pre-determined threshold. Includes 6,071,832 shares held directly by DWI II and 582,945 shares held by DWA Escrow LLLP ("Holdco"), of which DWI II is the sole general partner. DWI II, and, indirectly, Paul G. Allen, may be deemed to share investment control of Holdco and to be indirect beneficial owners of securities held directly by Holdco. Each of DWI II and Paul G. Allen disclaims beneficial ownership of securities held by Holdco except to the extent of its or his pecuniary interest therein. Held by DWI II. /s/ W. Lance Conn, Attorney-in-Fact for Paul G. Allen 2007-08-09 DW Investment II, Inc. By: /s/ W. Lance Conn, Vice President 2007-08-09 -----END PRIVACY-ENHANCED MESSAGE-----