SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDED THERETO FILED PURSUANT TO RULE 13d-2(a)
(Amendment No. 5)*
TRUMP HOTELS & CASINO RESORTS, INC.
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(Name of Issuer)
COMMON STOCK, par value $.01 per share
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(Title of Class of Securities)
898168109
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(CUSIP Number)
Robert M. Pickus
Executive Vice President and Secretary
Trump Hotels & Casino Resorts, Inc.
Huron Avenue and Brigantine Boulevard
Atlantic City, New Jersey 08401
609-340-5060
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(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
December 28, 2000
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(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following
box.[ ]
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7 (b) for other
parties to whom copies are to be sent.
____________________
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
(Page 1 of 7 Pages)
SCHEDULE 13D
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CUSIP NO. 898168109 Page 2 of 7 Pages
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NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only).
Donald J. Trump
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
2 (a) [_]
(b) [X]
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SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS (See Instructions)
4
PF
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
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CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
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SOLE VOTING POWER
7
NUMBER OF
12,360,573
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 3,618,267
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
12,360,573
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
3,618,267
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
15,978,840
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
12
(See Instructions) [_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
43.0%
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TYPE OF REPORTING PERSON (See Instructions)
14
IN
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SCHEDULE 13D
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CUSIP NO. 898168109 Page 3 of 7 Pages
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NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only).
Trump Casinos, Inc.
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS (See Instructions)
4
OO
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
New Jersey
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SOLE VOTING POWER
7
NUMBER OF
0
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 1,407,017
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
0
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
1,407,017
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
1,407,017
------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
12
(See Instructions) [_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
6.0%
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TYPE OF REPORTING PERSON (See Instructions)
14
CO
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SCHEDULE 13D
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CUSIP NO. 898168109 Page 4 of 7 Pages
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NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only).
Trump Casinos II, Inc.
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS (See Instructions)
4
OO
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
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SOLE VOTING POWER
7
NUMBER OF
0
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 2,211,250
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
0
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
2,211,250
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
2,211,250
------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
12
(See Instructions) [_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
9.1%
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TYPE OF REPORTING PERSON (See Instructions)
14
CO
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This Amendment No. 5 amends Amendment No. 4 filed by Mr. Donald J. Trump,
Trump Casinos, Inc. and Trump Casinos II, Inc. (collective, the "Reporting
Persons") on April 30, 1999 ("Amendment No. 4"), and is being filed pursuant to
Rule 13d-2(a) under the Securities Exchange Act of 1934, as amended. Capitalized
terms not otherwise defined herein shall have the meanings ascribed to them in
Amendment No. 4.
______________________
1. Item 2 is hereby amended by deleting the second full paragraph of Item 2 in
its entirety and replacing it with the following paragraph:
Mr. Trump's present principal occupation is Chairman of the Board of
Directors, President and Chief Executive Officer of the Company; Chief
Executive Officer and limited partner of Trump Hotels & Casino Resorts
Holdings, L.P.; Chairman of the Board of Directors, President and Chief
Executive Officer of each of Trump Hotels & Casino Resorts Funding, Inc.,
Trump Atlantic City Funding, Inc., Trump Atlantic City Funding II, Inc.,
Trump Atlantic City Funding III, Inc., Trump's Castle Hotel & Casino, Inc.
("TCHI"), Trump's Castle Funding, Inc., Trump's Marina Hotel Casino, L.P.
(f/k/a Trump's Castle Associates, L.P.) and Trump International Casino,
Ltd.; Chairman of the Board of Directors, President and Treasurer of each
of THCR Holding Corp. (f/k/a Taj Mahal Holding Corp.) ("THCR Corp.") and
THCR/LP Corporation (f/k/a TM/GP Corporation) ("THCR/LP"); sole Director,
President and Treasurer of each of TCI and TCI-II; sole Director, President
and Chief Executive Officer of Trump Indiana, Inc. ("Trump Indiana");
Director and President of THCR Enterprises, Inc., Trump Atlantic City
Corporation (f/k/a The Trump Taj Mahal Corporation) ("AC Corporation") and
Trump Atlantic City Holding, Inc. (f/k/a Trump Plaza Holding, Inc.) ("AC
Holding, Inc."); Chief Executive Officer of Trump Taj Mahal Associates;
sole Director and President of each of Trump Taj Mahal Realty Corp. and
Trump Boardwalk Realty Corp.; and President of the Trump Organization. The
business address of Mr. Trump is 725 Fifth Avenue, New York, New York
10022. Mr. Trump is a citizen of the United States of America.
2. Item 5 is hereby amended by deleting the second full paragraph of Item 5
and replacing it with the following paragraph:
The Reporting Persons have been advised by the Company that the total
number of shares of Common Stock outstanding as of January 18, 2001 is
22,010,027 shares (the "Outstanding Shares").
3. Item 5 is further amended by deleting the table set forth immediately after
the second full paragraph of Item 5 and replacing it with the new table:
Page 5 of 7 Pages
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Reporting Person Aggregate
Number Number of Number of Number of Number of Percent of
of Shares Shares Shares with Shares with Shares with Adjusted Number Share
Beneficially with Sole Shared Power Sole Power to Shared Power of Shares Benificially
Owned Power to Vote to Vote Dispose to Dispose Outstanding Owned
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Mr. Donald J. Trump 15,978,840 12,360,573 (1) 3,618,267 (2) 12,360,573 (1) 3,618,267 (2) 37,195,417 (3) 43.0%
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TCI 1,407,017 0 1,407,017 (4) 0 1,407,017 (5) 23,417,044 (6) 6.0%
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TCI-II 2,211,250 0 2,211,250 (4) 0 2,211,250 (5) 24,221,277 (7) 9.1%
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____________________________________
(1) Consists of (i) the Trump Shares, (ii) the Trump Conversion Shares,
(iii) 600,000 shares of Common Stock issuable upon the exercise of the
Trump Warrants, (iv) 500,000 shares of Common Stock issuable upon the
exercise of options exercisable at a purchase price of $4.625 per
share within 60 days from the date hereof, (v) 166,667 shares of
Common Stock issuable upon the exercise of options exercisable at a
purchase price of $2.625 per share within 60 days from the date hereof
(the options listed in (iv) and (v) are collectively referred to as
the "Trump Options"), (vi) 17,000, 8,000 and 15,100 shares of Common
Stock purchased by Mr. Trump on December 28, 2000 at a purchase price
per share of $1.977, $1.915 and $1.977, respectively, and (vii) 9,900
shares of Common Stock purchased by Mr. Trump on December 29, 2000 at
a purchase price of $1.977 per share.
(2) Consists of (i) the TCI Conversion Shares and (ii) the TCI-II
Conversion Shares.
(3) Calculated by adding the Outstanding Shares, Conversion Shares and the
shares issuable upon the exercise of the Trump Warrants and Trump
Options.
(4) Voting power shared with Mr. Trump.
(5) Dispositive power shared with Mr. Trump.
(6) Calculated by adding the TCI Conversion Shares and the Outstanding
Shares.
(7) Calculated by adding the TCI-II Conversion Shares and the Outstanding
Shares.
Page 6 of 7 Pages
After reasonable inquiry and to the best knowledge and belief of the
undersigned, each of the undersigned certifies that the information set forth in
this statement is true, complete and correct.
Date: January 18, 2001
/s/ Donald J. Trump
------------------------------------
Donald J. Trump
TRUMP CASINOS, INC.
By: /s/ Donald J. Trump
-----------------------------------
Name: Donald J. Trump
Title: Sole Director, President and
Treasurer
TRUMP CASINOS II, INC.
By: /s/ Donald J. Trump
-----------------------------------
Name: Donald J. Trump
Title: Sole Director, President and
Treasurer
Page 7 of 7 Pages