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. 6)*
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)
898168 10 9
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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)
June 28, 2001
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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 that 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.
(Page 1 of 7 Pages)
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*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, as amended ("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).
SCHEDULE 13D
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CUSIP No. 898168 10 9 Page 2 of 7 Pages
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1 Names of Reporting Persons
I.R.S. Identification Nos. of Above Persons (entities only)
DONALD J. TRUMP
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2 Check the Appropriate Box if a Member of a Group (a) [_]
(b) [X]
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3 SEC Use Only
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4 Source of Funds (See Instructions)
PF
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5 Check if Disclosure of Legal Proceeding is Required Pursuant to
Items 2(d) or 2(e) [_]
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6 Citizenship or Place of Organization
UNITED STATES
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NUMBER OF SHARES 7 Sole Voting Power
BENEFICIALLY OWNED
BY EACH REPORTING 11,984,073
PERSON WITH - - - - - - - - - - - - - - - - - - - - - - - - - - -
8 Shared Voting Power
3,618,267
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9 Sole Dispositive Power
11,984,073
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10 Shared Dispositive Power
3,618,267
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11 Aggregate Amount Beneficially Owned by Each Reporting Person
15,602,340
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12 Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions) [_]
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13 Percent of Class Represented by Amount in Row (11)
42.6%
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14 Type of Reporting Person (See Instructions)
IN
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SCHEDULE 13D
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CUSIP No. 898168 10 9 Page 3 of 7 Pages
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1 Names of Reporting Persons
I.R.S. Identification Nos. of Above Persons (entities only)
TRUMP CASINOS, INC.
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2 Check the Appropriate Box if a Member of a Group (a) [_]
(b) [X]
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3 SEC Use Only
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4 Source of Funds (See Instructions)
OO
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5 Check if Disclosure of Legal Proceeding is Required Pursuant to
Items 2(d) or 2(e) [_]
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6 Citizenship or Place of Organization
NEW JERSEY
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NUMBER OF SHARES 7 Sole Voting Power
BENEFICIALLY OWNED
BY EACH REPORTING 0
PERSON WITH - - - - - - - - - - - - - - - - - - - - - - - - - - -
8 Shared Voting Power
1,407,017
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9 Sole Dispositive Power
0
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10 Shared Dispositive Power
1,407,017
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11 Aggregate Amount Beneficially Owned by Each Reporting Person
1,407,017
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12 Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions) [_]
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13 Percent of Class Represented by Amount in Row (11)
6.0%
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14 Type of Reporting Person (See Instructions)
CO
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SCHEDULE 13D
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CUSIP No. 898168 10 9 Page 4 of 7 Pages
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1 Names of Reporting Persons
I.R.S. Identification Nos. of Above Persons (entities only)
TRUMP CASINOS II, INC.
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2 Check the Appropriate Box if a Member of a Group (a) [_]
(b) [X]
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3 SEC Use Only
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4 Source of Funds (See Instructions)
OO
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
5 Check if Disclosure of Legal Proceeding is Required Pursuant to
Items 2(d) or 2(e) [_]
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6 Citizenship or Place of Organization
DELAWARE
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NUMBER OF SHARES 7 Sole Voting Power
BENEFICIALLY OWNED
BY EACH REPORTING 0
PERSON WITH - - - - - - - - - - - - - - - - - - - - - - - - - - -
8 Shared Voting Power
2,211,250
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9 Sole Dispositive Power
0
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10 Shared Dispositive Power
2,211,250
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11 Aggregate Amount Beneficially Owned by Each Reporting Person
2,211,250
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12 Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions) [_]
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13 Percent of Class Represented by Amount in Row (11)
9.1%
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14 Type of Reporting Person (See Instructions)
CO
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This Amendment No. 6 amends Amendment No. 5 filed by the Reporting
Persons with the Securities and Exchange Commission on January 18, 2001, and is
being filed pursuant to Rule 13d-2(a) under the Act. Capitalized terms not
otherwise defined herein shall have the meanings ascribed to them in Amendment
No. 5.
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1. Item 4 is hereby amended by deleting the third full paragraph of Item 4
and replacing it with the following paragraph:
From time to time, the Reporting Persons may effect open
market purchases of equity and/or debt securities of the Company.
Except as set forth herein, none of the Reporting Persons currently has
plans or proposals which relate to or would result in the following:
(a) the acquisition by any person of additional securities of the
Company, or the disposition of securities of the Company; (b) an
extraordinary corporate transaction, such as a merger, reorganization
or liquidation, involving the Company or any of its subsidiaries; (c) a
sale or transfer of a material amount of assets of the Company or any
of its subsidiaries; (d) any change in the present Board of Directors
of the Company, including any plans or proposals to change the number
or term of Directors or to fill any existing vacancies on the Board of
Directors; (e) any material change in the present capitalization or
dividend policy of the Company; (f) any other material change in the
Company's business or corporate structure; (g) changes in the Company's
charter, bylaws or instruments corresponding thereto or any actions
which may impede the acquisition or control of the Company by any
person; (h) causing a class of securities of the Company to be delisted
from a national securities exchange or to cease to be authorized to be
quoted in an inter-dealer quotation system of a registered national
securities association; (i) a class of equity securities of the Company
becoming eligible for termination of registration pursuant to Section
12(g)(4) of the Act; or (j) any action similar to any of those
enumerated above.
2. Item 5 is hereby amended by deleting the second full paragraph of
Item 5 and replacing it with the following paragraph:
As of June 28, 2001, there were 22,010,027 shares of common
stock, par value $.01 per share (the "Common Stock"), of the Company
outstanding (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
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Aggregate Number Number of Number of Shares Number of Shares
of Shares Shares with with Shared Power with Sole Power
Reporting Person Beneficially Owned Sole Power to to Vote to Dispose
Vote
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Donald J. Trump 15,602,340(2)(3) 11,984,073(2) 3,618,267(3) 11,984,073(2)
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Trump Casinos, Inc. 1,407,017(5) 0 1,407,017(5) 0
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Trump Casinos II, Inc. 2,211,250(7) 0 2,211,250(7) 0
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Number of Shares Adjusted Number Percent of Shares
with Shared Power of Shares Beneficially
Reporting Person to Dispose Outstanding (1) Owned (1)
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Donald J. Trump 3,618,267(3) 36,595,417(4) 42.6%
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Trump Casinos, Inc. 1,407,017(5) 23,417,044(6) 6.0%
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Trump Casinos II, Inc. 2,211,250(7) 24,221,277(8) 9.1%
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(1) Pursuant to Rule 13d-3 promulgated under the Act, any securities not
outstanding which are subject to options, warrants, rights or
conversion privileges exercisable within 60 days are deemed to be
outstanding for purposes of computing the percentage of outstanding
securities of the class owned by such person but are not deemed to be
outstanding for the purposes of computing the percentage of any other
person.
(2) Consists of (i) 1,016,800 shares of Common Stock held directly by Mr.
Trump, (ii) 150 shares of Common Stock held indirectly by Mr. Trump as
custodian for his children, (iii) 500,000 shares of Common Stock
issuable upon the exercise of options currently exercisable at an
exercise price of $4.625 per share, (iv) 166,667 shares of Common
Stock issuable upon the exercise of options currently exercisable at
an exercise price of $2.625 per share and (v) 10,300,456 shares of
Common Stock issuable upon the conversion of limited partnership
interests of Trump Hotels & Casino Resorts Holdings, L.P., a Delaware
limited partnership ("THCR Holdings") of which Mr. Trump is a limited
partner (the "Trump Conversion Shares").
(3) Consists of (i) 1,407,017 shares of Common Stock issuable upon the
conversion of limited partnership interests of THCR Holdings held by
Trump Casinos, Inc., a New Jersey corporation ("TCI") of which Mr.
Trump owns 100% (the "TCI Conversion Shares"), and (ii) 2,211,250
shares of Common Stock issuable upon the conversion of limited
partnership interests of THCR Holdings held by Trump Casinos II, Inc.,
a Delaware corporation ("TCI-II") of which Mr. Trump owns 100%
("TCI-II Conversion Shares").
(4) Consists of (i) the Outstanding Shares, (ii) 500,000 shares of Common
Stock issuable upon the exercise of options currently exercisable at
an exercise price of $4.625 per share, (iii) 166,667 shares of Common
Stock issuable upon the exercise of options currently exercisable at
an exercise price of $2.625 per share, (iv) the Trump Conversion
Shares, (v) the TCI Conversion Shares and (vi) the TCI-II Conversion
Shares.
(5) Consists of the TCI Conversion Shares.
(6) Consists of the (i) Outstanding Shares and (ii) TCI Conversion Shares.
(7) Consists of the TCI-II Conversion Shares.
(8) Consists of the (i) Outstanding Shares and (ii) TCI-II Conversion
Shares.
Page 6 of 7
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: July 2, 2001
/s/ Donald J. Trump
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Donald J. Trump
TRUMP CASINOS, INC.
By: /s/ Donald J. Trump
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Name: Donald J. Trump
Title: Sole Director, President and Treasurer
TRUMP CASINOS II, INC.
By: /s/ Donald J. Trump
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Name: Donald J. Trump
Title: Sole Director, President and Treasurer
Page 7 of 7