UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13D
Under the Securities Exchange Act of 1934
Chief Legal Officer
Trinity Industries, Inc.
2525 Stemmons Freeway
Dallas, Texas 75207
(214) 631-4420
Copy to:
Mary R. Korby, Esq.
Weil, Gotshal & Manges LLP
200 Crescent Court, Suite 300
Dallas, Texas 75201
(214) 746-7700
Receive Notices And Communications)
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 § 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g) check the following boxo.
Note:Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-1(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).
CUSIP No. | 749056107 | SCHEDULE 13D | Page | 2 | of | 13 | Pages |
1 | NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) QUIXOTE CORPORATION., AS SUCCESSOR IN INTEREST TO THP MERGER CO. (See Item 2) I.R.S. Identification No. 36-2675371 | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) þ | |||||||||||
(b) o | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||||||||
Delaware | |||||||||||
7 | SOLE VOTING POWER: | ||||||||||
NUMBER OF | 0 (See Item 5) | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 (See Item 5) | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 (See Item 5) | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
0 (See Item 5) | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON | ||||||||||
0 (See Item 5) | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
0% (See Item 5) | |||||||||||
14 | TYPE OF REPORTING PERSON: | ||||||||||
CO |
CUSIP No. | 749056107 | SCHEDULE 13D | Page | 3 | of | 13 | Pages |
1 | NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) TRINITY INDUSTRIES, INC. (See Item 2) I.R.S. Identification No. 75-0225040 | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) þ | |||||||||||
(b) o | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||||||||
Delaware | |||||||||||
7 | SOLE VOTING POWER: | ||||||||||
NUMBER OF | 1,000 (See Item 5) | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 (See Item 5) | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 1,000 (See Item 5) | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
0 (See Item 5) | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON | ||||||||||
1,000 (See Item 5) | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
100% (See Item 5) | |||||||||||
14 | TYPE OF REPORTING PERSON. | ||||||||||
CO |
Page 4 of 13 Pages
Page 5 of 13 Pages
1. | Agreement and Plan of Merger, dated as of December 30, 2009, among Trinity Industries, Inc., THP Merger Co. and Quixote Corporation (incorporated herein by reference to Exhibit (d)(2) to the Schedule TO filed by Trinity Industries Inc. with the Securities and Exchange Commission on January 7, 2010, as amended). | ||
2. | Offer to Purchase, dated as of January 7, 2010 (incorporated herein by reference to Exhibit (a)(1)(A) to the Schedule TO filed by Trinity Industries, Inc. with the Securities and Exchange Commission on January 7, 2010, as amended). | ||
3. | Form of Letter of Transmittal, dated as of January 7, 2010 (incorporated herein by reference to Exhibit (a)(1)(B) to the Schedule TO filed by Trinity Industries, Inc. with the Securities and Exchange Commission on January 7, 2010, as amended). |
Page 6 of 13 Pages
4. | Joint Filing Agreement, dated February 10, 2010, by and among Quixote Corporation and Trinity Industries, Inc.* |
* | Filed herewith. |
Page 7 of 13 Pages
QUIXOTE CORPORATION, as successor in interest to THP MERGER CO. | ||||
By: | /s/ S. Theis Rice | |||
Name: | S. Theis Rice | |||
Title: | Vice President and Secretary | |||
Date: | February 10, 2010 | |||
TRINITY INDUSTRIES, INC. | ||||
By: | /s/ William A. McWhirter II | |||
Name: | William A. McWhirter II | |||
Title: | Senior Vice President and Chief Financial Officer | |||
Date: | February 10, 2010 | |||
or employment of the directors and executive officers of
Present Principal Occupation or | ||||
Employment and Name and Principal | ||||
Address of Corporation in which | ||||
Name | Business Address | Employment is Conducted | ||
Timothy R. Wallace | c/o Trinity Industries, Inc. | Chairman of the Board of Directors, | ||
Chairman of the Board | 2525 Stemmons Freeway | Chief Executive Officer and President | ||
of Directors | Dallas, Texas 75207 | Trinity Industries, Inc. | ||
2525 Stemmons Freeway | ||||
Dallas, Texas 75207 | ||||
William A. McWhirter II | c/o Trinity Industries, Inc. | Senior Vice President and Chief | ||
2525 Stemmons Freeway | Financial Officer | |||
Dallas, Texas 75207 | Trinity Industries, Inc. | |||
2525 Stemmons Freeway | ||||
Dallas, Texas 75207 | ||||
S. Theis Rice | c/o Trinity Industries, Inc. | Vice President and Chief Legal Officer | ||
2525 Stemmons Freeway | Trinity Industries, Inc. | |||
Dallas, Texas 75207 | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 |
Present Principal Occupation or | ||||
Employment and Name and Principal | ||||
Address of Corporation in which | ||||
Name | Business Address | Employment is Conducted | ||
Mark W. Stiles | c/o Trinity Industries, Inc. | Senior Vice President and Group | ||
President | 2525 Stemmons Freeway | President | ||
Dallas, Texas 75207 | Trinity Industries, Inc. | |||
2525 Stemmons Freeway | ||||
Dallas, Texas 75207 | ||||
S. Theis Rice | c/o Trinity Industries, Inc. | Vice President and Chief Legal Officer | ||
Vice President and Secretary | 2525 Stemmons Freeway | Trinity Industries, Inc. | ||
Dallas, Texas 75207 | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 | ||||
John M. Lee | c/o Trinity Industries, Inc. | Vice President, Business Development | ||
Vice President | 2525 Stemmons Freeway | Trinity Industries, Inc. | ||
Dallas, Texas 75207 | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 | ||||
Patrick S. Wallace | c/o Trinity Industries, Inc. | President | ||
Vice President | 2525 Stemmons Freeway | Trinity Parts and Components, LLC | ||
Dallas, Texas 75207 | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 |
Page 9 of 13 Pages
Present Principal Occupation or | ||||
Employment and Name and Principal | ||||
Address of Corporation in which | ||||
Name | Business Address | Employment is Conducted | ||
James E. Perry | c/o Trinity Industries, Inc. | Vice President, Finance and Treasurer | ||
Vice President, Treasurer | 2525 Stemmons Freeway | Trinity Industries, Inc. | ||
and Assistant Secretary | Dallas, Texas 75207 | 2525 Stemmons Freeway | ||
Dallas, Texas 75207 | ||||
Doug Horvath | c/o Trinity Industries, Inc. | Director of Tax and Corporate | ||
Vice President and | 2525 Stemmons Freeway | Assistant Secretary | ||
Assistant Treasurer | Dallas, Texas 75207 | Trinity Industries, Inc. | ||
2525 Stemmons Freeway | ||||
Dallas, Texas 75207 |
Page 10 of 13 Pages
or employment of the directors and executive officers of
Present Principal Occupation or | ||||
Employment and Name and Principal | ||||
Address of Corporation in which | ||||
Name | Business Address | Employment is Conducted | ||
Timothy R. Wallace | c/o Trinity Industries, Inc. | Chairman of the Board of Directors, | ||
2525 Stemmons Freeway | Chief Executive Officer and | |||
Dallas, Texas 75207 | President | |||
Trinity Industries, Inc. | ||||
2525 Stemmons Freeway | ||||
Dallas, Texas 75207 | ||||
John L. Adams | c/o Trinity Industries, Inc. | Director | ||
2525 Stemmons Freeway | Trinity Industries, Inc. | |||
Dallas, Texas 75207 | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 | ||||
Rhys J. Best | c/o Trinity Industries, Inc. | Director | ||
2525 Stemmons Freeway | Trinity Industries, Inc. | |||
Dallas, Texas 75207 | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 | ||||
David W. Biegler | c/o Estrella Energy | Chairman | ||
1700 Pacific Avenue | Estrella Energy | |||
Dallas TX, 75201 | 1700 Pacific Avenue | |||
Dallas TX, 75201 | ||||
Leldon E. Echols | c/o Trinity Industries, Inc. | Director | ||
2525 Stemmons Freeway | Trinity Industries, Inc. | |||
Dallas, Texas 75207 | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 | ||||
Ronald J. Gafford | c/o Austin Industries, Inc. | President and Chief Executive Officer | ||
3535 Travis, Suite 300 | Austin Industries, Inc. | |||
Dallas, Texas 75204 | 3535 Travis, Suite 300 | |||
Dallas, Texas 75204 | ||||
Ronald W. Haddock | c/o Trinity Industries, Inc. | Director | ||
2525 Stemmons Freeway | Trinity Industries, Inc. | |||
Dallas, Texas 75207 | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 | ||||
Jess T. Hay | c/o Trinity Industries, Inc. | Director | ||
2525 Stemmons Freeway | Trinity Industries, Inc. | |||
Dallas, Texas 75207 | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 | ||||
Adrian Lajous | c/o McKinsey & Company | Senior Energy Advisor | ||
5 Houston Center | McKinsey & Company | |||
1401 McKinney Street, Suite 2600 | 5 Houston Center | |||
Houston, Texas 77010 | 1401 McKinney Street, Suite 2600 | |||
Houston, Texas 77010 |
Page 11 of 13 Pages
Present Principal Occupation or | ||||
Employment and Name and Principal | ||||
Address of Corporation in which | ||||
Name | Business Address | Employment is Conducted | ||
Diana S. Natalicio | c/o University of Texas as El Paso | President | ||
500 W. University Avenue | University of Texas at El Paso | |||
El Paso, Texas 79968 | 500 W. University Avenue | |||
El Paso, Texas 79968 |
Present Principal Occupation or | ||||
Employment and Name and Principal | ||||
Address of Corporation in which | ||||
Name | Business Address | Employment is Conducted | ||
Timothy R. Wallace | c/o Trinity Industries, Inc. | Chairman of the Board of Directors, | ||
Chairman of the Board | 2525 Stemmons Freeway | Chief Executive Officer and President | ||
of Directors, Chief | Dallas, Texas 75207 | Trinity Industries, Inc. | ||
Executive Officer and | 2525 Stemmons Freeway | |||
President | Dallas, Texas 75207 | |||
William A. McWhirter II | c/o Trinity Industries, Inc. | Senior Vice President and Chief | ||
Senior Vice President | 2525 Stemmons Freeway | Financial Officer | ||
and Chief Financial | Dallas, Texas 75207 | Trinity Industries, Inc. | ||
Officer | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 | ||||
Mark W. Stiles | c/o Trinity Industries, Inc. | Senior Vice President and Group | ||
Senior Vice President | 2525 Stemmons Freeway | President | ||
and Group President | Dallas, Texas 75207 | Trinity Industries, Inc. | ||
2525 Stemmons Freeway | ||||
Dallas, Texas 75207 | ||||
D. Stephen Menzies | c/o Trinity Industries, Inc. | Senior Vice President and Group | ||
Senior Vice President | 2525 Stemmons Freeway | President | ||
and Group President | Dallas, Texas 75207 | Trinity Industries, Inc. | ||
2525 Stemmons Freeway | ||||
Dallas, Texas 75207 | ||||
Madhuri A. Andrews | c/o Trinity Industries, Inc. | Vice President, Information Technology | ||
Vice President, | 2525 Stemmons Freeway | Trinity Industries, Inc. | ||
Information Technology | Dallas, Texas 75207 | 2525 Stemmons Freeway | ||
Dallas, Texas 75207 | ||||
Donald G. Collum | c/o Trinity Industries, Inc. | Vice President, Chief Audit Executive | ||
Vice President, Chief | 2525 Stemmons Freeway | Trinity Industries, Inc. | ||
Audit Executive | Dallas, Texas 75207 | 2525 Stemmons Freeway | ||
Dallas, Texas 75207 | ||||
Andrea F. Cowan | c/o Trinity Industries, Inc. | Vice President, Human Resources and | ||
Vice President, Human | 2525 Stemmons Freeway | Shared Services | ||
Resources and Shared | Dallas, Texas 75207 | Trinity Industries, Inc. | ||
Services | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 | ||||
Virginia C. Gray, Ph.D. | c/o Trinity Industries, Inc. | Vice President, Organizational | ||
Vice President, | 2525 Stemmons Freeway | Development | ||
Organizational Development | Dallas, Texas 75207 | Trinity Industries, Inc. 2525 Stemmons Freeway Dallas, Texas 75207 |
Page 12 of 13 Pages
Present Principal Occupation or | ||||
Employment and Name and Principal | ||||
Address of Corporation in which | ||||
Name | Business Address | Employment is Conducted | ||
John M. Lee | c/o Trinity Industries, Inc. | Vice President, Business Development | ||
Vice President, | 2525 Stemmons Freeway | Trinity Industries, Inc. | ||
Business Development | Dallas, Texas 75207 | 2525 Stemmons Freeway | ||
Dallas, Texas 75207 | ||||
Mary E. Henderson | c/o Trinity Industries, Inc. | Controller | ||
Controller | 2525 Stemmons Freeway | Trinity Industries, Inc. | ||
Dallas, Texas 75207 | 2525 Stemmons Freeway | |||
Dallas, Texas 75207 | ||||
James E. Perry | c/o Trinity Industries, Inc. | Vice President, Finance and Treasurer | ||
Vice President, | 2525 Stemmons Freeway | Trinity Industries, Inc. | ||
Finance and Treasurer | Dallas, Texas 75207 | 2525 Stemmons Freeway | ||
Dallas, Texas 75207 | ||||
S. Theis Rice | c/o Trinity Industries, Inc. | Vice President and Chief Legal Officer | ||
Vice President and | 2525 Stemmons Freeway | Trinity Industries, Inc. | ||
Chief Legal Officer | Dallas, Texas 75207 | 2525 Stemmons Freeway | ||
Dallas, Texas 75207 |
Page 13 of 13 Pages