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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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Form 10-K/A
Amendment #1
Annual Report pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
For the fiscal year ended September 30, 2000
Commission file number 033-80655
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MOHEGAN TRIBAL GAMING AUTHORITY
(Exact Name of Registrant as Specified in its Charter)
Connecticut 06-1436334
(State of Incorporation of Registrant) (I.R.S. Employer I.D. No.)
One Mohegan Sun Boulevard
Uncasville, Connecticut 06382
(Address of Principal Executive Offices)
(860) 862-8000
(Registrant's telephone number)
Securities registered pursuant to Section 12(b) of the Act: None
Securities registered pursuant to Section 12(g) of the Act: None
______ ________
Indicate by check mark whether the registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities Exchange Act of
1934 during the preceding 12 months (or for such shorter period that the
registrant was required to file such reports), and (2) has been subject to such
filing requirements for the past 90 days. Yes [X] No [ ]
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405
of Regulation S-K is not contained herein, and will not be contained, to the
best of registrant's knowledge, in definitive proxy or information statements
incorporated by reference in Part III of this Form 10-K or any amendment to this
Form 10-K. [ ]
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The registrant hereby amends and restates in its entirety "Item 14,
Exhibits, Financial Statement Schedules and Reports on Form 8-K" of its Annual
Report on Form 10-K for the year ended September 30, 2000 filed with the
Securities Exchange Commission on December 14, 2000. The purpose of this
amendment is to correct the description of certain exhibits.
TABLE OF CONTENTS
Item Page
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PART IV
Item 14. Exhibits, Financial Statement Schedules and Reports on Form 8-K 3
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PART IV
Item 14. Exhibits, Financial Statement Schedules and Reports on Form 8-K
A(1). Financial Statements
See Index to financial statements included herein.
A(2). Financial Statement Schedules
Included in Part IV of this Report:
Schedule II - Valuation and Qualifying Accounts and Reserves
Schedules other than that listed above are omitted because they are not required
or are not applicable, or the required information is shown in the financial
statements or notes to the financial statements.
A(3). Exhibits
Exhibit No. Description
- ----------- -----------
3.1 Constitution of the Mohegan Tribe of Indians of Connecticut*
3.2 Ordinance No. 95-2 of the Tribe for Gaming on Tribal Lands, enacted
on July 15, 1995*
4.1 Note Purchase Agreement dated September 29, 1995 between the
Mohegan Tribal Gaming Authority and Sun International Hotels
Limited*
4.2 Form of Junior Subordinated Notes due 2003 of the Mohegan Tribal
Gaming Authority (contained in the Note Purchase Agreement as filed
as Exhibit 4.1)*
4.3 Indenture dated March 3, 1999 among the Mohegan Tribal Gaming
Authority, the Mohegan Tribe of Indians of Connecticut and First
Union National Bank, as Trustee, relating to the 8 1/8% Senior
Notes Due 2006 of the Mohegan Tribal Gaming Authority**
4.4 Form of Global 8 1/8% Senior Notes Due 2006 of the Mohegan Tribal
Gaming Authority (contained in the Indenture filed as Exhibit
4.3)**
4.5 Senior Registration Rights Agreement dated March 3, 1999 among the
Mohegan Tribal Gaming Authority, Salomon Smith Barney Inc.,
NationsBanc Montgomery Securities LLC, SG Cowen Securities
Corporation, Bear, Stearns & Co. Inc., BancBoston Robertson
Stephens Inc. and Fleet Securities, Inc.**
4.6 Indenture dated as of March 3, 1999 among the Mohegan Tribal Gaming
Authority, Mohegan Tribe of Indians of Connecticut and State Street
Bank and Trust Company, as Trustee, relating to the 8 3/4% Senior
Subordinated Notes Due 2009 of the Mohegan Tribal Gaming
Authority**
4.7 Form of Global 8 3/4% Senior Subordinated Notes Due 2009 of the
Mohegan Tribal Gaming Authority (contained in the Indenture filed
as Exhibit 4.6)**
4.8 Senior Subordinated Registration Rights Agreement dated March 3,
1999 among the Mohegan Tribal Gaming Authority, Salomon Smith
Barney Inc., NationsBanc Montgomery Securities LLC, SG Cowen
Securities Corporation, Bear, Stearns & Co. Inc., BancBoston
Robertson Stephens Inc. and Fleet Securities, Inc.**
10.1 The Mohegan Tribe - State of Connecticut Gaming Compact between the
Mohegan Tribe of Indians of Connecticut and the State of
Connecticut (the "Compact")*
10.2 Agreement dated April 25, 1994 between the Mohegan Tribe of Indians
of Connecticut and the State of Connecticut resolving certain land
claims (the "Resolution Agreement")*
10.3 Memorandum of Understanding dated May 17, 1994 between the Mohegan
Tribe of Indians of Connecticut and the State of Connecticut
regarding implementation of the Compact and the Resolution
Agreement*
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10.4 Agreement between the Mohegan Tribe of Indians of Connecticut and
the Town of Montville, Connecticut*
10.5 Land Lease dated September 29, 1995 between the Mohegan Tribe of
Indians of Connecticut and the Mohegan Tribal Gaming Authority;
Amendment of Land Lease dated September 29, 1995*
10.6 Amendment to the Land Lease dated February 18, 1999 between the
Mohegan Tribe of Indians of Connecticut and the Mohegan Tribal
Gaming Authority**
10.7 Amended and Restated Gaming Facility Management Agreement dated
August 30, 1995 between the Mohegan Tribe of Indians of
Connecticut, the Mohegan Tribal Gaming Authority and Trading Cove
Associates*
10.8 Development Services Agreement dated February 7, 1998 by and among
the Mohegan Tribal Gaming Authority, the Mohegan Tribe of Indians
of Connecticut and Trading Cove Associates***
10.9 Relinquishment Agreement dated February 7, 1998 by and among the
Mohegan Tribal Gaming Authority, the Mohegan Tribe of Indians of
Connecticut and Trading Cove Associates***
10.10 The Loan Agreement dated as of March 3, 1999 by and among the
Mohegan Tribal Gaming Authority, the Mohegan Tribe of Indians of
Connecticut, Bank of America National Trust and Savings Association
as Administrative Agent, Salomon Smith Barney Inc. as Syndication
Agent, Societe Generale as Documentation Agent, NationsBanc
Montgomery Securities LLC as Lead Arranger and each lender named
therein**
10.11 Escrow Deposit Agreement dated March 3, 1999 by and among the
Mohegan Tribal Gaming Authority and First Union National Bank**
10.12 Construction Reserve Disbursement Agreement dated March 3, 1999
among the Mohegan Tribal Gaming Authority, the Mohegan Tribe of
Indians of Connecticut and Fleet National Bank**
10.13 The Merrill Lynch Non-Qualified Deferred Compensation Plan Trust
Agreement dated September 1, 1998 between the Authority and Merrill
Lynch Trust**
10.14 Employment Agreement dated April 22, 1999 by and between the
Mohegan Tribal Gaming Authority and William J. Velardo**
10.15 Employment Agreement dated April 22, 1999 by and between the
Mohegan Tribal Gaming Authority and Mitchell Grossinger Etess**
10.16 Employment Agreement dated April 22, 1999 by and between the
Mohegan Tribal Gaming Authority and Jeffrey E. Hartmann**
10.17 Amendment No. 1 to Loan Agreement dated as of November 30, 2000 by
and among the Mohegan Tribal Gaming Authority, the Mohegan Tribe of
Indians of Connecticut and Bank of America National Trust and
Savings Association ****
* Filed by the Authority with its Registration Statement on Form S-1
(file no. 33-80655), filed with the Securities and Exchange
Commission on December 21, 1995, as amended, and incorporated
herein by reference
** Filed by the Authority with its Registration Statement on Form S-4
(file no. 333-76753), filed with the Securities and Exchange
Commission on April 21, 1999, and incorporated herein by reference
*** Filed by the Authority with its Form 10-K for the fiscal year ended
September 30, 1998 and incorporated herein reference
**** Filed by the Authority with its Form 10-K for the fiscal year ended
September 30, 2000 and incorporated herein by reference
A(4). Reports on Form 8-K.
None.
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Signatures
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange
Act of 1934, the Mohegan Tribal Gaming Authority has duly caused this report to
be signed on its behalf by the undersigned, thereunto duly authorized, on July
23, 2001.
MOHEGAN TRIBAL GAMING AUTHORITY
By:/s/ Mark F. Brown
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Mark F. Brown
Chairman, Management
Pursuant to the requirements of the Securities Exchange Act of 1934, this report
has been signed by the following person on behalf of the registrant and in the
capacity indicated on July 23, 2001.
Signature Title
/s/ Mark F. Brown
- ---------------------- Chairman, Management Board
Mark F. Brown
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