SEC Info  
   Home     Search     My Interests     Help     Sign In     Please Sign In  

Enron Corp/OR · SC 13G · Azurix Corp · On 2/14/00

Filed On 2/14/00   ·   Accession Number 950129-0-607   ·   SEC File 5-58325

  in   Show  and 
Help... Wildcards:  ? (any letter),  * (many).  Logic:  for Docs:  & (and),  | (or);  for Text:  | (anywhere),  "(&)" (near).
 
  As Of                Filer                Filing    For/On/As Docs:Size              Issuer               Agent

 2/14/00  Enron Corp/OR                     SC 13G                 1:9K   Azurix Corp                       Bowne - Houston/FA

Statement of Beneficial Ownership   —   Schedule 13G
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13G      Enron Corporation for Azurix Corporation               6     21K 


Document Table of Contents

Page (sequential) | (alphabetic) Top
 
11st Page   -   Filing Submission
3Item 1(A). Name of Issuer:
"Item 1(B). Address of Issuer's Principal Executive Offices:
"Item 2(A). Name of Person Filing:
"Item 2(B). Address of Principal Business Office or, if none, Residence:
"Item 2(C). Citizenship:
"Item 2(D). Title of Class of Securities:
"Item 2(E). CUSIP Number:
"Item 3. If This Statement Is Filed Pursuant to Rule 13D-1(B) or 13D-2(B) or (C), Check Whether the Person Filing Is A:
4Item 4. Ownership
"Item 5. Ownership of Five Percent or Less of A Class
"Item 6. Ownership of More Than Five Percent on Behalf of Another Person
5Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company
"Item 8. Identification and Classification of Members of the Group
"Item 9. Notice of Dissolution of Group
"Item 10. Certifications
SC 13G1st Page of 6TOCTopPreviousNextBottomJust 1st
 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13D-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13D-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Azurix Corp. -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.01 per share -------------------------------------------------------------------------------- (Title of Class of Securities) 05501M 10 4 --------------------------------------- (CUSIP Number) June 15, 1999 -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) * 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 the disclosures provided in a prior cover page. The information required in 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).
SC 13G2nd Page of 6TOC1stPreviousNextBottomJust 2nd
CUSIP No. 05501M 10 4 13G Page 2 of 6 pages ------------------------------------------------------------------------------- 1. Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (Entities Only) ENRON CORP., I.R.S. IDENTIFICATION NO. 47-0255140 --- --------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] --- --------------------------------------------------------------------------- 3. SEC Use Only --- --------------------------------------------------------------------------- 4. Citizenship or Place of Organization OREGON -------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each 5. Sole Voting Power Reporting Person With: ---- -------------------------------------------- 6. Shared Voting Power 78,536,532* ---- -------------------------------------------- 7. Sole Dispositive Power ---- -------------------------------------------- 8. Shared Dispositive Power 78,536,532* --- --------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 78,536,532* --- --------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] --- --------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 67.0% --- --------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) CO ------------------------------------------------------------------------------- * See response to Item 4.
SC 13G3rd Page of 6TOC1stPreviousNextBottomJust 3rd
CUSIP No. 05501M 10 4 13G Page 3 of 6 pages SCHEDULE 13G This Schedule 13G is filed on behalf of Atlantic Water Trust. ITEM 1(A). Name of Issuer: AZURIX CORP. ITEM 1(B). Address of Issuer's Principal Executive Offices: 333 CLAY STREET HOUSTON, TEXAS 77002 ITEM 2(A). Name of Person Filing: ENRON CORP. ITEM 2(B). Address of Principal Business Office or, if none, Residence: 1400 SMITH STREET HOUSTON, TX 77002 ITEM 2(C). Citizenship: OREGON ITEM 2(D). Title of Class of Securities: COMMON STOCK, PAR VALUE $.01 PER SHARE ITEM 2(E). CUSIP Number: 05501M 10 4 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B) OR 13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: (a)[ ] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o); (b)[ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); (c)[ ] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); (d)[ ] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e)[ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
SC 13G4th Page of 6TOC1stPreviousNextBottomJust 4th
CUSIP No. 05501M 10 4 13G Page 4 of 6 pages (f)[ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g)[ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h)[ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i)[ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940(15 U.S.C. 80a-3); (j)[ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). ITEM 4. OWNERSHIP. Atlantic Water Trust, a Delaware business trust, owns 78,536,532 shares of the Common Stock of Azurix Corp. Each of Enron Corp., an Oregon corporation, and Marlin Water Trust, a Delaware business trust, has a 50% voting interest in Atlantic Water Trust, and each may be deemed to beneficially own all of the Azurix shares owned by Atlantic Water Trust because of certain shared voting and dispositive powers. (a) Amount beneficially owned: 78,536,532 (b) Percent of class: 67.0% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: (ii) Shared power to vote or to direct the vote: 78,536,532 (iii) Sole power to dispose or to direct the disposition of: (iv) Shared power to dispose or to direct the disposition of: 78,536,532 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Please read "Principal and Selling Stockholders--Atlantic Water Trust" included in Azurix Corp.'s Registration Statement on Form S-1 (No. 333-74379), as amended, filed in connection with Azurix's initial public offering and declared effective on June 9, 1999, which is incorporated by reference into this Schedule 13G, for information relating to the right of Enron Corp. and Marlin Water Trust to receive dividends from, or proceeds from the sale of, Azurix's Common Stock.
SC 13G5th Page of 6TOC1stPreviousNextBottomJust 5th
CUSIP No. 05501M 10 4 13G Page 5 of 6 pages ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATIONS. Not applicable.
SC 13GLast Page of 6TOC1stPreviousNextBottomJust 6th
CUSIP No. 05501M 10 4 13G Page 6 of 6 pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 14, 2000 ------------------------------------ (Date) ENRON CORP. By: /s/ JEFFREY McMAHON --------------------------------- (Signature) Jeffrey McMahon Executive Vice President, Finance and Treasurer --------------------------------- (Name and Title)

Dates Referenced Herein   and   Documents Incorporated By Reference

Referenced-On Page
This SC 13G Filing   Date First   Last      Other Filings
6/9/994S-1/A
6/15/991
Filed On / Filed As Of2/14/0064, SC 13G
 
TopList All Filings


Filing Submission 0000950129-00-000607   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2014 Fran Finnegan & Company.  All Rights Reserved.
AboutPrivacyRedactionsHelp — Tue, 21 Oct 13:32:24.0 GMT