Altria Group Inc
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ALTRIA GROUP INC FORM 8-K (Unscheduled Material Events) Filed 3/16/2001 For Period Ending 3/16/2001 Address 120 PARK AVE NEW YORK, New York 10017 Telephone 917-663-4000 CIK 0000764180 Industry Tobacco Sector Consumer/Non-Cyclical Fiscal Year 12/31 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2001 PHILIP MORRIS COMPANIES INC. (Exact name of registrant as specified in its charter) Virginia 1-8940 13-3260245 (State or other jurisdiction (Commission (I.R.S. Employer of incorporation) File Number) Identification No.) 120 Park Avenue, New York, New York 10017-5592 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (917) 663-5000 (Former name or former address, if changed since last report.) Item 7. Financial Statements, Pro Forma Financial Information and Exhibits. (c) Exhibits. 99.1 Kraft Foods Inc. Registration Statement on Form S-1 Item 9. Regulation FD Disclosure. The information in this Current Report is being furnished pursuant to Item 9 and shall not be deemed "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section. The information in this Current Report shall not be incorporated by reference into any registration statement pursuant to the Securities Act of 1933, as amended. The furnishing of the information in this Current Report is not intended to, and does not, constitute a representation that such furnishing is required by Regulation FD or that the information this Current Report contains is material investor information that is not otherwise publicly available. On March 16, 2001, Kraft Foods Inc., a wholly-owned food and beverage subsidiary of Philip Morris Companies Inc., filed a Registration Statement on Form S-1 with the Securities and Exchange Commission in connection with the initial public offering of Kraft Foods Inc. Class A common stock. A copy of the Form S-1 is attached as Exhibit 99.1. A registration statement relating to the Kraft Foods Inc. Class A common stock has been filed with the Securities and Exchange Commission but has not yet become effective. These securities may not be sold nor may offers to buy be accepted prior to the time the registration statement becomes effective. This Current Report shall not constitute an offer to sell or the solicitation of an offer to buy nor shall there be any sale of these securities in any state in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state. 2 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. PHILIP MORRIS COMPANIES INC. By: /s/ G. PENN HOLSENBECK ------------------------------- Name: G. Penn Holsenbeck Title: Vice President, Associate General Counsel and Corporate Secretary DATE: March 16, 2001 3 INDEX TO EXHIBITS Exhibit No. Description 99.1 Kraft Foods Inc. Registration Statement on Form S-1 4 EXHIBIT 99.1 Kraft Foods Inc. Registration Statement on Form S -1 As filed with the Securities and Exchange Commission on March 16, 2001. Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Kraft Foods Inc. (Exact name of registrant as specified in its charter) Virginia 2000 52-2284372 (State or other jurisdiction of (Primary Standard Industrial (I.R.S. Employer incorporation or organization) Classification Code Number) Identification No.) Three Lakes Drive Northfield, Illinois 60093 (847) 646-2000 (Address, including zip code, and telephone number, including area code, of registrant's principal executive offices) Calvin J. Collier, Esq. Kraft Foods Inc. Three Lakes Drive Northfield, Illinois 60093 (847) 646-2805 (Name, address, including zip code, and telephone number, including area code, of agent for service) Copies to: Jerry E. Whitson, Esq. Edward P. Tolley, III, Esq. Hunton & Williams Raymond W. Wagner, Esq. 200 Park Avenue Simpson Thacher & Bartlett New York, New York 10166 425 Lexington Avenue (212) 309-1060 New York, New York 10017 (212) 455-2000 Approximate date of commencement of proposed sale to the public: As soon as practicable after the effective date of this Registration Statement. If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box. [_] If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. [_] If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. [_] If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration number of the earlier effective registration statement for the same offering. [_] If delivery of the prospectus is expected to be made pursuant to Rule 434, please check the following box. [_] CALCULATION OF REGISTRATION FEE Title Of Each Class Of Securities Proposed Maximum Amount Of To Be Registered Aggregate Offering Price(1) (2) Registration Fee(3) ---------------------------------------------------------------------------------------- Class A Common Stock, no par value $5,000,000,000.00 $1,250,000.00 (1) Includes shares subject to underwriters' over-allotment option. (2) Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457 of the Securities Act of 1933. Pursuant to Rule 457(o), certain information has been omitted from the table. (3) Calculated pursuant to Rule 457 of the Securities Act of 1933. The registrant hereby amends this registration statement on such date or dates as may be necessary to delay its effective date until the registrant shall file a further amendment which specifically states that this registration statement shall thereafter become effective in accordance with section 8(a) of the Securities Act or until this registration statement shall become effective on such date as the Securities and Exchange Commission, acting pursuant to said section 8(a), may determine. ++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++ +The information in this prospectus is not complete and may be changed. We may + +not sell these securities until the registration statement filed with the + +Securities and Exchange Commission is effective. This prospectus is not an + +offer to sell these securities and it is not soliciting an offer to buy these + +securities in any state where the offer or sale is not permitted. + ++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++ SUBJECT TO COMPLETION, DATED MARCH 16, 2001 Shares [LOGO] Kraft Foods Inc. Class A Common Stock This is our initial public offering and no public market currently exists for our shares. We currently expect the initial public offering price of our Class A common stock to be between $ and $ per share. We are currently a wholly-owned subsidiary of Philip Morris Companies Inc. Upon completion of this offering, Philip Morris will own % of our Class A common stock and 100% of our Class B common stock. Each share of Class A common stock has one vote and each share of Class B common stock has ten votes. Accordingly, following this offering, Philip Morris will own common stock representing % of the combined voting power of our common stock. We intend to apply to list our Class A common stock on the New York Stock Exchange under the symbol "KFT." We have granted the underwriters an option to purchase up to an additional shares of our Class A common stock to cover over-allotments. Investing in our Class A common stock involves risks. See "Risk Factors" beginning on page 7. Per Share Total --------- ----- Initial public offering price................................... $ $ Underwriting discount........................................... $ $ Proceeds, before expenses, to Kraft............................. $ $ The underwriters expect to deliver the shares of Class A common stock on or about , 2001. Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or passed upon the accuracy or adequacy of this prospectus. Any representation to the contrary is a criminal offense. Joint Book-Running Managers Credit Suisse First Boston Salomon Smith Barney -------- Deutsche Banc Alex. Brown JPMorgan Morgan Stanley Dean Witter UBS Warburg LLC -------- Blaylock & Partners, L.P. BNP PARIBAS Dresdner Kleinwort Wasserstein HSBC Lehman Brothers Prudential Securities Ramirez & Co., Inc. Sanford C. Bernstein & Co., LLC Utendahl Capital Partners, L.P. , 2001 TABLE OF CONTENTS Page Page ---- ---- Prospectus Summary.................. 1 Management......................... 71 Risk Factors........................ 7 Sole Shareholder................... 84 Cautionary Statement