sv3asr
As filed with the Securities and Exchange Commission on
March 6, 2006
Registration
No. 333-
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form S-3
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
Trinity Industries, Inc.
(Exact name of Registrant as specified in its charter)
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Delaware |
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75-0225040 |
(State or other jurisdiction of
incorporation or organization) |
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(I.R.S. Employer
Identification No.) |
Trinity Industries, Inc.
2525 Stemmons Freeway
Dallas, Texas 75207-2401
(214) 631-4420
(Address, including zip code, and telephone number, including
area code, of Registrants principal executive offices)
Michael G. Fortado, Esq.
Vice President and Secretary
2525 Stemmons Freeway
Dallas, Texas 75207-2401
(214) 631-4420
(Name, address, including zip code, and telephone number,
including area code, of agent for service)
copies to:
W. Scott Wallace, Esq.
Haynes and Boone, LLP
901 Main Street, Suite 3100
Dallas, Texas 75202
(214) 651-5000
Approximate date of commencement of proposed sale to the
public: From time to time after the Registration Statement
becomes effective, as determined by the applicable Registrant.
If the only securities being registered on this form are being
offered pursuant to dividend or interest reinvestment plans,
please check the
following box. o
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, other than
securities offered only in connection with dividend or interest
reinvestment plans, check the following
box. þ
If this form is filed to register additional securities for an
offering pursuant to Rule 462(b) under the Securities Act,
check the following box and list the Securities Act registration
statement number of earlier effective registration statement for
the same
offering. o
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. o
If this Form is a registration statement pursuant to General
Instruction I.D. or a post-effective amendment thereto that
shall become effective upon filing with the Commission pursuant
to Rule 462(e) under the Securities Act, check the
following box. þ
If this Form is a post-effective amendment to a registration
statement filed pursuant to General Instruction I.D. filed
to register additional securities or additional classes of
securities pursuant to Rule 413(b) under the Securities
Act, check the
following box. o
CALCULATION OF REGISTRATION FEE
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Proposed Maximum |
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Proposed Maximum |
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Amount of |
Title of Each Class of |
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Amount to be |
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Offering Price |
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Aggregate |
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Registration |
Securities to be Registered |
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Registered |
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per Share(1) |
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Offering Price(1) |
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Fee |
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Common Stock (par value $1.00 per share)(2)
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3,650,000 shares |
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$55.82 |
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$203,743,000 |
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$21,800.50 |
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(1) |
Estimated solely for purposes of calculating the registration
fee pursuant to Rule 457(c) under the Securities Act of
1933, as amended, based on the average of the high and low sales
prices of the Common Stock as reported on the New York Stock
Exchange on March 2, 2006. |
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(2) |
Each share is accompanied by a preferred stock purchase right
pursuant to a rights agreement between Trinity Industries, Inc.
and American Stock Transfer & Trust Company, as rights
agent. |
PROSPECTUS
3,650,000 Shares
Trinity Industries, Inc.
Common Stock
All of the shares of common stock in this offering are being
sold by the selling stockholders. Trinity Industries, Inc. will
not receive any of the proceeds from the sale of the shares in
this offering.
Our registration of the shares of common stock covered by this
prospectus does not mean that the selling stockholders will
offer or sell any of the shares. The selling stockholders may
sell the shares of common stock covered by this prospectus in a
number of different ways and at varying prices. We provide more
information about how the selling stockholders may sell the
shares in the section entitled Plan of Distribution
beginning on page 4.
The common stock is listed on the New York Stock Exchange under
the symbol TRN. The last reported sale price of the
common stock on March 2, 2006 was $55.30 per share.
See Risk Factors on page 2 to read about
certain matters that you should consider before buying shares of
the common stock.
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 or whether it is truthful or complete. Any
representation to the contrary is a criminal offense.
The date of this prospectus is March 6, 2006.
TABLE OF CONTENTS
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ABOUT THIS PROSPECTUS
You should rely only on the information contained in or
incorporated by reference into this prospectus and any
applicable prospectus supplements. Neither we, the selling
stockholders nor any underwriter has authorized anyone to
provide information different from that contained in this
prospectus and the documents incorporated by reference herein.
The information contained in this prospectus, in any prospectus
supplement, in any document incorporated by reference or any
other offering material is accurate only as of its date,
regardless of the time of delivery of this prospectus or any
sale of common stock. As used in this prospectus, unless
otherwise required by the context, the terms we,
us, our, the Company and
Trinity refer to Trinity Industries, Inc. and its
consolidated subsidiaries. The phrase this
prospectus refers to this prospectus and any applicable
prospectus supplement, unless the context otherwise requires.
You should carefully read this entire prospectus and the
documents incorporated by reference into this prospectus.
THE COMPANY
We are a diversified industrial company providing a variety of
products and services for the transportation, industrial,
construction and energy sectors. We were incorporated in 1933
and have been publicly-traded since 1958.
We serve our customers through five business groups:
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Rail Group. Our Rail Group is the leading freight railcar
manufacturer in North America and a freight railcar manufacturer
in Europe. We provide a full complement of railcars used for
transporting a wide variety of liquids, gases, and dry cargo. |
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Railcar Leasing and Management Services Group. Our
Railcar Leasing and Management Services Group is a premier
provider of leasing and management services. We lease both tank
cars and freight cars. Our Railcar Leasing and Management
Services Group is an important strategic resource that uniquely
links our Rail Group with our customers and provides us with
revenue and cash flow diversification. |
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Construction Products Group. Our Construction Products
Group produces concrete and aggregates, and manufactures highway
products, beams and girders used in highway bridge construction,
and weld pipe fittings. We are a leader in the supply of ready
mix concrete in several rural regions and cities located
throughout Texas. We believe we are the largest highway
guardrail manufacturer in the United States based on revenues
and the only full line producer of highway guardrails, crash
cushions and other protective barriers that absorb and dissipate
the force of impact in collisions between vehicles and fixed
roadside objects. |
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Inland Barge Group. We are a leading manufacturer of
inland barges in the United States and the largest manufacturer
of fiberglass barge covers, used primarily on grain barges. We
manufacture a variety of dry cargo barges, such as deck barges,
and open or covered hopper barges that transport various
commodities, such as grain, coal, and aggregates. We also
manufacture tank barges used to transport liquid products. Our
manufacturing facilities are strategically located along the
U.S. inland river system. |
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Energy Equipment Group. In the third quarter of 2005, due
to an increase in structural and tower revenue, we restructured
our Industrial Products Group to include our structural wind
tower operations. As a result, the Industrial Products Group was
renamed the Energy Equipment Group. We are a leading
manufacturer of tank containers and tank heads for pressure
vessels. We manufacture our tanks in the United States, Mexico,
and Brazil. We market a portion of our products in Mexico under
the brand name of
TATSA®.
We also manufacture fertilizer containers for bulk storage, farm
storage and the application and distribution of anhydrous
ammonia. |
We are a Delaware corporation. Our principal executive offices
are located at 2525 N. Stemmons Freeway, Dallas, TX
75207-2401 and our telephone number at that address is
(214) 631-4420. Our website is located at www.trin.net. The
information on our website is not part of this prospectus.
1
RISK FACTORS
Investing in our common stock involves risks. You should
carefully consider the risks, uncertainties and assumptions
discussed under the section Risk Factors included in
our Annual Report on
Form 10-K for the
year ended December 31, 2005, which are incorporated by
reference in this prospectus, and which may be amended,
supplemented or superseded from time to time by other documents
we file with the Securities and Exchange Commission, or the SEC,
in the future, see Where You Can Find More
Information. Additional risks not presently known to us or
which we consider immaterial based on information currently
available to us may also materially adversely affect us.
ABOUT FORWARD-LOOKING STATEMENTS
Some statements in this prospectus (or otherwise made by us or
on our behalf from time to time in other reports, filings with
the SEC, news releases, conferences, World Wide Web postings or
otherwise) which are not historical facts, may be
forward-looking statements within the meaning of
Section 21E of the Securities Exchange Act of 1934, as
amended, or the Exchange Act, and the Private Securities
Litigation Reform Act of 1995. Forward-looking statements
include statements about our estimates, expectations, beliefs,
intentions or strategies for the future, and the assumptions
underlying these forward-looking statements. We use the words
anticipates, believes,
estimates, expects, intends,
forecasts, may, will,
should and similar expressions to identify these
forward-looking statements. Forward-looking statements involve
risks and uncertainties that could cause actual results to
differ materially from historical experience or our present
expectations. Factors that could cause these differences
include, but are not limited to:
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market conditions and demand for our products; |
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the cyclical nature of both the railcar and barge industries; |
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variations in weather in areas where construction products are
sold and used; |
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disruptions of manufacturing capacity due to weather related
events; |
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the timing of introduction of new products; |
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the timing of customer orders; |
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price changes; |
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changes in mix of products sold; |
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the extent of utilization of manufacturing capacity; |
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availability and costs of component parts, supplies, and raw
materials; |
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competition and other competitive factors; |
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changing technologies; |
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steel prices; |
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surcharges added to fixed pricing agreements for raw materials; |
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interest rates and capital costs; |
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long-term funding of our leasing warehouse facility; |
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taxes; |
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the stability of the governments and political and business
conditions in certain foreign countries, particularly Mexico,
Czech Republic, and Romania; |
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changes in import and export quotas and regulations; |
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business conditions in emerging economies; |
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results of litigation; |
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legal, regulatory, and environmental issues; and |
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other matters set forth under the heading Risk
Factors in documents we incorporate by reference into this
prospectus. |
Any forward-looking statement speaks only as of the date on
which such statement is made. We undertake no obligation to
update any forward-looking statement to reflect events or
circumstances after the date on which such statement is made.
USE OF PROCEEDS
All shares of common stock sold pursuant to this prospectus will
be sold by the selling stockholders and we will not receive any
of the proceeds from such sale.
SELLING STOCKHOLDERS
TIC I, LLC (formerly known as Thrall Investment Company,
L.L.C.) and TIC II, LLC (formerly known as Thrall Investment
Company II, L.L.C.) are selling all of the
3,650,000 shares of our common stock offered by this
prospectus. The selling stockholders are affiliates of
Duchossois Industries, Inc. In October 2001, we acquired Thrall
Car Manufacturing Company from certain affiliates of Duchossois
Industries by merger for cash and 7,150,000 shares of our
common stock, 4,000,000 of which were registered and sold in
December 2004 by TIC I, LLC. 3,150,000 of the shares of
common stock offered hereby are part of the shares received in
the merger and are offered hereby by TIC I, LLC. The
remaining 500,000 shares of common stock are offered hereby
by TIC II, LLC.
As of March 1, 2006, TCMC, Inc. (formerly known as Thrall
Car Management Company, Inc.), an affiliate of Duchossois
Industries, owned in the aggregate 600,000 shares of our
common stock, and Craig J. Duchossois, the chief executive
officer of Duchossois Industries, who was appointed and serves
currently as one of our directors pursuant to a stockholders
agreement that we entered into in connection with the Thrall Car
Manufacturing Company merger, owns 15,150 shares of our
common stock and 2,000 restricted stock units that may be
converted into common stock if Mr. Duchossois ceases to
serve as one of our directors.
Mr. Duchossois is an operating board member and executive
officer of each of the selling stockholders, and a director and
executive officer of TCMC, and has the ability to vote a
majority of the voting interests in each of the selling
stockholders and TCMC.
We are registering the offer and sale of 3,150,000 of the shares
offered by this prospectus because TIC I, LLC has exercised
one of its registration rights under the registration rights
agreement entered into at the time of the merger. In connection
therewith, we have agreed to register the additional shares
owned by TIC II, LLC.
3
The following table sets forth the number of shares of our
common stock the selling stockholders will beneficially own
immediately before and after this offering, in each case
together with the percentage of the total voting power of our
capital stock represented by such shares (based on the
49,490,350 shares outstanding as of January 31, 2006).
The information included in the table as to the selling
stockholders has been furnished to us by or on behalf of the
selling stockholders for inclusion in this prospectus. The
information is based upon the assumption that the selling
stockholders do not sell any shares of our common stock shown in
the table as owned other than the shares of common stock to be
sold under this prospectus.
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Beneficial | |
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Ownership | |
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Beneficial Ownership | |
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After Completion | |
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Prior to the Offering | |
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of the Offering | |
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Shares to | |
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Name of Beneficial Owner |
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TIC I, LLC(1)
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3,150,000 |
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6.4% |
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3,150,000 |
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0 |
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0% |
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TIC II, LLC(1)
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500,000 |
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1.0% |
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500,000 |
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0 |
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0% |
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(1) |
TIC I, LLC, TIC II, LLC, TCMC, Inc. and Mr. Craig
J. Duchossois are affiliates of each other. As such they may be
deemed to be beneficial owners of the shares. The principal
business address for these entities and persons is 845 Larch
Avenue, Elmhurst, Illinois 60126. Before and after this
offering, TCMC, Inc. will own 600,000 shares of our common
stock. These shares are not part of this offering. |
PLAN OF DISTRIBUTION
We are registering 3,650,000 shares of our common stock for
possible sale by the selling stockholders. Unless the context
otherwise requires, as used in this prospectus, selling
stockholders includes the selling stockholders named in
the table above. The selling stockholders may offer and sell all
or a portion of the shares covered by this prospectus from time
to time, in one or more or any combination of the following
transactions:
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on the New York Stock Exchange, in the
over-the-counter
market, or on any other national securities exchange on which
our shares are listed or traded; |
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in privately negotiated transactions; |
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in underwritten transactions; |
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in a block trade in which a broker-dealer will attempt to sell
the offered shares as agent but may position and resell a
portion of the block as principal to facilitate the transaction; |
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through purchases by a broker-dealer as principal and resale by
the broker-dealer for its account pursuant to this prospectus; |
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in ordinary brokerage transactions and transactions in which the
broker solicits purchasers; and |
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through the writing of options (including put or call options),
whether the options are listed on an options exchange or
otherwise. |
The selling stockholders may sell the shares at prices then
prevailing or related to the then current market price or at
negotiated prices. The offering price of the shares from time to
time will be determined by the selling stockholders and, at the
time of the determination, may be higher or lower than the
market price of our common stock on the New York Stock Exchange
or any other exchange or market.
The shares may be sold directly or through broker-dealers acting
as principal or agent, or pursuant to a distribution by one or
more underwriters on a firm commitment or best-efforts basis.
The selling stockholders may also enter into hedging
transactions with broker-dealers. In connection with such
transactions, broker-dealers or other financial institutions may
engage in short sales of our common stock
4
in the course of hedging the positions they assume with the
selling stockholders. The selling stockholders may also enter
into options or other transactions with broker-dealers or other
financial institutions which require the delivery to such
broker-dealer or other financial institution of shares offered
by this prospectus, which shares such broker-dealer or other
financial institution may resell pursuant to this prospectus (as
supplemented or amended to reflect such transaction). In
connection with an underwritten offering, underwriters or agents
may receive compensation in the form of discounts, concessions
or commissions from the selling stockholders or from purchasers
of the offered shares for whom they may act as agents. In
addition, underwriters may sell the shares to or through
dealers, and those dealers may receive compensation in the form
of discounts, concessions or commissions from the underwriters
and/or commissions from the purchasers for whom they may act as
agents. The selling stockholders and any underwriters, dealers,
or agents participating in a distribution of the shares may be
deemed to be underwriters within the meaning of the
Securities Act of 1933, as amended, or the Securities Act, and
any profit on the sale of the shares by the selling stockholders
and any commissions received by broker-dealers may be deemed to
be underwriting commissions under the Securities Act.
We and the selling stockholders have agreed to indemnify an
underwriter, broker-dealer or agent against certain liabilities
related to the selling of the common stock, including
liabilities arising under the Securities Act. Under the
registration rights agreement, we have agreed to pay the costs,
expenses, and fees of registering the shares of common stock
offered by TIC I, LLC. We have also agreed to pay the
costs, expenses and fees of registering the shares of common
stock offered by TIC II, LLC. However, the selling
stockholders will pay any underwriting discounts or commissions
relating to the sale of the shares of common stock in any
underwritten offering.
Upon our notification by the selling stockholders that any
material arrangement has been entered into with an underwriter
or broker-dealer for the sale of shares through a block trade,
special offering, exchange distribution, secondary distribution
or a purchase by an underwriter or broker-dealer, we will file a
supplement to this prospectus, if required, pursuant to
Rule 424(b) under the Securities Act, disclosing certain
material information, including:
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the number of shares being offered; |
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the terms of the offering; |
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the names of the participating underwriters, broker-dealers or
agents; |
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any discounts, commissions or other compensation paid to
underwriters or broker-dealers and any discounts, commissions or
concessions allowed or reallowed or paid by any underwriters to
dealers; |
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the public offering price; and |
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other material terms of the offering. |
The selling stockholders are subject to the applicable
provisions of the Exchange Act and the rules and regulations
under the Exchange Act, including Regulation M. This
regulation may limit the timing of purchases and sales of any of
the shares of common stock offered in this prospectus by the
selling stockholders. The anti-manipulation rules under the
Exchange Act may apply to sales of shares in the market and to
the activities of the selling stockholders and their affiliates.
The restrictions may affect the marketability of the shares and
the ability of any person or entity to engage in market-making
activities for the shares.
VALIDITY OF COMMON STOCK
The validity of the shares of common stock offered by this
prospectus will be passed upon by Haynes and Boone, LLP, our
legal counsel.
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EXPERTS
Ernst & Young LLP, independent registered public
accounting firm, has audited our consolidated financial
statements and schedule included in our Annual Report on
Form 10-K for the
year ended December 31, 2005, and managements
assessment of the effectiveness of our internal control over
financial reporting as of December 31, 2005, as set forth
in their reports, which are incorporated by reference in this
prospectus and elsewhere in the registration statement. Our
financial statements and schedule and managements
assessment are incorporated by reference in reliance on
Ernst & Young LLPs reports, given on their
authority as experts in accounting and auditing.
WHERE YOU CAN FIND MORE INFORMATION
We file annual, quarterly, and current reports, proxy
statements, and other information with the SEC. The SEC
maintains an internet site http://www.sec.gov that
contains reports, proxy and information statements, and other
information regarding issuers (including us) that file documents
with the SEC electronically. Our SEC filings may be obtained
from that website. Please call the SEC at
1-800-SEC-0330 for
further information on the public reference facilities. You may
also read and copy any document we file with the SEC at the
following SEC public reference facility:
Public Reference Room
100 F Street, N.E.
Washington, D.C. 20549
You may also obtain copies of the documents at prescribed rates
by writing to the Public Reference Room of the SEC at 100 F
Street, N.E., Washington, D.C. 20549, by
e-mailing the Public
Reference Room of the SEC at publicinfo@sec.gov, or by facsimile
at (202) 777-1027.
The SEC allows us to incorporate by reference the
information we file with it, which means that we can disclose
important information to you by referring you to those
documents. The information incorporated by reference is
considered to be part of this prospectus, and later information
that we file with the SEC will automatically update and
supersede this information. In all cases you should rely on the
later information over different information included in this
prospectus. We incorporate by reference the documents listed
below and any future filings we make with the SEC under
Sections 13(a), 13(c), 14, or 15(d) of the Exchange
Act until we terminate the offering:
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Our Annual Report on
Form 10-K for the
year ended December 31, 2005; |
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Our Current Reports on
Form 8-K filed on
January 19, 2006, February 9, 2006, February 15,
2006, and March 2, 2006 (in all cases, to the extent these
items were filed with the SEC and not
furnished); |
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The description of our common stock contained in our Current
Report on Form 8-K
dated November 30, 2004; and |
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The description of our rights to purchase Series A Junior
Participating Preferred Stock contained in our Registration
Statement on
Form 8-A filed
with the SEC on April 2, 1999, as amended by filings on
August 22, 2001, October 31, 2001, and May 19,
2005, including any amendments or reports filed subsequent to
the date hereof for the purpose of updating that description. |
Any person, including any beneficial owner, may request a copy
of these filings, at no cost, by writing or telephoning us at
the following address and telephone number:
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Trinity Industries, Inc. |
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2525 Stemmons Freeway |
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Dallas, Texas 75207-2401 |
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Attention: Michael G. Fortado |
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Telephone number: 214-631-4420 |
6
3,650,000 Shares
Trinity Industries, Inc.
Common Stock
PROSPECTUS
March 6, 2006
PART II INFORMATION NOT REQUIRED IN
PROSPECTUS
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ITEM 14. |
Other Expenses of Issuance and Distribution. |
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SEC Registration Fee
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21,800 |
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Printing
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30,000 |
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Accounting Fees and Expenses
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100,000 |
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Legal Fees and Expenses
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100,000 |
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Miscellaneous
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50,000 |
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Total
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$ |
301,800 |
* |
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ITEM 15. |
Indemnification of Directors and Officers. |
(a) Section 145(a) of the Delaware General Corporation
Law (the DGCL) provides that a corporation may
indemnify any person who was or is a party or is threatened to
be made a party to any threatened, pending or completed action,
suit or proceeding, whether civil, criminal, administrative or
investigative (collectively, a Proceeding) (other
than an action by or in the right of the corporation) by reason
of the fact that he or she is or was a director, officer,
employee or agent of the corporation, or is or was serving at
the request of the corporation as a director, officer, employee
or agent of another corporation or enterprise, against expenses
(including attorneys fees), judgments, fines, and amounts
paid in settlement actually and reasonably incurred by him or
her in connection with such action, suit or proceeding if such
person acted in good faith and in a manner he or she reasonably
believed to be in or not opposed to the best interests of the
corporation, and, with respect to any criminal action or
proceeding, had no reasonable cause to believe his or her
conduct was unlawful.
Section 145(b) of the DGCL provides that a corporation may
indemnify any person who was or is a party or is threatened to
be made a party to any threatened, pending or completed action
or suit by or in the right of the corporation to procure a
judgment in its favor by reason of the fact that such person
acted in any of the capacities set forth above, against such
expenses actually and reasonably incurred by him or her in
connection with the defense or settlement of such action or suit
if he or she acted under similar standards, except that no
indemnification may be made in respect of any claim, issue or
matter as to which such person shall have been adjudged to be
liable to the corporation unless and only to the extent that the
Court of Chancery or the court in which such action or suit was
brought shall determine upon application that, despite the
adjudication of liability but in view of all the circumstances
of the case, such person is fairly and reasonably entitled to
indemnification for such expenses which the court shall deem
proper.
Further, Section 145(c) of the DGCL provides that, to the
extent a director or officer of a corporation has been
successful on the merits or otherwise in the defense of any
action, suit or proceeding referred to above or in the defense
of any claim, issue or matter therein, he or she shall be
indemnified against expenses (including attorneys fees)
actually and reasonably incurred by him or her in connection
therewith.
Section 145(f) of the DGCL provides that the statutory
provisions on indemnification are not exclusive of
indemnification provided pursuant to, among other things, the
bylaws or indemnification agreements. Our Bylaws contain
provisions regarding the indemnification of our directors and
officers. Article VI of our Bylaws provides for the
indemnification of our officers and directors to substantially
the same extent permitted by the DGCL.
The indemnification described above (unless ordered by a court)
shall be paid by us unless a determination is made that
indemnification of the director, officer, employee or agent is
not proper in the
II-1
circumstances because he or she has not met the applicable
standard of conduct set forth above. This determination must be
made:
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by our board of directors by a majority vote of a quorum
consisting of directors who were not parties to such Proceeding; |
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|
if such a quorum is not obtainable, or, even if obtainable a
quorum of disinterested directors so directs, by independent
legal counsel in a written opinion; or |
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by Trinitys stockholders. |
Article VI of our Bylaws provides that costs, charges and
expenses (including attorneys fees) incurred by a person
seeking indemnification under Article VI of our Bylaws in
defending a Proceeding shall be paid by us in advance of the
final disposition of such Proceeding; provided, however, that
the payment of such costs, charges and expenses incurred by a
director or officer in his capacity as a director or officer
(and not in any other capacity in which service was or is
rendered by such person while a director or officer) in advance
of the final disposition of such Proceeding shall be made only
upon receipt of an undertaking by or on behalf of the director
or officer to repay all amounts so advanced in the event that it
shall ultimately be determined that such director or officer is
not entitled to be indemnified by us. Such costs, charges and
expenses incurred by other employees and agents may be so paid
upon such terms and conditions, if any, as our board of
directors deems appropriate. Our board of directors may, upon
approval of such director, officer, employee or agent of
Trinity, authorize Trinitys counsel to represent such
person in any Proceeding, whether or not Trinity is a party to
such Proceeding.
Section 102(b)(7) of the DGCL permits a corporation to
provide in its certificate of incorporation that a director of
the corporation shall not be personally liable to the
corporation or its stockholders for monetary damages for breach
of fiduciary duty as a director, but excludes specifically
liability for any:
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breach of the directors duty of loyalty to the corporation
or its stockholders; |
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|
acts or omissions not in good faith or involving intentional
misconduct or a knowing violation of law; |
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|
payments of unlawful dividends or unlawful stock repurchases or
redemptions; or |
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|
transactions from which the director derived an improper
personal benefit. |
The provision does not limit equitable remedies, such as an
injunction or rescission for breach of a directors
fiduciary duty of care.
Our certificate of incorporation contains a provision
eliminating the personal liability of a director from breaches
of fiduciary duty, subject to the exceptions described above.
(b) We have entered into indemnity agreements with our
directors and officers that establish contract rights to
indemnification substantially similar to the rights to
indemnification provided for in our Bylaws.
(a) Exhibits
Unless denoted by a * or a +, all items are incorporated by
reference to other documents previously filed with the
Securities and Exchange Commission as set forth at the end of
this table.
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Exhibit |
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|
Number |
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|
Description |
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+1 |
.1 |
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|
Form of Underwriting Agreement |
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4 |
.1 |
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|
Certificate of Incorporation of Trinity Industries, Inc., as
amended (incorporated by reference to Exhibit 3.1 to
Trinity Industries, Inc.s Annual Report on Form 10-K
filed on March 20, 2002) |
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4 |
.2 |
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|
By-Laws of Trinity Industries, Inc. (incorporated by reference
to Exhibit 3.2 to Trinity Industries, Inc.s Annual
Report on Form 10-K filed on March 20, 2002) |
II-2
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Exhibit |
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Number |
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Description |
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4 |
.3 |
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Specimen Common Stock Certificate of Trinity Industries, Inc.
(incorporated by reference to Exhibit 4.1 to Trinity
Industries, Inc.s Registration Statement (Registration
No. 333-117526) on Form S-4 filed on July 21,
2004) |
|
4 |
.4 |
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Rights Agreement dated March 11, 1999 (incorporated by
reference to Exhibit 99.1 to Trinity Industries,
Inc.s Form 8-A filed on April 2, 1999) |
|
4 |
.4.1 |
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Amendment No. 1 to the Rights Agreement dated as of
August 12, 2001, amending the Rights Agreement dated as of
March 11, 1999 by and between Trinity Industries, Inc. and
The Bank of New York, as Rights Agent (incorporated by reference
to Exhibit 2 to Trinity Industries, Inc.s
Form 8-A/A filed on August 22, 2001) |
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4 |
.4.2 |
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|
Amendment No. 2 to the Rights Agreement dated as of
October 26, 2001, amending the Rights Agreement dated as of
March 11, 1999 by and between Trinity Industries, Inc. and
The Bank of New York, as Rights Agent, as amended by Amendment
No. 1 to the Rights Agreement, dated August 13, 2001
(incorporated by reference to Exhibit 4 to Trinity
Industries, Inc.s Form 8-A/A filed on
October 31, 2001) |
|
4 |
.4.3 |
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|
Amendment No. 3 to Rights Agreement, dated August 28,
2003 between Trinity Industries, Inc. and Wachovia Bank,
National Association (incorporated by reference to
Exhibit 4 to Trinity Industries, Inc.s
Form 8-A/A filed on May 19, 2005) |
|
4 |
.4.4 |
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|
Amendment No. 4 to Rights Agreement, dated May 19,
2005 between Trinity Industries, Inc. and Wachovia Bank,
National Association (incorporated by reference to
Exhibit 5 to Trinity Industries, Inc.s
Form 8-A/A filed on May 19, 2005) |
|
4 |
.5 |
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|
Registration Rights Agreement dated as of October 26, 2001
by and between Trinity Industries, Inc. and Thrall Car
Management Company, Inc. (incorporated by reference to
Exhibit 4.3 to Trinity Industries, Inc.s Registration
Statement (Registration No. 333-117526) on Form S-4
filed on July 21, 2004) |
|
*5 |
.1 |
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|
Opinion of Haynes and Boone, LLP |
|
*23 |
.1 |
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|
Consent of Ernst & Young LLP |
|
*23 |
.2 |
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|
Consent of Haynes and Boone, LLP (included in its legal opinion
filed as Exhibit 5.1) |
|
*24 |
.1 |
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|
Power of Attorney of the Officers and Directors of Trinity
Industries, Inc. (included on the signature page) |
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+ |
to be filed by an amendment or as an exhibit to a document to be
incorporated herein |
The undersigned registrant hereby undertakes:
(1) To file, during any period in which offers or sales are
being made, a post-effective amendment to this registration
statement:
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(i) To include any prospectus required by
Section 10(a)(3) of the Securities Act of 1933; |
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|
(ii) To reflect in the prospectus any facts or events
arising after the effective date of the registration statement
(or the most recent post-effective amendment thereof) which,
individually or in the aggregate, represent a fundamental change
in the information in the registration statement.
Notwithstanding the foregoing, any increase or decrease in
volume of securities offered (if the total dollar value of
securities offered would not exceed that which was registered)
and any deviation from the low or high end of the estimated
maximum offering range may be reflected in the form of
prospectus filed with the Commission pursuant to
Rule 424(b) if, in the aggregate, the changes in volume and
price represent no more than a 20 percent change in the maximum
aggregate offering price set forth in the Calculation of
Registration Fee table in the effective registration
statement; |
II-3
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(iii) To include any material information with respect to
the plan of distribution not previously disclosed in the
registration statement or any material change to such
information in the registration statement; |
Provided, however, That:
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Paragraphs (1)(i), (1)(ii), and (1)(iii) of this section do
not apply if the registration statement is on
Form S-3
(§239.13 of this chapter) and the information required to
be included in a post-effective amendment by those paragraphs is
contained in reports filed with or furnished to the Commission
by the registrant pursuant to Section 13 or
Section 15(d) of the Securities Exchange Act of 1934 that
are incorporated by reference in the registration statement, or
is contained in a form of prospectus filed pursuant to
Rule 424(b) (§230.424(b) of this chapter) that is part
of the registration statement. |
(2) That, for the purposes of determining any liability
under the Securities Act of 1933, each such post-effective
amendment shall be deemed to be a new registration statement
relating to the securities offered therein, and the offering of
such securities at that time shall be deemed to be the initial
bona fide offering thereof.
(3) To remove from registration by means of a
post-effective amendment any of the securities being registered
which remain unsold at the termination of the offering.
(4) That, for the purpose of determining any liability
under the Securities Act of 1933 to any purchaser:
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(i) If the registrant is relying on Rule 430B
(§230.430B of this chapter): |
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(A) Each prospectus filed by the registrant pursuant to
Rule 424(b)(3) (§230.424(b)(3) of this chapter) shall
be deemed to be part of the registration statement as of the
date the filed prospectus was deemed part of and included in the
registration statement; and |
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(B) Each prospectus required to be filed pursuant to
Rule 424(b)(2), (b)(5), or (b)(7) (§230.424(b)(2),
(b)(5), or (b)(7) of this chapter) as part of a registration
statement in reliance on Rule 430B relating to an offering
made pursuant to Rule 415(a)(1)(i), (vii), or
(x) (§230.415(a)(1)(i), (vii), or (x) of this
chapter) for the purpose of providing the information required
by Section 10(a) of the Securities Act of 1933 shall be
deemed to be part of and included in the registration statement
as of the earlier of the date such form of prospectus is first
used after effectiveness or the date of the first contract of
sale of securities in the offering described in the prospectus.
As provided in Rule 430B, for liability purposes of the
issuer and any person that is at that date an underwriter, such
date shall be deemed to be a new effective date of the
registration statement relating to the securities in the
registration statement to which that prospectus relates, and the
offering of such securities at that time shall be deemed to be
the initial bona fide offering thereof. Provided,
however, that no statement made in a registration statement
or prospectus that is part of the registration statement or made
in a document incorporated or deemed incorporated by reference
into the registration statement or prospectus that is part of
the registration statement will, as to a purchaser with a time
of contract of sale prior to such effective date, supersede or
modify any statement that was made in the registration statement
or prospectus that was part of the registration statement or
made in any such document immediately prior to such effective
date. |
(5) That, for the purpose of determining liability of the
registrant under the Securities Act of 1933 to any purchaser in
the initial distribution of the securities:
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The undersigned registrant undertakes that in a primary offering
of securities of the undersigned registrant pursuant to this
registration statement, regardless of the underwriting method
used to sell the securities to the purchaser, if the securities
are offered or sold to such purchaser by means of any |
II-4
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of the following communications, the undersigned registrant will
be a seller to the purchaser and will be considered to offer or
sell such securities to such purchaser: |
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(i) Any preliminary prospectus or prospectus of the
undersigned registrant relating to the offering required to be
filed pursuant to Rule 424 (§230.424 of this chapter); |
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(ii) Any free writing prospectus relating to the offering
prepared by or on behalf of the undersigned registrant or used
or referred to by the undersigned registrant; |
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(iii) The portion of any other free writing prospectus
relating to the offering containing material information about
the undersigned registrant or its securities provided by or on
behalf of the undersigned registrant; and |
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(iv) Any other communication that is an offer in the
offering made by the undersigned registrant to the purchaser. |
(6) The undersigned registrant hereby undertakes that, for
purposes of determining any liability under the Securities Act
of 1933, each filing of the registrants annual report
pursuant to Section 13(a) or Section 15(d) of the
Securities Exchange Act of 1934 (and, where applicable, each
filing of an employee benefit plans annual report pursuant
to Section 15(d) of the Securities Exchange Act of 1934)
that is incorporated by reference in the registration statement
shall be deemed to be a new registration statement relating to
the securities offered therein, and the offering of such
securities at that time shall be deemed to be the initial
bona fide offering thereof.
(7) Insofar as indemnification for liabilities arising
under the Securities Act of 1933 may be permitted to directors,
officers and controlling persons of the registrant pursuant to
the foregoing provisions, or otherwise, the registrant has been
advised that in the opinion of the Securities and Exchange
Commission such indemnification is against public policy as
expressed in the Securities Act of 1933 and is, therefore,
unenforceable. In the event that a claim for indemnification
against such liabilities (other than the payment by the
registrant of expenses incurred or paid by a director, officer
or controlling person of the registrant in the successful
defense of any action, suit or proceeding) is asserted by such
director, officer or controlling person in connection with the
securities being registered, the registrant will, unless in the
opinion of its counsel the matter has been settled by
controlling precedent, submit to a court of appropriate
jurisdiction the question whether such indemnification by it is
against public policy as expressed in the Securities Act of 1933
and will be governed by the final adjudication of such issue.
II-5
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 the
Registrant certifies that it has reasonable grounds to believe
that it meets all of the requirements for filing on
Form S-3 and has
duly caused this Registration Statement to be signed on its
behalf by the undersigned, thereunto duly authorized, in the
City of Dallas, Texas, on the 6th day of March, 2006.
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By: |
/s/ Timothy R. Wallace
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Timothy R. Wallace |
|
Chairman, President and |
|
Chief Executive Officer |
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature
appears below constitutes and appoints each of Timothy R.
Wallace, William A. McWhirter II and S. Theis Rice his or
her true and lawful
attorneys-in-fact and
agent, with full power of substitution and resubstitution, for
him or her and in his or her name, place and stead, in any and
all capacities, to sign, execute, and file with the Securities
and Exchange Commission and any state securities regulatory
board or commission any documents relating to the proposed
issuance and registration of the securities offered pursuant to
this Registration Statement on
Form S-3 under the
Securities Act of 1933, as amended, including any amendment or
amendments relating thereto (and, in addition, any post
effective amendments), with all exhibits and any and all
documents required to be filed with respect thereto with any
regulatory authority, granting unto said
attorneys-in-fact and
agents, and each of them, full power and authority to do and
perform each and every act and thing requisite and necessary to
be done in and about the premises in order to effectuate the
same as fully to all intents and purposes as he or she might or
could do if personally present, hereby ratifying and confirming
all that said
attorneys-in-fact and
agent, or either of them, or their or his substitute or
substitutes, may lawfully do or cause to be done.
Pursuant to the requirements of the Securities Act of 1933 this
Registration Statement has been signed below by the following
persons on behalf of the Registrant and in the capacities and on
the 6th day of March, 2006.
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Signature |
|
Title |
|
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|
/s/ Timothy R. Wallace
Timothy R. Wallace |
|
Chairman, President, Chief Executive Officer and Director
(Principal Executive Officer) |
|
/s/ William A.
McWhirter II
William A. McWhirter II |
|
Vice President and Chief Financial Officer (Principal Financial
Officer) |
|
/s/ Charles Michel
Charles Michel |
|
Vice President and Controller and Chief Accounting Officer
(Principal Accounting Officer) |
|
/s/ Rhys J. Best
Rhys J. Best |
|
Director |
II-6
|
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Signature |
|
Title |
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/s/ David W. Biegler
David W. Biegler |
|
Director |
|
/s/ Craig J. Duchossois
Craig J. Duchossois |
|
Director |
|
/s/ Ronald J. Gafford
Ronald J. Gafford |
|
Director |
|
/s/ Barry J. Galt
Barry J. Galt |
|
Director |
|
/s/ Clifford J. Grum
Clifford J. Grum |
|
Director |
|
/s/ Ron W. Haddock
Ron W. Haddock |
|
Director |
|
/s/ Jess T. Hay
Jess T. Hay |
|
Director |
|
/s/ Diana S. Natalicio
Diana S. Natalicio |
|
Director |
II-7
INDEX TO EXHIBITS
|
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|
|
|
Exhibit |
|
|
|
|
Number |
|
|
|
Description |
|
|
|
|
|
|
+1 |
.1 |
|
|
|
|
|
Form of Underwriting Agreement |
|
4 |
.1 |
|
|
|
|
|
Certificate of Incorporation of Trinity Industries, Inc., as
amended (incorporated by reference to Exhibit 3.1 to
Trinity Industries, Inc.s Annual Report on Form 10-K
filed on March 20, 2002) |
|
4 |
.2 |
|
|
|
|
|
By-Laws of Trinity Industries, Inc. (incorporated by reference
to Exhibit 3.2 to Trinity Industries, Inc.s Annual
Report on Form 10-K filed on March 20, 2002) |
|
4 |
.3 |
|
|
|
|
|
Specimen Common Stock Certificate of Trinity Industries, Inc.
(incorporated by reference to Exhibit 4.1 to Trinity
Industries, Inc.s Registration Statement (Registration
No. 333-117526) on Form S-4 filed on July 21,
2004) |
|
4 |
.4 |
|
|
|
|
|
Rights Agreement dated March 11, 1999 (incorporated by
reference to Exhibit 99.1 to Trinity Industries,
Inc.s Form 8-A filed on April 2, 1999) |
|
4 |
.4.1 |
|
|
|
|
|
Amendment No. 1 to the Rights Agreement dated as of
August 12, 2001, amending the Rights Agreement dated as of
March 11, 1999 by and between Trinity Industries, Inc. and
The Bank of New York, as Rights Agent (incorporated by reference
to Exhibit 2 to Trinity Industries, Inc.s
Form 8-A/A filed on August 22, 2001) |
|
4 |
.4.2 |
|
|
|
|
|
Amendment No. 2 to the Rights Agreement dated as of
October 26, 2001, amending the Rights Agreement dated as of
March 11, 1999 by and between Trinity Industries, Inc. and
The Bank of New York, as Rights Agent, as amended by Amendment
No. 1 to the Rights Agreement, dated August 13, 2001
(incorporated by reference to Exhibit 4 to Trinity
Industries, Inc.s Form 8-A/A filed on
October 31, 2001) |
|
4 |
.4.3 |
|
|
|
|
|
Amendment No. 3 to Rights Agreement, dated August 28,
2003 between Trinity Industries, Inc. and Wachovia Bank,
National Association (incorporated by reference to
Exhibit 4 to Trinity Industries, Inc.s Form 8-A/
A filed on May 19, 2005) |
|
4 |
.4.4 |
|
|
|
|
|
Amendment No. 4 to Rights Agreement, dated May 19,
2005 between Trinity Industries, Inc. and Wachovia Bank,
National Association (incorporated by reference to
Exhibit 5 to Trinity Industries, Inc.s Form 8-A/
A filed on May 19, 2005) |
|
4 |
.5 |
|
|
|
|
|
Registration Rights Agreement dated as of October 26, 2001
by and between Trinity Industries, Inc. and Thrall Car
Management Company, Inc. (incorporated by reference to
Exhibit 4.3 to Trinity Industries, Inc.s Registration
Statement (Registration No. 333-117526) on Form S-4
filed on July 21, 2004) |
|
*5 |
.1 |
|
|
|
|
|
Opinion of Haynes and Boone, LLP |
|
*23 |
.1 |
|
|
|
|
|
Consent of Ernst & Young LLP |
|
*23 |
.2 |
|
|
|
|
|
Consent of Haynes and Boone, LLP (included in its legal opinion
filed as Exhibit 5.1) |
|
*24 |
.1 |
|
|
|
|
|
Power of Attorney of the Officers and Directors of Trinity
Industries, Inc. (included on the signature page) |
|
|
+ |
to be filed by an amendment or as an exhibit to a document to be
incorporated herein |