SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)
American Water Works Company, Inc.
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(Name of Issuer)
Common Stock, par value $1.25 per share
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(Title of Class of Securities)
030411 10 2
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(CUSIP Number)
Dr. Georg Muller
RWE Aktiengesellschaft
Opernplatz 1
D-45128 Essen, Germany
011 49-201-12-00
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
With a copy to:
Peter S. Wilson, Esq.
Cravath, Swaine & Moore
Worldwide Plaza
825 Eighth Avenue
New York, NY 10019
(212) 474-1000
November 6, 2001
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(Date of Event Which Requires Filing of this Statement)
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 of Section 240.13d-1(e), 240.13d-1(f) or
240.13d-1(g), check the following box.[_]
Note: Schedules filed in paper format shall include a signed original
and five copies of the schedule, including all exhibits. See Rule 240.13d-7 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).
(Page 1 of 6)
(Exhibit Index is at page 6)
CUSIP No. 030411 10 2
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1 Names of Reporting Persons
I.R.S. Identification Nos. of Above Persons (entities only)
RWE AKTIENGESELLSCHAFT
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Check the Appropriate Box if a Member of a Group
(See Instructions) (a) [ ]
2 (b) [ ]
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3 SEC Use Only
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4 Source of Funds (See Instructions)
WC, 00
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5 Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [ ]
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Citizenship or Place of Organization
6 Federal Republic of Germany
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Sole Voting Power
Number of 7 0
Shares -------------------------------------------------
Beneficially Shared Voting Power
Owned by Each 8 25,989,476
Reporting -------------------------------------------------
Person With Sole Dispositive Power
9 0
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10 Shared Dispositive Power
24,647,414
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11 Aggregate Amount Beneficially Owned by Each Reporting Person
25,989,476
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12 Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions) [ ]
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Percent of Class Represented by Amount in Row (11)
13 26.0%
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14 Type of Reporting Person (See Instructions)
CO
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Page 2 of 6
CUSIP No. 030411 10 2
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1 Names of Reporting Persons
I.R.S. Identification Nos. of Above Persons (entities only)
THAMES WATER AQUA HOLDINGS GMBH
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Check the Appropriate Box if a Member of a Group
(See Instructions) (a) [ ]
2 (b) [ ]
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3 SEC Use Only
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4 Source of Funds (See Instructions)
WC, 00
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5 Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [ ]
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Citizenship or Place of Organization
6 Federal Republic of Germany
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Sole Voting Power
Number of 7 0
Shares -------------------------------------------------
Beneficially Shared Voting Power
Owned by Each 8 25,989,476
Reporting -------------------------------------------------
Person With Sole Dispositive Power
9 0
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10 Shared Dispositive Power
24,647,414
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11 Aggregate Amount Beneficially Owned by Each Reporting Person
25,989,476
--------------------------------------------------------------------------------
12 Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions) [ ]
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Percent of Class Represented by Amount in Row (11)
13 26.0%
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14 Type of Reporting Person (See Instructions)
CO
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Page 3 of 6
This Amendment No. 1 amends the statement on Schedule 13D (the
"Schedule 13D") filed by RWE Aktiengesellschaft, a corporation organized under
the laws of the Federal Republic of Germany ("RWE"), and Thames Water Aqua
Holdings GmbH, a limited liability company organized under the laws of the
Federal Republic of Germany ("Parent"), on September 25, 2001. Terms used but
not defined herein will have the meanings given to them in the Schedule 13D,
unless otherwise specified.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
Item 5 (a) and (b) are hereby amended by replacing the first paragraph
in its entirety with the following language:
"As of November 6, 2001, the shares subject to the Voting Agreement
consisted of 25,989,476 shares of Common Stock, representing approximately 26.0%
of the issued and outstanding shares of Common Stock as of September 10, 2001,
as represented by AWW in the Merger Agreement."
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Item 6 is hereby amended by adding the following paragraph after the
existing paragraph:
"Parent and the stockholders of AWW that are parties thereto (the
"Additional Stockholders") entered into a Joinder Agreement dated as of November
6, 2001 (the "Joinder Agreement," the terms of which are hereby incorporated by
reference). Pursuant to the terms of the Joinder Agreement, the Additional
Stockholders have agreed to be bound by all the provisions of the Voting
Agreement as Stockholders thereunder."
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Item 7 is hereby amended to add the following exhibit:
Exhibit 3: Joinder Agreement dated as of November 6, 2001,
among Parent, the Willard M. Ware Q-Tip Trust and
the Willard M. Ware Residual Trust.
Page 4 of 6
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.
Dated: November 13, 2001
RWE AKTIENGESELLSCHAFT
By: /s/ Dr. Georg Muller
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Name: Dr. Georg Muller
Title: General Counsel
By: /s/ Dr. Heinz-Jurgen Telkamp
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Name: Dr. Heinz-Jurgen Telkamp
Title: Vice President Accounting
THAMES WATER AQUA HOLDINGS GMBH
By: /s/ Dr. Richard R. Klein
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Name: Dr. Richard R. Klein
Title: Managing Director
By: /s/ Dr. Klaus Sturany
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Name: Dr. Klaus Sturany
Title: Managing Director
Page 5 of 6
EXHIBIT INDEX
Exhibit No. Document
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Exhibit 3 Joinder Agreement dated as of November 6, 2001, among Parent,
the Willard M. Ware Q-Tip Trust and the Willard M. Ware Residual
Trust.