-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Jil08nM502rXYXVdZzlFp7/nlg8uYGwOvX/cxAyhwgSb4SPvIOJCvgS+Szlsmake q/0WWAC5qgF1yUa42HBNbQ== 0001116679-04-001120.txt : 20040503 0001116679-04-001120.hdr.sgml : 20040503 20040503165416 ACCESSION NUMBER: 0001116679-04-001120 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040503 GROUP MEMBERS: JOHN A. REARDON GROUP MEMBERS: LA CANADA CAPITAL PARTNERS, L.P. GROUP MEMBERS: LA CANADA INVESTMENT MANAGEMENT, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ICG COMMUNICATIONS INC /DE/ CENTRAL INDEX KEY: 0001013240 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 841342022 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-47577 FILM NUMBER: 04774138 BUSINESS ADDRESS: STREET 1: 161 INVERNESS DRIVE WEST STREET 2: PO BOX 6742 CITY: ENGLEWOOD STATE: CO ZIP: 80112 BUSINESS PHONE: 3034145643 MAIL ADDRESS: STREET 1: 161 INVERNESS DRIVE WEST STREET 2: P O OX 6742 CITY: ENGLEWOOD STATE: CO ZIP: 80112 FORMER COMPANY: FORMER CONFORMED NAME: ICG HOLDINGS CANADA CO DATE OF NAME CHANGE: 19990226 FORMER COMPANY: FORMER CONFORMED NAME: ICG COMMUNICATIONS INC DATE OF NAME CHANGE: 19960430 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LA CANADA CAPITAL PARTNERS LP CENTRAL INDEX KEY: 0001288053 FILING VALUES: FORM TYPE: SC 13G SC 13G 1 can13g.txt -------------------------------------- OMB APPROVAL ------------ OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response 14.90 -------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ICG Communications, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $0.01 par value - -------------------------------------------------------------------------------- (Title of Class Securities) 449246206 ------------------------------------ (CUSIP Number) April 20, 2004 ------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |X| Rule 13d-1(b) |_| Rule 13d-1(c) |_| 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 disclosure 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). Page 2 of 10 Pages .......................................... CUSIP No. 449246206 .......................................... - --------- ---------------------------------------------------------------------- NAME OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). La Canada Investment Management, LLC - --------- ---------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (A) |_| (B) |_| - --------- ---------------------------------------------------------------------- SEC USE ONLY 3 - --------- ---------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------ ------------------------------------------------------- 5 SOLE VOTING POWER 0 ------ ------------------------------------------------ NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,142,000 OWNED BY ------ ------------------------------------------------ EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------ ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,142,000 - ------------------------ ------ ------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,142,000 - --------- ---------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 14.28% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO, IA - --------- ---------------------------------------------------------------------- Page 3 of 10 Pages .......................................... CUSIP No. 449246206 .......................................... - --------- ---------------------------------------------------------------------- NAME OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). La Canada Capital Partners, L.P. - --------- ---------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (A) |_| (B) |_| - --------- ---------------------------------------------------------------------- SEC USE ONLY 3 - --------- ---------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 California - ------------------------ ------------------------------------------------------- 5 SOLE VOTING POWER 0 ------ ------------------------------------------------ NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,103,000 OWNED BY ------ ------------------------------------------------ EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------ ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,103,000 - ------------------------ ------ ------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,103,000 - --------- ---------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 13.79% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - --------- ---------------------------------------------------------------------- Page 4 of 10 Pages .......................................... CUSIP No. 449246206 .......................................... - --------- ---------------------------------------------------------------------- NAME OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). John A. Reardon - --------- ---------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (A) |_| (B) |_| - --------- ---------------------------------------------------------------------- SEC USE ONLY 3 - --------- ---------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------ ------------------------------------------------------- 5 SOLE VOTING POWER 0 ------ ------------------------------------------------ NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,142,000 OWNED BY ------ ------------------------------------------------ EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------ ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,142,000 - ------------------------ ------ ------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,142,000 - --------- ---------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 14.28% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN, HC - --------- ---------------------------------------------------------------------- Page 5 of 10 pages Item 1. (a) Name of Issuer ICG Communications, Inc. (b) Address of Issuer's Principal Executive Office 161 Inverness Drive West Englewood, Colorado 80112 Item 2. (a) Name of Person Filing This statement is being filed by (i) La Canada Investment Management, LLC, a Delaware limited liability company and registered investment adviser ("IA"), (ii) John A Reardon ("Managing Member"), and (iii) La Canada Capital Partners, L.P. Managing Member controls IA by virtue of Managing Member's position as managing member and majority owner of IA. IA's beneficial ownership of the Common Stock is direct as a result of IA's discretionary authority to buy, sell, and vote shares of such Common Stock for its investment advisory clients. Managing Member's beneficial ownership of Common Stock is indirect as a result of Managing Member's ownership and management of IA. The beneficial ownership of Managing Member is reported solely because Rules 13d-1(a) and (b) under the Securities Exchange Act of 1934, as amended, require any person who is "directly or indirectly" the beneficial owner of more than five percent of any equity security of a specified class to file a Schedule 13G. The answers in blocks 6, 8, 9 and 11 above and the response to item 4 by Managing Member are given on the basis of the "indirect" beneficial ownership referred to in such Rule, based on the direct beneficial ownership of Common Stock by IA and the relationship of Managing Member to IA referred to above. Information with respect to each Reporting Person is given solely by the respective Reporting Person, and no Reporting Person undertakes hereby any responsibility for the accuracy or completeness or such information concerning any other Reporting Person. (b) Address of Principal Business Office or, if none, Residence IA's principal business office is located at: 4545 Dale Ridge Road, La Canada, CA 91011 Managing Member's principal business office is located at: 4545 Dale Ridge Road, La Canada, CA 91011 La Canada Capital Partners, L.P.'s principal business office is located at: 4545 Dale Ridge Road, La Canada, CA 91011 (c) Citizenship Item 4 of each cover page is incorporated by reference (d) Title of Class of Securities Common (e) CUSIP Number 449246206 Item 3 If this statement is filed pursuant to Sections 240.13d(b) or 240.13d-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) |X| An investment adviser in accordance with Section 240.13D-1(b)(1)(ii)(E); (f) |_| An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) |_| A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G); (h) |_| A savings associations 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)(114) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) |_| Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). Item 4. Ownership Common Stock: (a) Amount Beneficially Owned: 1,142,000 --------- (b) Percent of Class: 14.28% ------ (c) Number of shares as to which the joint filers have: (i) sole power to vote or to direct the vote: 1,142,000 --------- (ii) shared power to vote of to direct the vote: 0 - (iii) sole power to dispose or to direct the disposition of: 1,142,000 --------- (iv) shared power to dispose of or to direct the disposition of: 0 -
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 IA, a registered investment adviser, and Managing Member, the majority owner and managing member of IA, have the right or the power to direct the receipt of dividends from Common Stock, and to direct the receipt of proceeds from the sale of Common Stock to IA's investment advisory clients. La Canada Capital Partners, L.P. owns more than 5% of the Common Stock 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. Certification (a) The following certification shall be included if the statement is filed pursuant to 240.13d-l (b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. Date: May 3, 2004 SIGNATURE LA CANADA INVESTMENT MANAGEMENT, LLC /s/ John A. Reardon ------------------------------------ John A. Reardon, Managing Member JOHN A. REARDON /s/ John A. Reardon ------------------------------------ John A. Reardon LA CANADA CAPITAL PARTNERS, L.P. /s/ John A. Reardon ------------------------------------ John A. Reardon, Managing Member EXHIBIT A --------- Identification and Classification of Members of the Group --------------------------------------------------------- Pursuant to Rule 13d-1(b)(ii)(J) and Rule 13d-1(k)(1) under the Securities and Exchange Act of 1934, the members of the group making this joint filing are identified and classified as follows: Name Classification ---- -------------- Not applicable. Not applicable. Page 10 of 10 EXHIBIT B --------- Joint Filing Agreement Pursuant to Rule 13d-1 --------------------------------------------- This agreement is made pursuant to Rule 13d-1(b)(ii)(J) and Rule 13d-1(k)(1) under the Securities and Exchange Act of 1934 (the "Act") by and among the parties listed below, each referred to herein as a "Joint Filer." The Joint Filers agree that a statement of beneficial ownership as required by Sections 13(g) or 13(d) of the Act and the Rules thereunder may be filed on each of their behalf on Schedule 13G or Schedule 13D, as appropriate, and that said joint filing may thereafter be amended by further joint filings. The Joint Filers state that they each satisfy the requirements for making a joint filing under Rule 13d-1. Dated: May 3, 2004 LA CANADA INVESTMENT MANAGEMENT, LLC /s/ John A. Reardon ------------------------------------ John A. Reardon, Managing Member JOHN A. REARDON /s/ John A. Reardon ------------------------------------ John A. Reardon LA CANADA CAPITAL PARTNERS, L.P. /s/ John A. Reardon ------------------------------------ John A. Reardon, Managing Member -----END PRIVACY-ENHANCED MESSAGE-----