-----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, R1qbE4EU1nzKa38oTugLg5laOrivD/AE1u2LLw6jP+K0KABEMBE8IK2m87ptbcqm gujqIJRb5b4BVZFDHDsblA== 0000930413-04-000444.txt : 20040217 0000930413-04-000444.hdr.sgml : 20040216 20040217124921 ACCESSION NUMBER: 0000930413-04-000444 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040217 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARRIZO OIL & GAS INC CENTRAL INDEX KEY: 0001040593 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 760415919 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-51465 FILM NUMBER: 04606187 BUSINESS ADDRESS: STREET 1: 14701 ST MARYS LANE STREET 2: STE 800 CITY: HOUSTON STATE: TX ZIP: 77079 BUSINESS PHONE: 2814961352 MAIL ADDRESS: STREET 1: 14701 ST MARYS LANE STREET 2: SUITE 800 CITY: HOUSTON STATE: TX ZIP: 77079 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JP MORGAN PARTNERS 23A SBIC LP CENTRAL INDEX KEY: 0001106535 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2128993400 MAIL ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: CB CAPITAL INVESTORS LLC DATE OF NAME CHANGE: 20000211 SC 13G/A 1 c30794_sc13g-a.txt ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....... 11 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 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(b) (AMENDMENT NO. 4)* Carrizo Oil & Gas, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 144577103 - -------------------------------------------------------------------------------- (CUSIP Number) February 11, 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: [_] 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). Page 1 of 12 pages SCHEDULE 13G ISSUER: Carrizo Oil & Gas, Inc. CUSIP NO.: 144577103 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). J.P. Morgan Partners (23A SBIC), L.P. (f/k/a J.P. Morgan Partners (23A SBIC), LLC) 13-3986302 - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- Number of Shares 5. Sole Voting Power 3,999,766 (includes Warrant Beneficially Owned to purchase 2,208,152 and by Each Reporting Options to purchase 26,666) --------------------------------------------------------- 6. Shared Voting Power 0 shares of Common Stock --------------------------------------------------------- 7. Sole Dispositive 3,999,766 (includes Warrant to Power purchase 2,208,152 and Options to purchase 26,666) --------------------------------------------------------- 8. Shared Dispositive Power 0 shares of Common Stock - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by 3,999,766 (includes Warrant to Each Reporting Person purchase 2,208,152 and Options to purchase 26,666) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 19.7% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Page 2 of 12 SCHEDULE 13G ISSUER: Carrizo Oil & Gas, Inc. CUSIP NO.: 144577103 - -------------------------------------------------------------------------------- PRELIMINARY NOTE: The information contained in this Schedule 13G has been filed to reflect: (i) the sale by the Reporting Person of 1,144,144 shares of Common Stock; (ii) the change of name of the Reporting Person; (iii) a change in the controlling persons of the Reporting Person, and (iv) the issuance or vesting of Options to purchase 7,500 shares of the Issuer's Common Stock. ITEM 1. (A) NAME OF ISSUER: Carrizo Oil & Gas, Inc.. ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 14811 St. Mary's Lane, Suite 148, Houston, TX 77079. ITEM 2. (A) NAME OF PERSON FILING: J.P. Morgan Partners (23A SBIC), L.P. Supplemental information relating to the ownership and control of the person filing this statement is included in Exhibit 2(a) attached hereto. (B) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 1221 Avenue of the Americas New York, New York 10020 (C) CITIZENSHIP: Delaware (D) TITLE OF CLASS OF SECURITIES (OF ISSUER): Common Stock (E) CUSIP NUMBER: 144577103 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.SS. 240. 13d-1(b) OR 240. 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Not applicable. ITEM 4. OWNERSHIP Page 3 of 12 SCHEDULE 13G ISSUER: Carrizo Oil & Gas, Inc. CUSIP NO.: 144577103 - -------------------------------------------------------------------------------- (A) AMOUNT BENEFICIALLY OWNED: 3,999,766 (includes Warrant to purchase 2,208,152 and Options to purchase 26,666) (B) PERCENT OF CLASS: 19.7% (C) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) 3,999,766 (includes Warrant to purchase 2,208,152 and Options to purchase 26,666) (ii) Not applicable (iii) 3,999,766 (includes Warrant to purchase 2,208,152 and Options to purchase 26,666) (iv) Not applicable ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not applicable. 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 Not applicable. Page 4 of 12 pages SCHEDULE 13G ISSUER: Carrizo Oil & Gas, Inc. CUSIP NO.: 144577103 - -------------------------------------------------------------------------------- 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: February 12, 2004 J.P. MORGAN PARTNERS (23A SBIC), L.P. By: J.P. Morgan Partners (23A SBIC Manager)., Inc., Its General Partner By: /s/ Jeffrey C. Walker ------------------------------------------ Name: Jeffrey C. Walker Title: President Page 5 of 12 SCHEDULE 13G ISSUER: Carrizo Oil & Gas, Inc. CUSIP NO.: 144577103 - -------------------------------------------------------------------------------- EXHIBIT 2(a) This statement is being filed by J.P. Morgan Partners (23A SBIC), L.P., a Delaware limited partnership (hereinafter referred to as "JPMP (23A SBIC)") whose principal business is located at 1221 Avenue of the Americas, New York, NY 10020. JPMP (23A SBIC) is engaged in the venture capital and leveraged buyout business. The General Partner of JPMP (23A SBIC) is J.P. Morgan Partners (23A SBIC Manager), Inc., a Delaware corporation (hereinafter referred to as "JPMP (23A Manager)"), whose principal business office is located at the same address as JPMP (23A SBIC). JPMP (23A Manager) is also engaged in the venture capital and leveraged buyout business. Set forth in Schedule A hereto and incorporated herein by reference are the names, business addresses, principal occupations and employment of each executive officer and director of JPMP (23A Manager). JPMP (23A Manager) is a wholly owned subsidiary of JPMorgan Chase Bank, a New York corporation, (hereinafter referred to as "Chase Bank") which is engaged in the commercial banking business with its principal office located at 270 Park Avenue, New York, New York 10017. Set forth in Schedule B hereto and incorporated herein by reference are the names, business addresses, principal occupations and employments of each executive officer and director of Chase Bank. Chase Bank is a wholly owned subsidiary of J.P. Morgan Chase & Co., a Delaware corporation (hereinafter referred to as "JP Morgan Chase") which is engaged (primarily through subsidiaries) in the commercial banking business with its principal office located at 270 Park Avenue, New York, New York 10017. Set forth in Schedule C hereto and incorporated herein by reference are the names, business addresses, principal occupations and employments of each executive officer and director of JP Morgan Chase. Page 6 of 12 pages SCHEDULE 13G ISSUER: Carrizo Oil & Gas, Inc. CUSIP NO.: 144577103 - -------------------------------------------------------------------------------- SCHEDULE A J.P. MORGAN PARTNERS (SBIC 23A MANAGER), INC. EXECUTIVE OFFICERS(1) President Jeffrey C. Walker* Chief Investment Officer Arnold L. Chavkin* Managing Director Dr. Dana Beth Ardi* Managing Director Christopher C. Behrens* Managing Director Julie Casella-Esposito* Managing Director Rodney A. Ferguson* Managing Director Cornell P. French* Managing Director Michael R. Hannon* Managing Director Alfredo Irigoin* Managing Director Andrew Kahn* Managing Director Jonathan R. Lynch* Managing Director Stephen P. Murray* Managing Director Timothy Purcell* Managing Director Faith Rosenfeld* Managing Director Shahan D. Soghikian* Managing Director Timothy J. Walsh* Managing Director Richard D. Waters, Jr.* Managing Director Damion E. Wicker, M.D.* DIRECTORS(1) Jeffrey C. Walker* - ------------------------ (1) Each of whom is a United States citizen except for Mr. Irigoin. * Principal occupation is employee and /or officer of J.P. Morgan, LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the Americas, New York, New York 10020 Page 7 of 12 SCHEDULE 13G ISSUER: Carrizo Oil & Gas, Inc. CUSIP NO.: 144577103 - -------------------------------------------------------------------------------- SCHEDULE B JPMORGAN CHASE BANK EXECUTIVE OFFICERS(1) Chairman of the Board and Chief Executive Officer William B. Harrison Jr.* Vice Chairman David A. Coulter* Vice Chairman Thomas B. Ketchum* Vice Chairman; Co-Chief Executive Officer, Investment Bank Donald H. Layton* Vice Chairman; Head of Finance, Risk Management and Administration Marc J. Shapiro* Vice Chairman Jeffrey C. Walker** Executive Officer Donald H. McCree III Chief Financial Officer Dina Dublon* General Counsel William H. McDavid* Director of Human Resources John J. Farrell* Director of Corporate Marketing and Communications Frederick W. Hill* Executive Vice President; Head of Market Risk Management Lesley Daniels Webster* Controller Joseph L. Scalfani*
(1) Each of whom is a United States citizen. * Principal occupation is employee or officer of J.P. Morgan Chase & Co. Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York, New York 10017. ** Principal occupation is employee and/or officer of J.P. Morgan Partners, LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the Americas, New York New York 10020. Page 8 of 12 pages SCHEDULE 13G ISSUER: Carrizo Oil & Gas, Inc. CUSIP NO.: 144577103 - -------------------------------------------------------------------------------- DIRECTORS(1) NAME PRINCIPAL OCCUPATION OR EMPLOYMENT; BUSINESS OR RESIDENCE ADDRESS - -------------------------------------------------------------------------------- Hans W. Becherer Retired Chairman of the Board and Chief Executive Officer Deere & Company One John Deere Place Moline, IL 61265 - -------------------------------------------------------------------------------- Frank A. Bennack, Jr. President and Chief Executive Officer The Hearst Corporation 959 Eighth Avenue New York, New York 10019 - -------------------------------------------------------------------------------- Lawrence A. Bossidy Chairman of the Board Honeywell International P.O. Box 3000 Morristown, NJ 07962-2245 - -------------------------------------------------------------------------------- Ellen V. Futter President and Trustee American Museum of Natural History Central Park West at 79th Street New York, NY 10024 - -------------------------------------------------------------------------------- William H. Gray, III President and Chief Executive Officer The College Fund/UNCF 9860 Willow Oaks Corporate Drive P.O. Box 10444 Fairfax, Virginia 22031 - -------------------------------------------------------------------------------- William B. Harrison, Jr. Chairman of the Board and Chief Executive Officer J.P. Morgan Chase & Co. 270 Park Avenue, 8th Floor New York, New York 10017-2070 - -------------------------------------------------------------------------------- Helene L. Kaplan Of Counsel Skadden, Arps, Slate, Meagher & Flom LLP Four Times Square New York, New York 10036 - -------------------------------------------------------------------------------- - --------------------- (1) Each of whom is a United States citizen. Page 9 of 12 pages SCHEDULE 13G ISSUER: Carrizo Oil & Gas, Inc. CUSIP NO.: 144577103 - -------------------------------------------------------------------------------- SCHEDULE C J.P. MORGAN CHASE & CO. EXECUTIVE OFFICERS(1) Chairman of the Board and Chief Executive Officer William B. Harrison Jr.* Vice Chairman David A. Coulter* Vice Chairman Thomas B. Ketchum* Vice Chairman Donald H. Layton* Vice Chairman Jeffrey C. Walker** Vice Chairman; Head of Finance, Risk Management and Administration Marc J. Shapiro* Executive Officer Donald H. McCree III Executive Vice President; Chief Financial Officer Dina Dublon* Executive Vice President; Head of Market Risk Management Lesley Daniels Webster* General Counsel William H. McDavid* Director of Human Resources John J. Farrell* Director of Corporate Marketing and Communications Frederick W. Hill* Controller Joseph L. Scalfani*
- ----------------------- (1) Each of whom is a United States citizen. * Principal occupation is employee or officer of J.P. Morgan Chase & Co. Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York, New York 10017. ** Principal occupation is employee and/or officer of J.P. Morgan Partners, LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the Americas, New York New York 10020. Page 10 of 12 pages SCHEDULE 13G ISSUER: Carrizo Oil & Gas, Inc. CUSIP NO.: 144577103 - -------------------------------------------------------------------------------- DIRECTORS(1) NAME PRINCIPAL OCCUPATION OR EMPLOYMENT; BUSINESS OR RESIDENCE ADDRESS - ------------------------------------------------------------------------------- Hans W. Becherer Retired Chairman of the Board and Chief Executive Officer Deere & Company One John Deere Place Moline, IL 61265 - -------------------------------------------------------------------------------- Riley P. Bechtel Chairman and Chief Executive Officer Bechtel Group, Inc. P.O. Box 193965 San Francisco, CA 94119-3965 - -------------------------------------------------------------------------------- Frank A. Bennack, Jr. President and Chief Executive Officer The Hearst Corporation 959 Eighth Avenue New York, New York 10019 - -------------------------------------------------------------------------------- John H. Biggs Former Chairman and CEO TIAA - CREF 730 Third Avenue 25th Floor New York, NY 10017 - -------------------------------------------------------------------------------- Lawrence A. Bossidy Chairman of the Board Honeywell International P.O. Box 3000 Morristown, NJ 07962-2245 - -------------------------------------------------------------------------------- M. Anthony Burns Chairman of the Board Ryder System, Inc. 3600 N.W. 82nd Avenue Miami, Florida 33166 - -------------------------------------------------------------------------------- Ellen V. Futter President and Trustee American Museum of Natural History Central Park West at 79th Street New York, NY 10024 - -------------------------------------------------------------------------------- William H. Gray, III President and Chief Executive Officer The College Fund/UNCF 9860 Willow Oaks Corporate Drive P.O. Box 10444 Fairfax, Virginia 22031 - -------------------------------------------------------------------------------- Page 11 of 12 pages SCHEDULE 13G ISSUER: Carrizo Oil & Gas, Inc. CUSIP NO.: 144577103 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- William B. Harrison, Jr. Chairman of the Board and Chief Executive Officer J.P. Morgan Chase & Co. 270 Park Avenue, 8th Floor New York, New York 10017-2070 - -------------------------------------------------------------------------------- Helene L. Kaplan Of Counsel Skadden, Arps, Slate, Meagher & Flom LLP Four Times Square New York, New York 10036 - -------------------------------------------------------------------------------- Lee R. Raymond Chairman of the Board and Chief Executive Officer Exxon Mobil Corporation 5959 Las Colinas Boulevard Irving, TX 75039-2298 - -------------------------------------------------------------------------------- John R. Stafford Chairman of the Board American Home Products Corporation 5 Giralda Farms Madison, New Jersey 07940 - -------------------------------------------------------------------------------- - ------------------------- (1) Each of whom is a United States citizen. Page 12 of 12 pages -----END PRIVACY-ENHANCED MESSAGE-----