-----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, C9Q0Db432n/lTGy6tMRTO7EKG2pk+NNFKl3t1of0LWJtAFdN1mLtErxiqHhS3aa2 K16tooVJEthsSapxxlMqjA== 0000912057-00-021340.txt : 20000504 0000912057-00-021340.hdr.sgml : 20000504 ACCESSION NUMBER: 0000912057-00-021340 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20000503 GROUP MEMBERS: ENVIRONMENTAL & INFOR TECH PRIVATE EQUITY FUND III LP GROUP MEMBERS: HAMILTON CHARLES A GROUP MEMBERS: INFRASTRUCTURE AND ENVIRONMENTAL PRIV EQU FD III LP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MODTECH HOLDINGS INC CENTRAL INDEX KEY: 0001075066 STANDARD INDUSTRIAL CLASSIFICATION: PREFABRICATED WOOD BLDGS & COMPONENTS [2452] IRS NUMBER: 330825386 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-58945 FILM NUMBER: 617701 BUSINESS ADDRESS: STREET 1: 2830 BARRETT AVE STREET 2: PO BOX 1240 CITY: PERRIS STATE: CA ZIP: 92571 BUSINESS PHONE: 9099434014 MAIL ADDRESS: STREET 1: 4675 MACARTHUR CT., STREET 2: SUITE 710 CITY: NEWPORT STATE: CA ZIP: 92660 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HAMILTON CHARLES A CENTRAL INDEX KEY: 0001111861 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 233 S WACKER DRIVE STREET 2: SUITE 9500 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3122581400 MAIL ADDRESS: STREET 1: 233 S WACKER DRIVE STREET 2: SUITE 9500 CITY: CHICAGO STATE: IL ZIP: 60606 SC 13G 1 SCHEDULE 13G OMB APPROVAL OMB Number:3235-0145 Expires: November 30, 1999 Estimated average burden hours per response ... 14.9 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* ------ Modtech Holdings, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.01 - -------------------------------------------------------------------------------- (Title of Class of Securities) 60783C100 ---------------------------------- (CUSIP Number) February 16, 1999 - -------------------------------------------------------------------------------- (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). CUSIP No. 60783C100 --------- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. Charles A. Hamilton I.R.S. Identification Nos. of above persons (entities only). - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) /x/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 34,500* Beneficially Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power 0 Person With: -------------------------------------------------- (7) Sole Dispositive Power 34,500* -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 34,500* - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 0.3% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) IN - ------------------------------------------------------------------------------- CUSIP No. 60783C100 --------- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Infrastructure and Environmental Private Equity Fund III, L.P. 36-4125294 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) /x/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization Delaware - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 1,401,067* Beneficially Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power 0 Person With: -------------------------------------------------- (7) Sole Dispositive Power 1,401,067* -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,401,067* - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 10.6% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) PN - ------------------------------------------------------------------------------- CUSIP No. 60783C100 --------- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Environmental & Information Technology Private Equity Fund III - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) /x/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization Federal Republic of Germany - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 350,268* Beneficially Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power 0 Person With: -------------------------------------------------- (7) Sole Dispositive Power 350,268* -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 350,268* - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 2.6% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) OO - ------------------------------------------------------------------------------- ITEM 1. (a) Name of Issuer Modtech Holdings, Inc. --------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices 2830 Barrett Avenue Perris, CA 92571 --------------------------------------------------------------------- ITEM 2. (a) Name of Person Filing Charles A. Hamilton ("Hamilton"), Infrastructure and Environmental Private Equity Fund III, L.P. ("IEPEF III") and Environmental & Information Technology Private Equity Fund III ("EITPEF"). --------------------------------------------------------------------- (b) Address of Principal Business Office or, if none, Residence Hamilton maintains his principal place of business at 6065 Shelter Bay Avenue, Mill Valley, California 94941. IEPEF III and EITPEF maintain their principal place of business at 233 South Wacker Drive, Suite 9500, Chicago, Illinois 60606. --------------------------------------------------------------------- (c) Citizenship Hamilton is a citizen of the United States. IEPEF III is a Delaware limited partnership. EITPEF is a civil partnership with limitation of liability established under the laws of the Federal Republic of Germany. --------------------------------------------------------------------- (d) Title of Class of Securities Common Stock, par value $.01 --------------------------------------------------------------------- (e) CUSIP Number 60783C100 --------------------------------------------------------------------- ITEM 3. Not applicable. ITEM 4. Ownership (a) Amount beneficially owned Hamilton is the record owner of 34,500 shares (which number includes 5,000 common stock options at an exercise price of $9.25 per share, and 10,000 common stock options at an exercise price of $6.00 per share). IEPEF III is the record owner of 1,401,067 shares. EITPEF is the record owner of 350,268 shares. (b) Percent of Class Hamilton is the record owner of 0.3%, based upon 13,258,890 shares outstanding. IEPEF III is the beneficial owner of 10.6%, based upon 13,243,890 shares outstanding. EITPEF is the beneficial owner of 2.6%, based upon 13,243,890 shares outstanding. The shares used to calculate these percentages were reported outstanding on Issuer's 11/12/99 Form 10-Q EDGAR filing. (c) Number of shares as to which the person has (i) Sole power to vote or direct the vote Hamilton 34,500 shares IEPEF III 1,401,067 shares EITPEF 350,268 shares (ii) Shared power to vote or direct the vote N/A (iii) Sole power to dispose or to direct the disposition of Hamilton 34,500 shares IEPEF III 1,401,067 shares EITPEF 350,268 shares (iv) Shared power to dispose or to direct the disposition of N/A ITEM 5. Not applicable. ITEM 6. Not applicable. ITEM 7. Not applicable. ITEM 8. See Exhibit 99.1. ITEM 9. Not applicable. ITEM 10. Not applicable. 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: April 20, 2000 /s/ Charles A. Hamilton ----------------------------------------------- CHARLES A. HAMILTON INFRASTRUCTURE AND ENVIRONMENTAL PRIVATE EQUITY FUND III, L.P., a Delaware Limited Partnership By: Infrastructure and Environmental Private Equity Management III, LLC, its general partner By: First Analysis IEPEF Management Company III, LLC, its managing member By: /s/ Bret R. Maxwell ------------------------------------------------ Bret R. Maxwell, Managing Member ENVIRONMENTAL & INFORMATION TECHNOLOGY PRIVATE EQUITY FUND III, Gesellschaft burgarlichen Rechts (mit Haftungsbeschankung), a civil partnership with limitation of liability established under the laws of the Federal Republic of Germany By: Infrastructure and Environmental Private Equity Management III, L.L.C., its Investment Manager By: First Analysis IEPEF Management Company III, LLC, its Managing Member By: /s/ Bret R. Maxwell ------------------------------------------------ Bret R. Maxwell, Managing Member EX-99.1 2 EXHIBIT 99.1 Exhibit 99.1 EXHIBIT 99.1 TO SCHEDULE 13G IDENTIFICATION OF GENERAL PARTNER The general partner of Infrastructure and Environmental Private Equity Fund III, L.P. ("IEPEF III"), and the investment manager of Environmental & Information Technology Private Equity Fund III ("EITPEF"), is Infrastructure and Environmental Private Equity Management III, LLC ("IEPEM"), whose ultimate members are First Analysis Corporation ("FAC"), Bret R. Maxwell ("Maxwell"), Mark Koulogeorge ("Koulogeorge"), Argentum Management, LLC ("AM"), Argentum Investments, LLC ("AI"), Schneur Z. Genack, Inc. ("SZG"), and RS Investment Management ("RSIM"). Only FAC, Koulogeorge and Maxwell take executive action on behalf of IEPEM with respect to its functioning as general partner of IEPEF III and investment manager of EITPEF. F. Oliver Nicklin ("Nicklin"), President and Director of FAC, and Maxwell, Vice Chairman of FAC, take executive actions on behalf of FAC with respect to FAC's functioning as an ultimate general partner of IEPEF III and EITPEF. Each of Nicklin and Maxwell maintain his principal office at 233 South Wacker Drive, Suite 9500, Chicago, Illinois 60606 ("Suite 9500"). Each of the above is principally employed as an executive of FAC. FAC's principal business is participation in venture capital partnerships and the provision of research investment services. Its principal business address is Suite 9500. Each of AM and AI maintains its business address c/o The Argentum Group ("TAG"), 405 Lexington Avenue, 54th Floor, New York, New York 10174 (the "TAG Address"). SZG maintains its business address at 18 East 48th Street, Suite 1800, New York, New York 10017 (the "SZG Address"). The persons who take actions on behalf of AM, AI and SZG with respect to their functioning as members of IEPEM are Schneur Genack ("Genack"), Daniel Raynor ("Raynor") and Walter H. Barandiaran ("Barandiaran"). Each of Raynor and Barandiaran is principally employed as an executive of TAG and maintains his business address at the TAG Address. TAG's principal business is merchant banking. Genack is principally employed as a private investor and maintains his business address at the SZG Address. The person who takes actions on behalf of RSIM with respect to its functioning as a member of IEPEM is Hamilton, who is principally employed as an executive of FAC. Hamilton does not take executive action on behalf of FAC with respect to its functioning as an ultimate general partner of IEPEF III and EITPEF. Hamilton maintains his principal business address at 6065 Shelter Bay Avenue, Mill Valley, California 94941. RSIM's principal business is investment banking. To the best of FAC's knowledge, each of the natural persons listed above is a citizen of the United States, except for Barandiaran, who is a citizen of Peru. EX-99.2 3 EXHIBIT 99.2 Exhibit 99.2 EXHIBIT 99.2 TO SCHEDULE 13G 17 C.F.R. 240.13d-1(k)(1)(iii) Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required on Schedule 13G need be filed with respect to ownership by each of the undersigned of shares of Common Stock of Modtech Holdings, Inc. This Agreement may be executed in any number of counterparts, each of which shall be deemed an original. Dated: April 20, 2000 /s/ Charles A. Hamilton ----------------------------------------------- CHARLES A. HAMILTON INFRASTRUCTURE AND ENVIRONMENTAL PRIVATE EQUITY FUND III, L.P., a Delaware Limited Partnership By: Infrastructure and Environmental Private Equity Management III, LLC, its general partner By: First Analysis IEPEF Management Company III, LLC, its managing member By: /s/ Bret R. Maxwell ------------------------------------------------ Bret R. Maxwell, Managing Member ENVIRONMENTAL & INFORMATION TECHNOLOGY PRIVATE EQUITY FUND III, Gesellschaft burgarlichen Rechts (mit Haftungsbeschankung), a civil partnership with limitation of liability established under the laws of the Federal Republic of Germany By: Infrastructure and Environmental Private Equity Management III, L.L.C., its Investment Manager By: First Analysis IEPEF Management Company III, LLC, its Managing Member By: /s/ Bret R. Maxwell ------------------------------------------------ Bret R. Maxwell, Managing Member -----END PRIVACY-ENHANCED MESSAGE-----