-----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, O4bOTIIsnxFybNBz+MLe0aNgp1rHOms55KZfIWgfo70xBa6uWdUMESwDXqiZAzfA zwYGAxbQGUr9mYDeV6WX8g== 0000950103-10-000393.txt : 20100216 0000950103-10-000393.hdr.sgml : 20100215 20100216125833 ACCESSION NUMBER: 0000950103-10-000393 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 GROUP MEMBERS: METALMARK CAPITAL LLC GROUP MEMBERS: MORGAN STANLEY DEAN WITTER CAPITAL INVESTORS IV, L.P. GROUP MEMBERS: MORGAN STANLEY DEAN WITTER CAPITAL PARTNERS IV, LP GROUP MEMBERS: MSDW CAPITAL PARTNERS IV LLC GROUP MEMBERS: MSDW CAPITAL PARTNERS IV, INC. GROUP MEMBERS: MSDW IV 892 INVESTORS, L.P. FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AVENTINE RENEWABLE ENERGY HOLDINGS LLC CENTRAL INDEX KEY: 0001282580 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-761-8111 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AVENTINE RENEWABLE ENERGY HOLDINGS INC CENTRAL INDEX KEY: 0001285043 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL ORGANIC CHEMICALS [2860] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-82516 FILM NUMBER: 10605487 BUSINESS ADDRESS: STREET 1: 120 NORTH PARKWAY STREET 2: P.O. BOX 1800 CITY: PEKIN STATE: IL ZIP: 61555-1800 BUSINESS PHONE: 309-347-9200 MAIL ADDRESS: STREET 1: 120 NORTH PARKWAY STREET 2: P.O. BOX 1800 CITY: PEKIN STATE: IL ZIP: 61555-1800 SC 13G/A 1 dp16476_sc13ga3.htm SC 13G/A
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 
SCHEDULE 13G
 
Under the Securities Exchange Act of 1934

(Amendment No. 3)*


Aventine Renewable Energy Holdings, Inc.
(Name of Issuer)
 
Common Stock, par value $0.001 per share
(Title of Class of Securities)
 
05356X403
(CUSIP Number)
 
December 31, 2009
(Date of Event which Requires Filing of this Statement)
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
  o Rule 13d-1(b)
  o 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).
 
     Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
 
 
Page 1 of 12
 
 
 CUSIP No.  05356X403
 13G
 
 
1.
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
 
Aventine Renewable Energy Holdings LLC
  
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
 
o
x
3.
SEC USE ONLY
 
 
  
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
  
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
11,833,495
6.
SHARED VOTING POWER
 
0
7. 
SOLE DISPOSITIVE POWER
 
11,833,495
8.
SHARED DISPOSITIVE POWER
 
0
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
11,833,495
  
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
27.5%
  
12.
TYPE OF REPORTING PERSON
 
CO
  
 
 
Page 2 of 12
 
 
 
 
 
 CUSIP No.  05356X403
 13G
 
 
1.
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
 
Morgan Stanley Dean Witter Capital Partners IV, LP
  
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
 
o
x
3.
SEC USE ONLY
 
 
  
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
  
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
0
6.
SHARED VOTING POWER
 
9,837,908
7. 
SOLE DISPOSITIVE POWER
 
0
8.
SHARED DISPOSITIVE POWER
 
9,837,908
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
9,837,908
  
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
22.9%
  
12.
TYPE OF REPORTING PERSON
 
PN
  
 
 
Page 3 of 12
 
 
 
 
 
 CUSIP No.  05356X403
 13G
 
 
1.
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
 
MSDW IV 892 Investors, L.P.
  
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
 
o
x
3.
SEC USE ONLY
 
 
  
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
  
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
0
6.
SHARED VOTING POWER
 
839,340
7. 
SOLE DISPOSITIVE POWER
 
0
8.
SHARED DISPOSITIVE POWER
 
839,340
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
839,340
  
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
2.0%
  
12.
TYPE OF REPORTING PERSON
 
PN
  
 
 
Page 4 of 12
 
 
 
 
 
 CUSIP No.  05356X403
 13G
 
 
1.
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
 
Metalmark Capital LLC
  
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
 
o
o
3.
SEC USE ONLY
 
 
  
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
  
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
0
6.
SHARED VOTING POWER
 
10,691,928
7. 
SOLE DISPOSITIVE POWER
 
0
8.
SHARED DISPOSITIVE POWER
 
10,691,928
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
10,691,928
  
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
24.9%
  
12.
TYPE OF REPORTING PERSON
 
CO, IA
  
 
 
Page 5 of 12
 
 
 
 
 
 CUSIP No.  05356X403
 13G
 
 
1.
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
 
Morgan Stanley Dean Witter Capital Investors IV, L.P.
  
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
 
o
x
3.
SEC USE ONLY
 
 
  
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
  
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
0
6.
SHARED VOTING POWER
 
269,172
7. 
SOLE DISPOSITIVE POWER
 
0
8.
SHARED DISPOSITIVE POWER
 
269,172
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
269,172
  
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0.6%
  
12.
TYPE OF REPORTING PERSON
 
PN
  
 
 
Page 6 of 12
 
 
 
 
 
 CUSIP No.  05356X403
 13G
 
 
1.
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
 
MSDW Capital Partners IV LLC
  
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
 
o
o
3.
SEC USE ONLY
 
 
  
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
  
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
0
6.
SHARED VOTING POWER
 
269,172
7. 
SOLE DISPOSITIVE POWER
 
0
8.
SHARED DISPOSITIVE POWER
 
269,172
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
269,172
  
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0.6%
  
12.
TYPE OF REPORTING PERSON
 
CO, IA
  
 
 
Page 7 of 12
 
 
 
 
 
 
 CUSIP No.  05356X403
 13G
 
 
1.
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
 
MSDW Capital Partners IV, Inc.
  
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
 
o
o
3.
SEC USE ONLY
 
 
  
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
  
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
0
6.
SHARED VOTING POWER
 
269,172
7. 
SOLE DISPOSITIVE POWER
 
0
8.
SHARED DISPOSITIVE POWER
 
269,172
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
269,172
  
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0.6%
  
12.
TYPE OF REPORTING PERSON
 
CO, IA
  
 
 
Page 8 of 12
 
 
 
 
Item 1(a).  Name of Issuer:
 
Aventine Renewable Energy Holdings, Inc.
 
Item 1(b).  Address of Issuer’s Principal Executive Offices:
 
120 North Parkway, Pekin, Illinois 61555
 
Item 2(a).  Name of Person Filing:
 
See item 2(b) below.
 
Item 2(b).  Address of Principal Business Office or, if None, Residence:
 
(1)
Aventine Renewable Energy Holdings LLC (“AVR LLC”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
 
(2)
Morgan Stanley Dean Witter Capital Partners IV, LP (“MSDW IV”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
 
(3)
MSDW IV 892 Investors, LP (“MSDW 892”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
 
(4)
Metalmark Capital LLC (“Metalmark”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
 
(5)
Morgan Stanley Dean Witter Capital Investors IV, L.P. (“MSDW Capital Investors”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
 
(6)
MSDW Capital Partners IV LLC (“MSDW Capital Partners”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
 
(7)
MSDW Capital Partners IV, Inc. (“MSDW Inc.”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
 
Item 2(c).  Citizenship:
 
See item 4 on Cover Pages to this Schedule 13G
 
Item 2(d).  Title of Class of Securities:
 
Common Stock, par value $0.001 per share
 
 
Page 9 of 12
 
 
 
Item 2(e).  CUSIP Number:
 
05356X403
 
Item 3.    If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:
 
Not Applicable
 
 
(a)
o
Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
       
 
(b)
o
Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);
       
 
(c)
o
Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);
       
 
(d)
o
Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
       
 
(e)
o
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
       
 
(f)
o
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
       
 
(g)
o
A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
       
 
(h)
o
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
       
 
(i)
o
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
       
 
(j)
o
A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);
       
 
(k)
o
Group, in accordance with §240.13d-1(b)(1)(ii)(J).
 
Item 4.    Ownership.
 
(a)    Amount beneficially owned:
 
See item 9 on Cover Pages to this Schedule 13G
 
MSDW IV may be deemed to indirectly beneficially own 9,837,908 shares of the reported securities, and MSDW 892 may be deemed to indirectly beneficially own 839,340 shares of the reported securities, in each case by virtue of their direct ownership interest in AVR LLC.  Metalmark may be deemed to have beneficial ownership of the 10,691,928 shares of the reported securities, including both vested and unvested restricted shares and the 10,677,248 shares indirectly beneficially owned by MSDW IV and MSDW 892.
 
MSDW Capital Investors may be deemed to indirectly beneficially own 269,172 shares of the reported securities through its direct ownership interest in AVR LLC.  MSDW Capital Partners is the general partner of MSDW Capital Investors.  MSDW Inc. is the institutional managing member of MSDW Capital Partners. By virtue of these relationships, each of MSDW Capital Partners and MSDW Inc. may be deemed to have beneficial ownership of the 269,172 shares of the reported securities indirectly beneficially owned by MSDW Capital Investors.
 
MSDW IV, MSDW 892, MSDW Capital Investors, MSDW Capital Partners, MSDW Inc. and Metalmark each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein.
 
(b)    Percent of class:
 
 
 
Page 10 of 12
 
 
 
See item 11 on Cover Pages to this Schedule 13G.  Percent of class was determined using the number of shares outstanding as provided in the most recently filed Form 10-Q of Aventine Renewable Energy Holdings, Inc.
 
(c)    Number of shares as to which such person has:
 
(i)  Sole power to vote or to direct the vote:
 
 
See item 5 on Cover Pages to this Schedule 13G.
 
 
(ii)  Shared power to vote or to direct the vote:
 
 
See item 6 on Cover Pages to this Schedule 13G.
 
 
(iii)  Sole power to dispose or to direct the disposition of:
 
 
See item 7 on Cover Pages to this Schedule 13G.
 
 
(iv)  Shared power to dispose or to direct the disposition of:
 
 
See item 8 on Cover Pages to this Schedule 13G
 
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.
 
None
 
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.  Certifications.
 
Not  Applicable
 
 
Page 11 of 12
 
 
 
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.
 
February 16, 2010
  
(Date)
  
   
/s/ Kenneth F. Clifford  
By:  Kenneth F. Clifford, as authorized signatory of Aventine Renewable Energy Holdings LLC
  
   
/s/ Kenneth F. Clifford  
By:  Kenneth F. Clifford, as authorized signatory of Metalmark
  
   
/s/ Kenneth F. Clifford  
By:  Kenneth F. Clifford, Chief Financial Officer of Metalmark, as attorney-in-fact for, MSDW Capital Partners and MSDW Inc. and for the institutional managing member of the general partner of each of MSDW IV and MSDW 892
  
   
/s/ Agatha Ruddy  
By:  Agatha Ruddy, as Vice President of the managing member of the general partner of MSDW Capital Investors
  

 
 
Page 12 of 12
 
EX-99.1 2 dp16476_ex9901.htm EXHIBIT 1
EXHIBIT 1
 
Joint Filing Agreement

In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the persons named below agrees to the joint filing of a Statement on Schedule 13G (including amendments thereto) with respect to the common stock, par value $0.001 per share, of Aventine Renewable Energy Holdings, Inc., a Delaware corporation, and further agrees that this Joint Filing Agreement be included as an exhibit to such filings provided that, as contemplated by Section 13d-1(k)(l)(ii), no person shall be responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate.

In evidence thereof, the undersigned, being duly authorized, hereby execute this Agreement this February 16, 2010.
 
This Schedule may be executed in two or more counterparts, any one of which need not contain the signature of more than one party, but all such parties taken together will constitute part of this Schedule.

(1)
Aventine Renewable Energy Holdings LLC (“AVR LLC”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
   
(2)
Morgan Stanley Dean Witter Capital Partners IV, LP (“MSDW IV”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
   
(3)
MSDW IV 892 Investors, LP (“MSDW 892”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
   
(4)
Metalmark Capital LLC (“Metalmark”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
   
(5)
Morgan Stanley Dean Witter Capital Investors IV, L.P. (“MSDW Capital Investors”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
   
(6)
MSDW Capital Partners IV LLC (“MSDW Capital Partners”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036
   
(7)
MSDW Capital Partners IV, Inc. (“MSDW Inc.”)
 
c/o Metalmark Capital LLC
 
1177 Avenue of the Americas, 40th Floor
 
New York, NY 10036

Issuer & Ticker Symbol: Aventine Renewable Energy Holdings, Inc. (AVR)
Date of Event Requiring Statement: 12/31/2009

 
 

 

February 16, 2010
  
(Date)
  
   
/s/ Kenneth F. Clifford
  
By:  Kenneth F. Clifford, as authorized signatory of Aventine Renewable Energy Holdings LLC
  
   
/s/ Kenneth F. Clifford
  
By:  Kenneth F. Clifford, as authorized signatory of Metalmark
  
   
/s/ Kenneth F. Clifford
  
By:  Kenneth F. Clifford, Chief Financial Officer of Metalmark, as attorney-in-fact for, MSDW Capital Partners and MSDW Inc. and for the institutional managing member of the general partner of each of MSDW IV and MSDW 892
  
   
/s/ Agatha Ruddy
  
By:  Agatha Ruddy, as Vice President of the managing member of the general partner of MSDW Capital Investors
  

 
 
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