-----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, QqYz0LXY2CU9VtUw+Go0reRqSaqg3B7yWUc3hlnFYRtnLadAQCVS+bXUPcsr+i6Z TK4kf6xbGQn0FAAJMF6pzw== 0000950131-01-503107.txt : 20010827 0000950131-01-503107.hdr.sgml : 20010827 ACCESSION NUMBER: 0000950131-01-503107 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20010824 GROUP MEMBERS: ANDREW W. CODE GROUP MEMBERS: BRIAN P. SIMMONS GROUP MEMBERS: CHS MANAGEMENT IV LP GROUP MEMBERS: CHS OREGON ACQUISITION CORP. GROUP MEMBERS: CODE HENNESSEY & SIMMONS LLC GROUP MEMBERS: DANIEL J. HENNESSEY GROUP MEMBERS: JON S. VESELY GROUP MEMBERS: PETER M. GOTSCH GROUP MEMBERS: TOM J. FORMOLO FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CODE HENNESSY & SIMMONS IV LP CENTRAL INDEX KEY: 0001094262 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 364314622 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 10 SOUTH WACKER DRIVE SUITE 3175 CITY: CHICAGO STATE: IL ZIP: 60606 MAIL ADDRESS: STREET 1: 10 SOUTH WACKER DRIVE, STREET 2: SUITE 3175 CITY: CHICAGO STATE: IL ZIP: 60606 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CASCADE CORP CENTRAL INDEX KEY: 0000018061 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL TRUCKS TRACTORS TRAILERS & STACKERS [3537] IRS NUMBER: 930136592 STATE OF INCORPORATION: OR FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42901 FILM NUMBER: 1723013 BUSINESS ADDRESS: STREET 1: 2201 N.E. 201ST AVE. CITY: FAIRVIEW STATE: OR ZIP: 97024-9718 BUSINESS PHONE: 5036696300 MAIL ADDRESS: STREET 1: 2201 N.E. 201ST AVE CITY: FAIRVIEW STATE: OR ZIP: 97024-9718 SC 13D/A 1 dsc13da.txt AMENDMENT #1 TO 13-D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 1)* Cascade Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.50 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 147195-10-1 - -------------------------------------------------------------------------------- (CUSIP Number) Code Hennessey & Simmons IV LP Attention: Mr. Peter M. Gotsch 10 South Wacker Drive, Suite 3175 Chicago, Illinois 60606 with a copy to: Barry L. Fischer, Esq. Altheimer & Gray 10 South Wacker Drive Chicago, Illinois 60606 (312) 715-4028 ------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 24, 2001 --------------- (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 which is the subject of this Schedule 13D, and is filing this Schedule because of Rule 13d-1(e), 13d-1(f) or 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 13d-7(b) 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, as amended ("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. 147195-10-1 13D Page 2 of 17 Pages ----------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): CHS Oregon Acquisition Corp. - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS: Not applicable - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER: NUMBER OF SHARES -0- ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER: OWNED BY -0- EACH ----------------------------------------------------------- 9. SOLE DISPOSITIVE POWER: REPORTING PERSON -0- ----------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER: -0- - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: -0- - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): -0- - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON: CO - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ CUSIP No. 147195-10-1 13D Page 3 of 17 Pages ----------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): Code Hennessey & Simmons IV LP - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS: Not applicable - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER: NUMBER OF SHARES -0- ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER: OWNED BY -0- EACH ----------------------------------------------------------- 9. SOLE DISPOSITIVE POWER: REPORTING PERSON -0- ----------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER: -0- - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: -0- - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): -0- - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON: PN - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ CUSIP No. 147195-10-1 13D Page 4 of 17 Pages ----------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): CHS Management IV LP - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS: Not applicable - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER: NUMBER OF SHARES -0- ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER: OWNED BY -0- EACH ----------------------------------------------------------- 9. SOLE DISPOSITIVE POWER: REPORTING PERSON -0- ----------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER: -0- - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: -0- - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): -0- - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON: PN - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ CUSIP No. 147195-10-1 13D Page 5 of 17 Pages ----------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): Code Hennessey Simmons LLC - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS: Not applicable - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER: NUMBER OF SHARES -0- ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER: OWNED BY -0- EACH ----------------------------------------------------------- 9. SOLE DISPOSITIVE POWER: REPORTING PERSON -0- ----------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER: -0- - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: -0- - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): -0- - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON: OO - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ CUSIP No. 147195-10-1 13D Page 6 of 17 Pages ----------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): Andrew W. Code - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS: Not applicable - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION: United States - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER: NUMBER OF SHARES -0- ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER: OWNED BY -0- EACH ----------------------------------------------------------- 9. SOLE DISPOSITIVE POWER: REPORTING PERSON -0- ----------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER: -0- - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: -0- - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): -0- - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON: IN - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ CUSIP No. 147195-10-1 13D Page 7 of 17 Pages ----------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): Daniel J. Hennessey - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS: Not applicable - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION: United States - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER: NUMBER OF SHARES -0- ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER: OWNED BY -0- EACH ----------------------------------------------------------- 9. SOLE DISPOSITIVE POWER: REPORTING PERSON -0- ----------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER: -0- - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: -0- - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): -0- - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON: IN - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ CUSIP No. 147195-10-1 13D Page 8 of 17 Pages ----------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): Brian P. Simmons - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS: Not applicable - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION: United States - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER: NUMBER OF SHARES -0- ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER: OWNED BY -0- EACH ----------------------------------------------------------- 9. SOLE DISPOSITIVE POWER: REPORTING PERSON -0- ----------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER: -0- - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: -0- - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): -0- - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON: IN - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ CUSIP No. 147195-10-1 13D Page 9 of 17 Pages ----------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): Peter M. Gotsch - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS: Not applicable - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION: United States - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER: NUMBER OF SHARES -0- ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER: OWNED BY -0- EACH ----------------------------------------------------------- 9. SOLE DISPOSITIVE POWER: REPORTING PERSON -0- ----------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER: -0- - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: -0- - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): -0- - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON: IN - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ CUSIP No. 147195-10-1 13D Page 10 of 17 Pages ----------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): Tom J. Formolo - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS: Not applicable - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION: United States - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER: NUMBER OF SHARES -0- ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER: OWNED BY -0- EACH ----------------------------------------------------------- 9. SOLE DISPOSITIVE POWER: REPORTING PERSON -0- ----------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER: -0- - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: -0- - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): -0- - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON: IN - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ CUSIP No. 147195-10-1 13D Page 11 of 17 Pages ----------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): Jon S. Vesely - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS: Not applicable - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION: United States - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER: NUMBER OF SHARES -0- ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER: OWNED BY -0- EACH ----------------------------------------------------------- 9. SOLE DISPOSITIVE POWER: REPORTING PERSON -0- ----------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER: -0- - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: -0- - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): -0- - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON: IN - ------------------------------------------------------------------------------ Item 1. Security and Issuer, is hereby amended and restated as follows: ------------------- This Amendment No. 1 to Schedule 13D relates to the shares of common stock, $0.50 par value (the "Common Stock") of Cascade Corporation, an Oregon corporation ("Issuer"). The principal executive offices of Issuer are located at 2201 N.E. 201st Avenue, Fairview, Oregon 97024. Item 2. Identity and Background, is hereby amended and restated as follows: ----------------------- Pursuant to Rule 13d-1(k)(1) of Regulation 13D-G under the Securities Exchange Act of 1934, as amended (the "Act"), the undersigned hereby files this Amendment No. 1 to Schedule 13D on behalf of CHS Oregon Acquisition Corp., a Delaware corporation ("Acquisition Corp."), Code Hennessey & Simmons IV LP, a Delaware limited partnership ("CHS IV"), CHS Management IV LP, a Delaware limited partnership ("CHS Management"), Code Hennessey & Simmons LLC, a Delaware limited liability company ("CHS LLC"), Andrew W. Code ("Mr. Code"), Daniel J. Hennessey ("Mr. Hennessey"), Brian P. Simmons ("Mr. Simmons"), Peter M. Gotsch ("Mr. Gotsch"), Tom J. Formolo ("Mr. Formolo") and Jon S. Vesely ("Mr. Vesely"). Acquisition Corp., CHS IV, CHS Management, CHS LLC, Mr. Code, Mr. Hennessey, Mr. Simmons, Mr. Gotsch, Mr. Formolo and Mr. Vesely are sometimes hereinafter referred to collectively as the "Reporting Persons." As described in Item 3 below, on July 5, 2000, Acquisition Corp. and CHS IV entered into a Letter of Understanding with certain members of management of the Issuer ("Management") and the Robert C. and Nani S. Warren Revocable Trust (the "Trust") whereby Acquisition Corp. secured the agreement of Management and the Trust to work exclusively with Acquisition Corp. and CHS IV to attempt to develop a proposal to acquire the Issuer. On August 24, 2001, Acquisition Corp. and CHS IV sent a letter to Management and the Trust confirming that the agreement described above had been terminated. A copy of the letter is attached hereto as Exhibit 3. The Reporting Persons may be deemed to constitute a group within the meaning of Section 13(d)(3) of the Act. Neither the present filing nor anything contained herein shall be construed as (i) an admission that the Reporting Persons constitute a "person" or "group" for any purpose or (ii) an admission that the Reporting Persons are, for the purposes of Section 13(d) or 13(g) of the Act, beneficial owners of any securities. Pursuant to Rule 13d-1(k)(2) under the Act, the Reporting Persons are filing this Schedule 13D on their own behalf and not on behalf of any other person. Attached hereto as Exhibit 1 is the statement made pursuant to Rule 13d-1(k)(1)(iii) of Regulation 13D-G of the General Rules and Regulations under the Act. (a) - (c) Acquisition Corp. ----------------- Acquisition Corp. is a Delaware corporation, the principal business of which is the intended acquisition of the Issuer (as described in Item 4 below). The principal business and office address of Acquisition Corp. is 10 South Wacker Drive, Suite 3175, Chicago, Illinois 60606. Pursuant to Instruction C to Schedule 13D of the Act, certain information with respect to CHS IV, the sole stockholder of Acquisition Corp., is set forth below. Mr. Gotsch is the sole director and President of Acquisition Corp. Mr. Warren is the Chief Executive Officer of Acquisition Corp. 12 CHS IV ------ CHS IV is a Delaware limited partnership, the principal business of which is private equity investments. The principal business and office address of CHS IV is 10 South Wacker Drive, Suite 3175, Chicago, Illinois 60606. Pursuant to Instruction C to Schedule 13D of the Act, certain information with respect to CHS Management, the general partner of CHS IV, is set forth below. CHS Management -------------- CHS Management is a Delaware limited partnership, the principal business of which is private equity investments. The principal business and office address of CHS Management is 10 South Wacker Drive, Suite 3175, Chicago, Illinois 60606. Pursuant to Instruction C to Schedule 13D of the Act, certain information with respect to CHS LLC, the general partner of CHS Management, is set forth below. CHS LLC ------- CHS LLC is a Delaware limited liability company, the principal business of which is private equity investments. The principal business and office address of CHS LLC is 10 South Wacker Drive, Suite 3175, Chicago, Illinois 60606. Pursuant to Instruction C to Schedule 13D of the Act, certain information with respect to the six partners of CHS LLC is set forth below. Mr. Code -------- Mr. Code is a partner of CHS LLC. His principal business and office address is c/o CHS LLC, 10 South Wacker Drive, Suite 3175, Chicago, Illinois 60606. Mr. Hennessey ------------ Mr. Hennessey is a partner of CHS LLC. His principal business and office address is c/o CHS LLC, 10 South Wacker Drive, Suite 3175, Chicago, Illinois 60606. Mr. Simmons ----------- Mr. Simmons is a partner of CHS LLC. His principal business and office address is c/o CHS LLC, 10 South Wacker Drive, Suite 3175, Chicago, Illinois 60606. Mr. Gotsch ---------- Mr. Gotsch is a partner of CHS LLC. His principal business and office address is c/o CHS LLC, 10 South Wacker Drive, Suite 3175, Chicago, Illinois 60606. Mr. Formolo ----------- Mr. Formolo is a partner of CHS LLC. His principal business and office address is c/o CHS LLC, 10 South Wacker Drive, Suite 3175, Chicago, Illinois 60606. Mr. Vesely ---------- Mr. Vesely is a partner of CHS LLC. His principal business and office address is c/o CHS LLC, 10 South Wacker Drive, Suite 3175, Chicago, Illinois 60606. 13 (d) None of the Reporting Persons have, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) None of the Reporting Persons have, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (f) Acquisition Corp., CHS IV, CHS Management and CHS LLC are all Delaware entities. All of the Reporting Persons who are natural persons identified in this Item 2 are citizens of the United States. Item 3. Source and Amount of Funds or Other Consideration, is hereby amended ------------------------------------------------- by adding the following paragraph to the end of the item: On August 24, 2001, Acquisition Corp. and CHS IV sent a letter to Management and the Trust confirming that the agreement described above had been terminated. A copy of the letter is attached hereto as Exhibit 3. Item 4. Purpose of Transaction, is hereby amended as follows: ---------------------- The Reporting Persons are no longer deemed to be the beneficial owners of any shares of Common Stock of the Issuer. See Item 3, above. Item 5. Interest in Securities of the Issuer, is hereby amended as follows: ------------------------------------ The Reporting Persons are no longer deemed to be the beneficial owners of any shares of Common Stock of the Issuer. See Item 3, above. (a) The aggregate number of shares of Common Stock that the Reporting Persons may be deemed to beneficially own, pursuant to Rule 13d-3 of the Act, is - -0- which constitutes 0% of the outstanding shares of Common Stock. (b) The Reporting Persons may be deemed to have shared voting power and shared dispositive power with respect to -0- shares of Common Stock, which constitutes 0% of the outstanding shares of Common Stock. (c) Except as set forth in Item 3 above, none of the Reporting Persons have effected any other transactions in Common Stock during the past sixty (60) days. (d) None of the Reporting Persons have the right to receive, or the power to direct the receipt of dividends from, or the proceeds from the sale of, any of the securities of the Issuer acquired by the Reporting Persons as described in Item 3. (e) The Reporting Persons ceased to be deemed the beneficial owners of more than five percent of the shares of Common Stock on August 24, 2001. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect --------------------------------------------------------------------- to Securities of the Issuer, is hereby amended as follows: - --------------------------- 14 Except as set forth in this Amendment No. 1 to Schedule 13D, and except for the Joint Filing Agreement dated August 24, 2001 among the Reporting Persons attached as Exhibit 1 to this Amendment No. 1 to Schedule 13D, the Reporting Persons do not have any contracts, arrangements, understandings or relationships (legal or otherwise) with any person with respect to any securities of the Issuer, including but not limited to transfer or voting of any of the shares of Common Stock of the Issuer, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies, or a pledge or power over the shares of Common Stock of the Issuer. Item 7. Materials to be Filed as Exhibits, is hereby amended as follows: --------------------------------- Exhibit 1 Statement made pursuant to Rule 13d-1(k)(1)(iii) of Regulation 13D-G of the General Rules and Regulations under the Securities Exchange Act of 1934, as amended. Exhibit 2 Powers of Attorney are incorporated herein by reference to the Schedule 13D filed by the Reporting Persons on July 7, 2000. Exhibit 3 Letter dated August 24, 2001. 15 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: August 24, 2001 CHS OREGON ACQUISITION CORP By: /s/ Peter M. Gotsch* -------------------- Name: Peter M. Gotsch Title: President CODE HENNESSEY & SIMMONS IV LP By: CHS Management IV LP, its general partner By: /s/ Peter M. Gotsch* -------------------- Name: Peter M. Gotsch Title: Partner CHS MANAGEMENT IV LP By: Code Hennessey & Simmons LLC, its general partner By: /s/ Peter M. Gotsch* -------------------- Name: Peter M. Gotsch Title: Partner CODE HENNESSEY & SIMMONS LLC By: /s/ Peter M. Gotsch* -------------------- Name: Peter M. Gotsch Title: Partner /s/ Andrew W. Code* ------------------- Andrew W. Code /s/ Daniel J. Hennessey* ----------------------- Daniel J. Hennessey /s/ Brian P. Simmons* --------------------- Brian P. Simmons /s/ Peter M. Gotsch* -------------------- Peter M. Gotsch /s/ Tom J. Formolo* ------------------- Tom J. Formolo /s/ Jon S. Vesely* ------------------ Jon S. Vesely *By: /s/ Phillip Gordon ------------------ Phillip Gordon Attorney-in-Fact 16 EX-99.1 3 dex991.txt STATEMENT TO GENERAL RULES & REGULATIONS EXHIBIT 1 --------- Pursuant to Rule 13d-1(k)(1)(iii) of Regulation 13D-G of the General Rules and Regulations under the Securities Exchange Act of 1934, as amended, the undersigned agree that the statement to which this Exhibit is attached is filed on behalf of each of them in the capacities set forth below. Dated: August 24, 2001 CHS OREGON ACQUISITION CORP By: /s/ Peter M. Gotsch* --------------------- Name: Peter M. Gotsch Title: President CODE HENNESSEY & SIMMONS IV LP By: CHS Management IV LP, its general partner By: /s/ Peter M. Gotsch* --------------------- Name: Peter M. Gotsch Title: Partner CHS MANAGEMENT IV LP By: Code Hennessey & Simmons LLC, its general partner By: /s/ Peter M. Gotsch* -------------------- Name: Peter M. Gotsch Title: Partner CODE HENNESSEY & SIMMONS LLC By: /s/ Peter M. Gotsch* --------------------- Name: Peter M. Gotsch Title: Partner /s/ Andrew W. Code* ------------------- Andrew W. Code /s/ Daniel J. Hennessey* ----------------------- Daniel J. Hennessey /s/ Brian P. Simmons* --------------------- Brian P. Simmons /s/ Peter M. Gotsch* -------------------- Peter M. Gotsch /s/ Tom J. Formolo* ------------------- Tom J. Formolo /s/ Jon S. Vesely* ------------------ Jon S. Vesely *By: /s/ Phillip Gordon ------------------ Phillip Gordon Attorney-in-Fact EX-99.3 4 dex993.txt LETTER DATED 08/23/2001 EXHIBIT 3 --------- CHS Oregon Acquisition Corp. c/o Code Hennessey & Simmons IV LP 10 South Wacker Drive, Suite 3100 Chicago, Illinois 60606 August 24, 2001 Robert C. Warren, Jr. Richard S. Anderson Terry H. Cathey Cascade Corporation P.O. Box 20187 Portland, Oregon 97294-0187 The Robert C. and Nani S. Warren Revocable Trust c/o Jack B. Schwartz 111 S.W. Fifth Avenue, Suite 4040 Portland, Oregon 97204 Gentlemen: Reference is made to our Letter of Understanding dated July 5, 2000 (the "Letter of Understanding"). All capitalized terms used but not elsewhere defined herein shall have the respective meanings ascribed to such terms in the Letter of Understanding. As CHS, the Trust and Management have ceased all negotiations related to an acquisition of the Company as outlined in the Letter of Understanding for some time, we wish to confirm to you that the Letter of Understanding has been terminated. Sincerely, CHS OREGON ACQUISITION CORP. /s/ Danielle C. Cunningham - -------------------------- Danielle C. Cunningham Vice President -----END PRIVACY-ENHANCED MESSAGE-----