-----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, Ex9pfc+ThRI81/sva28qHsb4495sZ8aXqErNa4ct58VUpuyjJKqhSJDMd7fKOaLN FFbN+7FzDzFTDZT/x3ptUw== 0000897069-02-000310.txt : 20020417 0000897069-02-000310.hdr.sgml : 20020417 ACCESSION NUMBER: 0000897069-02-000310 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20020417 GROUP MEMBERS: BARBARA K. WILKERSON GROUP MEMBERS: BRETT BARKER GROUP MEMBERS: CONNIE BARKER GROUP MEMBERS: JASON BARKER GROUP MEMBERS: JERRY SCOVILLE GROUP MEMBERS: KEITH BRONSTEIN GROUP MEMBERS: OXBOW LIMITED LIABILITY COMPANY GROUP MEMBERS: ROGER HICKEY FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BARKER ROTCHFORD D CENTRAL INDEX KEY: 0001058414 STANDARD INDUSTRIAL CLASSIFICATION: REFUSE SYSTEMS [4953] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 40 COUNTY ROAD 2 A C CITY: CODY STATE: WY ZIP: 82414 BUSINESS PHONE: 3075277401 MAIL ADDRESS: STREET 1: 40 COUNTY ROAD 2 A C CITY: CODY STATE: WY ZIP: 82414 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN ECOLOGY CORP CENTRAL INDEX KEY: 0000742126 STANDARD INDUSTRIAL CLASSIFICATION: REFUSE SYSTEMS [4953] IRS NUMBER: 953889638 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-35732 FILM NUMBER: 02612957 BUSINESS ADDRESS: STREET 1: 805 W IDAHO STREET 2: STE 200 CITY: BOSIE STATE: ID ZIP: 83702 BUSINESS PHONE: 2083318400 MAIL ADDRESS: STREET 1: 805 W IDAHO STREET 2: STE 200 CITY: BOISE STATE: ID ZIP: 83702 SC 13D/A 1 pdm306a.txt AMENDMENT 1 CUSIP No. 02553310 Page 1 of 22 Pages SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20552 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) AMERICAN ECOLOGY CORPORATION (Name of Issuer) Common Stock, par value $1.00 per share (Title of Class of Securities) 02553310 (CUSIP Number) Mr. Phillip Goldberg Foley & Lardner One IBM Plaza Suite 3300 330 North Wabash Avenue Chicago, IL 60611-3608 (312) 755-1900 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 15, 2002 (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(b)(3) or (4), check the following box [ ]. CUSIP No. 02553310 Page 2 of 22 Pages ================================================================================ 1 NAME OF REPORTING PERSON Rotchford L. Barker - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)|X| (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 3,221,658 ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 3,221,658 ------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,993,537 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 26.5% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ================================================================================ CUSIP No. 02553310 Page 3 of 22 Pages ================================================================================ 1 NAME OF REPORTING PERSON Roger Hickey - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)|X| (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF, OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 66,100 ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 66,100 ------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,993,537 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 26.5% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ================================================================================ CUSIP No. 02553310 Page 4 of 22 Pages ================================================================================ 1 NAME OF REPORTING PERSON Keith Bronstein - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)|X| (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 624,966 ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 624,966 ------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,993,537 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 26.5% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ================================================================================ CUSIP No. 02553310 Page 5 of 22 Pages ================================================================================ 1 NAME OF REPORTING PERSON Jerry Scoville - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)|X| (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 83,013 ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 83,013 ------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 83,013 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ================================================================================ CUSIP No. 02553310 Page 6 of 22 Pages ================================================================================ 1 NAME OF REPORTING PERSON Oxbow Limited Liability Company - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)|X| (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS AF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Wyoming - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 200,000 ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 200,000 ------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 200,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.45% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO ================================================================================ CUSIP No. 02553310 Page 7 of 22 Pages ================================================================================ 1 NAME OF REPORTING PERSON Barbara K. Wilerson - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)|X| (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 0 ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 200,000 ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 ------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 200,000 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 200,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.45% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ================================================================================ CUSIP No. 02553310 Page 8 of 22 Pages ================================================================================ 1 NAME OF REPORTING PERSON Connie Barker - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)|X| (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 12,000 ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 200,000 ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 12,000 ------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 200,000 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 212,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ================================================================================ CUSIP No. 02553310 Page 9 of 22 Pages ================================================================================ 1 NAME OF REPORTING PERSON Brett Barker - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)|X| (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 20,550 ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 200,000 ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 20,550 ------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 200,000 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 220,550 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ================================================================================ CUSIP No. 02553310 Page 10 of 22 Pages ================================================================================ 1 NAME OF REPORTING PERSON Jason Barker - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)|X| (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 29,600 ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 200,000 ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 29,600 ------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 200,000 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 229,600 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ================================================================================ CUSIP No. 02553310 Page 11 of 22 Pages Item 1. Security and Issuer This Schedule 13D is being filed jointly by Rotchford L. Barker, Roger Hickey, Keith Bronstein, Jerry Scoville, Oxbow Limited Liability Company ("Oxbow"), Barbara J. Wilkerson, Connie Barker, Brett Barker and Jason Barker. All of the filers of this Schedule 13D are collectively the "Group." Oxbow, Ms. Wilkerson, Ms. Barker, Brett Barker and Jason Barker, pursuant to Rule 13d-4 promulgated under the Securities Exchange Act of 1934, as amended, disclaim beneficial ownership of the securities beneficially owned by the other members of the Group, and the other members of the Group similarly disclaim beneficial ownership of the shares of Common Stock beneficially owned by Oxbow, Ms. Wilkerson, Ms. Barker, Brett Barker and Jason Barker. Mr. Scoville similarly disclaims beneficial ownership of the securities beneficially owned by the other members of the Group, and the other members of the Group disclaim beneficial ownership of the shares of Common Stock beneficially owned by Mr. Scoville. This Schedule 13D relates to the common stock ("Common Stock") of American Ecology Corporation (the "Company" or "American Ecology"). The address of the principal executive offices of the Company is 805 W. Idaho, Suite #200, Boise, ID 83702. The joint filing agreement of the members of the Group is attached as Exhibit 1. Item 2. Identity and Background (a)-(c) This statement is filed by Mr. Barker, Mr. Hickey and Mr. Bronstein with respect to the shares of Common Stock beneficially owned by them, as follows: (1) 3,221,658 shares of Common Stock held by Mr. Barker in his name, consisting of: (A) 2,171,000 shares of Common Stock held in the name of Mr. Barker; (B) currently exercisable options held by Mr. Barker to purchase 47,500 shares of Common Stock; (C) 3,158 Series D Preferred Shares held by Mr. Barker, currently convertible into 3,158 shares of Common Stock; and (D) 1,000,000 Series E Warrants held in the name of Mr. Barker, currently exercisable for 1,000,000 shares of Common Stock. (2) 66,100 shares of Common Stock held by Mr. Hickey in his name, in part for himself and in part on behalf of certain of his minor children; and (3) 620,566 shares of Common Stock held by Mr. Bronstein in his name, consisting of: (A) 365,566 shares of Common Stock held in the name of Mr. Bronstein; (B) 250,000 Series E Warrants held in the name of Mr. Bronstein, currently exercisable for 250,000 shares of Common Stock; and (C) 7,200 shares of Common Stock held in the name of Tradelink L.L.C., with respect to which Mr. Bronstein has sole voting and dispositive power. This statement is filed by Mr. Scoville with respect to the Common Stock beneficially owned by him, consisting of: (1) 22,171 shares of Common Stock held in the CUSIP No. 02553310 Page 12 of 22 Pages name of Mr. Scoville; (2) currently exercisable options held by Mr. Scoville to purchase 60,000 shares of Common Stock; and (3) 842 shares of Series D Preferred Stock held in the name of Mr. Scoville, currently convertible into 842 shares of Common Stock. This statement is filed by Oxbow, Ms. Wilkerson, Ms. Barker, Brett Barker and Jason Barker with respect to the 200,000 shares of Common Stock held in the name of Oxbow, a limited liability company which the four of them control and therefore they may be deemed to share voting and dispositive power over shares of Common Stock held in the name of Oxbow. This statement is also filed by Connie Barker with respect to 12,000 shares of Common Stock held in her name; by Brett Barker with respect to 20,550 shares of Common Stock held in his name; and by Jason Barker with respect to 29,600 shares of Common Stock held in his name. Ms. Barker is the daughter of Mr. Barker L. Barker. Brett Barker and Jason Barker are the sons of Mr. Barker L. Barker. The business address of Mr. Barker is 40 County Road 2AC, Cody, Wyoming 82414. The principal employment of Mr. Barker is as an independent businessman and commodity trader. Mr. Barker is a director of the Company. The business address of Mr. Hickey is 140 S. Dearborn St., Suite 1500, Chicago, Illinois 60603. The principal employment of Mr. Hickey is as President of Chicago Partners, LLC. The business address of Mr. Bronstein is 200 West Jackson Blvd., Suite 2300, Chicago, Illinois 60606. The principal employment of Mr. Bronstein is as President of Tradelink L.L.C. The business address of Mr. Scoville is 4048 El Molino Lane, Sebastopol, CA 95472. The principal employment of Mr. Scoville is as President of J.J. Scoville and Associates, Inc., a nuclear consulting firm. The business address of Oxbow is 40 County Road 2AC, Cody, Wyoming 82414. The business address of Ms. Wilkerson is 6 Bohica Lane, Cody, Wyoming 82414 and her principal employment is administrative work with Oxbow. The business address of Ms. Barker is 6 Orchard Lane, Golf, Illinois and her principal employment is as a teacher. The business address of Brett Barker is 1440 N. Kingsbury, Chicago, Illinois and his principal employment is as a self-employed businessman. The business address of Jason Barker is 1440 N. Kingsbury, Chicago, Illinois and his principal employment is as a self-employed businessman. (d) During the past five years, no member of the Group has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) During the past five years, no member of the Group has 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) All of the individuals who are members of the Group are citizens of the United States. CUSIP No. 02553310 Page 13 of 22 Pages Item 3. Source and Amount of Funds or Other Consideration In aggregate, members of the Group collectively beneficially own 4,255,687 shares of Common Stock. The amount of funds expended to date by Mr. Barker to acquire the 3,221,658 shares of Common Stock he holds in his name is $2,730,543. Such funds were provided from Mr. Barker's personal funds. Certain of the shares of Common Stock held by Mr. Bronstein were received as director compensation. The amount of funds expended to date by Mr. Hickey to acquire the 66,100 shares of Common Stock he holds in his name is approximately $123,824. Such funds were provided from Mr. Hickey's personal funds. The amount of funds expended to date by Mr. Bronstein to acquire the 611,166 shares of Common Stock he holds in his name and the 7,200 shares of Common Stock he holds in the name of Tradelink L.L.C. is approximately $348,682. Certain of the shares of Common Stock held by Mr. Bronstein were received as director compensation. Such funds were provided from Mr. Bronstein's personal funds. The amount of funds expended to date by Mr. Scoville to acquire the 83,013 shares of Common Stock he holds in his name is approximately $39,848. Such funds were provided from Mr. Hickey's personal funds. The amount of funds expended to date by Oxbow to acquire the 200,000 shares of Common Stock it beneficially owns is $200,000. Such funds were borrowed from Mr. Barker. The amount of funds expended to date by Connie Barker to acquire the 12,000 shares of Common Stock she owns in her name is $33,000. The amount of funds expended to date by Brett Barker to acquire the 20,550 shares of Common Stock he owns in his name is $44,439. The amount of funds expended to date by Jason Barker to acquire the 29,600 shares of Common Stock he owns in his name is $51,800. Item 4. Purpose of Transaction The purpose of the acquisition of the shares of Common Stock by members of the Group is to profit from appreciation in the market price of the Common Stock. Members intend to take action that relates to control of the Company, namely to: (1) demand a shareholder list in order to contact other shareholders of the Company to discuss their concerns and views; and (2) to seek election or appointment of themselves or others to the Board of Directors of the Company in connection with the 2002 Annual Meeting. The Group currently intends to nominate and solicit proxies for the election of three or more directors to the Board of Directors at the 2002 Annual Meeting. The Group currently intends that among those nominees will be Mr. Barker, Mr. Hickey and Mr. Scoville. On April 15, 2002, Mr. Barker CUSIP No. 02553310 Page 14 of 22 Pages sent a letter to the Company relating to the 2002 Annual Meeting. A copy of that letter is attached as Exhibit 2. Members of the Group may make further purchases of shares of Common Stock. Members of the Group may dispose of any or all the shares of Common Stock held by them, although they have no current intention to do so. To the extent the actions described herein may be deemed to constitute a "control purpose" with respect to the Securities Exchange Act of 1934, as amended, and the regulations thereunder, the Group has such a purpose. Except as noted in this Schedule 13D, no member of the Group has any plans or proposals, which relate to, or would result in, any of the matters referred to in paragraphs (b) through (j), inclusive of Item (4) of Schedule 13D. Such individuals may, at any time and from time to time, review or reconsider their positions and formulate plans or proposals with respect thereto. Item 5. Interest in Securities of the Company The percentages used in this Schedule 13D are calculated based upon the number of outstanding shares of Common Stock, 13,766,485, reported as the number of outstanding shares as of March 22, 2002, on the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2001. All purchases and sales of Common Stock reported herein were made in open market transactions on Nasdaq. (A) Rotchford L. Barker (a)-(b) See cover page. (c) Mr. Barker exercised 650,000 Series E warrants on March 28, 2002 to purchase 650,000 shares of Common Stock; the exercise price per warrant was $1.50. In addition, Mr. Barker has made the following purchases of Common Stock in open market transactions during the past 60 days: ------------------------------------------------------------------- Date Number of Shares Price/Share ------------------------------------------------------------------- 2/11/02 5,000 1.42 ------------------------------------------------------------------- 2/12/02 2,500 1.34 ------------------------------------------------------------------- 2/13/02 2,500 1.34 ------------------------------------------------------------------- 2/19/02 5,000 1.26 ------------------------------------------------------------------- 2/20/02 5,000 1.26 ------------------------------------------------------------------- 3/14/02 4,900 1.97 ------------------------------------------------------------------- 3/19/02 5,000 1.50 ------------------------------------------------------------------- (B) Roger Hickey (a)-(b) See cover page. (c) Mr. Hickey has made the following purchases of Common Stock in open market transactions during the past 60 days: CUSIP No. 02553310 Page 15 of 22 Pages -------------------------------------------------------------------- Date Number of Shares Price/Share -------------------------------------------------------------------- 2/22/02 2,200 1.48 -------------------------------------------------------------------- 2/22/02 200 1.30 -------------------------------------------------------------------- 2/22/02 100 1.38 -------------------------------------------------------------------- 2/22/02 100 1.35 -------------------------------------------------------------------- 2/25/02 2,000 1.60 -------------------------------------------------------------------- 2/25/02 3,000 1.60 -------------------------------------------------------------------- 2/25/02 2,700 1.65 -------------------------------------------------------------------- 2/26/02 4,000 1.65 -------------------------------------------------------------------- 3/4/02 1,000 1.85 -------------------------------------------------------------------- 3/11/02 25,900 1.85 -------------------------------------------------------------------- 3/27/02 2,000 1.85 -------------------------------------------------------------------- 4/1/02 19,500 1.85 -------------------------------------------------------------------- 4/4/02 2,000 1.85 -------------------------------------------------------------------- 4/4/02 1,500 1.84 -------------------------------------------------------------------- (d) Not applicable. (C) Keith Bronstein (a)-(b) See cover page. (c) Mr. Bronstein has made the following purchases of Common Stock in open market transactions during the past 60 days: --------------------------------------------------------------------- Date Number of Shares Price/Share --------------------------------------------------------------------- 4/1/02 2,200 1.85 --------------------------------------------------------------------- (d) Not applicable. (D) Jerry Scoville (a)-(b) See cover page. (c) Mr. Scoville has made no purchases or sales of Common Stock during the past 60 days. (d) Not applicable. (E) Oxbow Limited Liability Company (a)-(b) See cover page. (c) Oxbow has made no purchases or sales of Common Stock during the past 60 days. CUSIP No. 02553310 Page 16 of 22 Pages (d) Each of Barbara J. Wilkerson, Connie Barker, Brett Barker and Jason Barker is a member of and shares control with respect to Oxbow and shares voting and dispositive power with respect to the shares of Common Stock beneficially owned by Oxbow. (F) Barbara J. Wilkerson (a)-(b) See cover page. (c) Ms. Wilkerson has made no purchases or sales of Common Stock during the past 60 days. (d) Each of Barbara J. Wilkerson, Connie Barker, Brett Barker and Jason Barker is a member of and shares control with respect to Oxbow and shares voting and dispositive power with respect to the shares of Common Stock beneficially owned by Oxbow. (G) Connie Barker (a)-(b) See cover page. (c) Ms. Barker has made no purchases or sales of Common Stock during the past 60 days. (d) Each of Barbara J. Wilkerson, Connie Barker, Brett Barker and Jason Barker is a member of and shares control with respect to Oxbow and shares voting and dispositive power with respect to the shares of Common Stock beneficially owned by Oxbow. (H) Brett Barker (a)-(b) See cover page. (c) Brett Barker has made no purchases or sales of Common Stock during the past 60 days. (d) Each of Barbara J. Wilkerson, Connie Barker, Brett Barker and Jason Barker is a member of and shares control with respect to Oxbow and shares voting and dispositive power with respect to the shares of Common Stock beneficially owned by Oxbow. (I) Jason Barker (a)-(b) See cover page. CUSIP No. 02553310 Page 17 of 22 Pages (c) Jason Barker has made no purchases or sales of Common Stock during the past 60 days. (d) Each of Barbara J. Wilkerson, Connie Barker, Brett Barker and Jason Barker is a member of and shares control with respect to Oxbow and shares voting and dispositive power with respect to the shares of Common Stock beneficially owned by Oxbow. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Company. Other than the Joint Filing Agreement filed as Exhibit 1 to this filing, there are no contracts, arrangements, understandings or relationships among the persons named in Item 2 hereof and between such persons and any person with respect to any securities of the Company, including but not limited to transfer or voting of any of the securities, finders' fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, divisions of profits or losses, or the giving or withholding of proxies, except for sharing of profits, as described below. Item 7. Material to be Filed as Exhibits No. Description --- ----------- 1 Joint Filing Agreement. 2 Letter from Mr. Barker to the Company, dated April 15, 2002. CUSIP No. 02553310 Page 18 of 22 Pages SIGNATURES 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 16, 2002 - -------------------------------------------- By: /s/ Rotchford L. Barker Rotchford L. Barker - -------------------------------------------- By: /s/ Roger Hickey Roger Hickey - -------------------------------------------- By: /s/ Keith Bronstein Keith Bronstein - -------------------------------------------- By: /s/ Barbara Wilkerson Barbara J. Wilkerson - -------------------------------------------- By: /s/ Jason Barker Jason Barker - -------------------------------------------- By: /s/ Brett Barker Brett Barker - -------------------------------------------- By: /s/ Connie Barker Connie Barker - -------------------------------------------- OXBOW CAPITAL LLC By: /s/ Barbara Wilkerson - -------------------------------------------- CUSIP No. 02553310 Page 19 of 22 Pages - -------------------------------------------- By: /s/ Jerry Scoville Jerry Scoville - -------------------------------------------- EX-99.1 3 pdm306b.txt JOINT FILING EXHIBIT CUSIP No. 02553310 Page 20 of 22 Pages EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that the Schedule 13D to which this Joint Filing Agreement is being filed as an exhibit shall be a joint statement filed on behalf of each of the undersigned. Date: April 16, 2002 - -------------------------------------------- By: /s/ Rotchford L. Barker Rotchford L. Barker - -------------------------------------------- By: /s/ Roger Hickey Roger Hickey - -------------------------------------------- By: /s/ Keith Bronstein Keith Bronstein - -------------------------------------------- By: /s/ Barbara Wilkerson Barbara J. Wilkerson - -------------------------------------------- By: /s/ Jason Barker Jason Barker - -------------------------------------------- By: /s/ Brett Barker Brett Barker - -------------------------------------------- By: /s/ Connie Barker Connie Barker - -------------------------------------------- OXBOW CAPITAL LLC By: /s/ Barbara Wilkerson - -------------------------------------------- CUSIP No. 02553310 Page 21 of 22 Pages - -------------------------------------------- By: /s/ Jerry Scoville Jerry Scoville - -------------------------------------------- EX-99.2 4 pdm306c.txt LETTER CUSIP No. 02553310 Page 19 of 22 Pages EXHIBIT 2 [ON LETTERHEAD] April 15, 2002 AMERICAN ECOLOGY CORPORATION Steve Romano, President 805 W. Idaho Street Suite # 200 Boise, Idaho 83702 Dear Mr. Romano: This letter constitutes a notice that I hereby withdraw my consent, to the extent it may be deemed to have been previously given, to be named in the proxy statement of management for the solicitation of directors for election to the Board of Directors of American Ecology Corporation (the "Company"). Pursuant to Rule 14a-4(d) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), I am not a bona fide nominee for election on the proxy statement of management of the Company. I intend, together with others, to nominate individuals for election to the Company's board of directors at the 2002 Annual Meeting. We intend to solicit proxies for the election of such individuals from stockholders of the Company, in a proxy solicitation subject to Rule 14a-12(c) promulgated under the Exchange Act. We will today be filing a Schedule 13D to publicly disclose our ownership of stock of the Company and our intentions with respect to the holding and voting of such stock. We feel that the Board of Directors needs more independent thought and committed representation by directors who will represent the interests of all stockholders. We intend that these issues and others will be discussed in our proxy solicitation. Sincerely, /s/ Rotchford L. Barker Rotchford L Barker CC: Bronstein, Schutt, Volini, Bergson, Heil, Rostenkowski -----END PRIVACY-ENHANCED MESSAGE-----