-----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, IkjVYclMaYuOCZOVGe5AzXevC46P1dpBUDCG5ZKohV60dHt7cbJhoczW7RWCdtcZ FZtHf8MHpIFy+ZYfBQr0CA== 0000922423-01-501106.txt : 20020412 0000922423-01-501106.hdr.sgml : 20020412 ACCESSION NUMBER: 0000922423-01-501106 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011204 GROUP MEMBERS: ANDREW ARNO GROUP MEMBERS: C.E. UNTERBERG, TOWBIN GROUP MEMBERS: C.E. UNTERBERG, TOWBIN, TOWBIN CAPITAL PARTNERS I, LP GROUP MEMBERS: ROBERT M. MATLUCK GROUP MEMBERS: THOMAS I. UNTERBERG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: INFINITY INC CENTRAL INDEX KEY: 0000822746 STANDARD INDUSTRIAL CLASSIFICATION: OIL, GAS FIELD SERVICES, NBC [1389] IRS NUMBER: 841070066 STATE OF INCORPORATION: CO FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-39855 FILM NUMBER: 1806073 BUSINESS ADDRESS: STREET 1: 211 W 14TH ST STREET 2: STE 260 CITY: CHANUTE STATE: KS ZIP: 66720 BUSINESS PHONE: 3164316200 MAIL ADDRESS: STREET 1: 211 WEST 14TH STREET CITY: CHANUTE STATE: KS ZIP: 66720 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: C E UNTERBERG TOWBIN A CALIFORNIA LIMITED PARTNERSHIP CENTRAL INDEX KEY: 0001162685 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943094414 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 350 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125728100 MAIL ADDRESS: STREET 1: 350 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 SC 13G 1 kl11056_sc13g.txt STATEMENT OF BENEFICIAL OWNERSHIP SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------ Under the Securities Exchange Act of 1934 SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Infinity, Inc. --------------------- (Name of Issuer) Common Stock, par value $0.0001 per share ---------------------------------------------------------- (Title of Class of Securities) 45663L403 ------------------- (CUSIP Number) June 13, 2001 ---------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) [Check the appropriate box to designate the rule pursuant to which this Schedule is filed:] |X| Rule 13d-1(b) |X| Rule 13d-1(c) |_| Rule 13d-1(d) ------------------ Page 1 of 12 Pages SCHEDULE 13G CUSIP No. 45663L403 Page 2 of 11 Pages - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Thomas I. Unterberg - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 5) SOLE VOTING POWER NUMBER OF 57,500 SHARES ------------------------------------------------------ BENEFICIALLY 6) SHARED VOTING POWER OWNED BY EACH 0 REPORRTING ------------------------------------------------------- PERSON 7) SOLE DISPOSITIVE POWER WITH 57,500 ------------------------------------------------------- 8) SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 57,500 - -------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES See footnote 1. |X| - -------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.7% - -------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP No. 45663L403 Page 3 of 11 Pages - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Robert M. Matluck - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 5) SOLE VOTING POWER NUMBER OF 0 SHARES ------------------------------------------------------- BENEFICIALLY 6) SHARED VOTING POWER OWNED BY EACH 0 REPORRTING ------------------------------------------------------- PERSON 7) SOLE DISPOSITIVE POWER WITH 0 ------------------------------------------------------- 8) SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - -------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES See footnote 1. |X| - -------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - -------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP No. 45663L403 Page 4 of 11 Pages - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Andrew Arno - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 5) SOLE VOTING POWER NUMBER OF 10,000 SHARES ------------------------------------------------------- BENEFICIALLY 6) SHARED VOTING POWER OWNED BY EACH 0 REPORRTING ------------------------------------------------------- PERSON 7) SOLE DISPOSITIVE POWER WITH 10,000 ------------------------------------------------------- 8) SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,000 - -------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES See footnote 2. |X| - -------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% - -------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP No. 45663L403 Page 5 of 11 Pages - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON C.E. Unterberg, Towbin, a California Limited Partnership - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION California - -------------------------------------------------------------------------------- 5) SOLE VOTING POWER NUMBER OF 135,000 SHARES ------------------------------------------------------- BENEFICIALLY 6) SHARED VOTING POWER OWNED BY EACH 0 REPORRTING ------------------------------------------------------- PERSON 7) SOLE DISPOSITIVE POWER WITH 135,000 ------------------------------------------------------- 8) SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 135,000 - -------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES See footnote 3. |X| - -------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.0% - -------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP No. 45663L403 Page 6 of 11 Pages - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON C.E. Unterberg Towbin, Towbin Capital Partners I, LP - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5) SOLE VOTING POWER NUMBER OF 50,000 SHARES ------------------------------------------------------- BENEFICIALLY 6) SHARED VOTING POWER OWNED BY EACH 0 REPORRTING ------------------------------------------------------- PERSON 7) SOLE DISPOSITIVE POWER WITH 50,000 ------------------------------------------------------- 8) SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 50,000 - -------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES See footnote 4. |X| - -------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.5% - -------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- - ---------- 1. Each of Messrs. Unterberg and Matluck disclaim beneficial ownership of (i) warrants and notes convertible into 135,000 shares of common stock of the Issuer held by C.E. Unterberg, Towbin, a California Limited Partnership, in which they serve as members of the executive committee of its general partner; and (ii) notes convertible into 50,000 shares of common stock of the Issuer held by C.E. Unterberg, Towbin Capital Partners I, LP, in which they serve as managing directors of its general partner. 2. Mr. Arno disclaims beneficial ownership of warrants and notes convertible into 135,000 shares of common stock of the Issuer held by C.E. Unterberg, Towbin, a California Limited Partnership, in which he serves as a member of the executive committee of its general partner. Schedule 13G ------------ Item 1(a). Name of Issuer: Infinity, Inc. (the "Issuer") Item 1(b). Address of Issuer's Principal Executive Offices: 211 West 14th Street Chanute, Kansas 66720 Item 2(a). Name of Person Filing: Thomas I. Unterberg Robert M. Matluck Andrew Arno C.E. Unterberg, Towbin, a California Limited Partnership ("CA LP") C.E. Unterberg Towbin, Towbin Capital Partners I, LP ("Capital Partners") Item 2(b). Address of Principal Business Office or, if None, Residence: For purposes herein, the principal business address for Messrs. Unterberg, Matluck, and Arno is: c/o C.E. Unterberg, Towbin 350 Madison Avenue New York, New York 10017 For purposes herein, the principal business address of CA LP is: C.E. Unterberg, Towbin, 350 Madison Avenue New York, New York 10017 For purposes herein, the principal business address of Capital Partners is: C.E. Unterberg, Towbin, 350 Madison Avenue, New York, New York 10017 Item 2(c). Citizenship or Place of Organization: Messrs. Unterberg, Matluck and Arno are all US citizens. CA LP: California Capital Partners: Delaware Item 2(d). Title of Class of Securities: Common Stock, $0.0001 par value per share of the Issuer. -7- Item 2(e). CUSIP Number: 45663L403 Item 3. If this statement is filed pursuant to ss.ss. 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a: (a) |X| Broker or Dealer Registered Under Section 15 of the Act (15 U.S.C. 78o) CA LP only. (b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c) (c) |_| Insurance Company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c) (d) |_| Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8) (e) |X| Investment Adviser in accordance with ss. 240.13d-1(b)(1)(ii)(E) CA LP only. (f) |_| Employee benefit plan or endowment fund in in accordance with ss.240.13d-1(b)(1)(ii)(F) (g) |_| Parent Holding Company or control person in accordance withss.240.13d-1(b)(ii)(G) (h) |_| Savings Association as defined inss.3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813) (i) |_| Church plan that is excluded from the definition of an investment company under ss.3(c)(15) of the Investment Company Act of 1940 (15 U.S.C. 80a-3) (j) |_| Group, in accordance withss.240.13d-1(b)(ii)(J) The above classifications are not applicable to Capital Partners or Messrs. Unterberg, Matluck and Arno. Item 4. Ownership. (a) Amount beneficially owned: Mr. Unterberg: 57,500 Mr. Matluck: 0 Mr. Arno: 10,000 CA LP: 135,000 Capital Partners: 50,000 -8- (b) Percent of class: Mr. Unterberg: 1.7% Mr. Matluck: 0% Mr. Arno: 0.3% CA LP: 4.0% Capital Partners: 1.5% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: Mr. Unterberg: 57,500 Mr. Matluck: 0 Mr. Arno: 10,000 CA LP: 135,000 Capital Partners: 50,000 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: Mr. Unterberg: 57,500 Mr. Matluck: 0 Mr. Arno: 10,000 CA LP: 135,000 Capital Partners: 50,000 (iv) Shared power to dispose or to direct the disposition of: 0 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. Each of Messrs. Unterberg and Arno act as trustees with respect to a portion of the shares reported in this filing and therefore they do not have the right to receive the proceeds from the sale of such shares. -9- 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. Exhibit A. Joint Filing Agreement among the Filing Persons. Item 9. Notice of Dissolution of Group. Not Applicable. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. -10- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. November 28, 2001 ------------------------------------- Date /s/ Thomas I. Unterberg ------------------------------------- Thomas I. Unterberg /s/ Robert M. Matluck ------------------------------------- Robert M. Matluck /s/ Andrew Arno ------------------------------------- Andrew Arno C.E. UNTERBERG, TOWBIN, A CALIFORNIA LIMITED PARTNERSHIP By /s/ Andrew Arno ------------------------------------- Name: Andrew Arno Title: Co-Chief Executive Officer C.E. UNTERBERG TOWBIN, CAPITAL PARTNERS I, LP By /s/ Andrew Arno ------------------------------------- Name: Andrew Arno Title: Managing Member -11- Exhibit A JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of statements on Schedule 13G (including amendments thereto) with respect to the shares of common stock, par value $0.0001 per share, of Infinity, Inc., a Colorado corporation, and further agree to the inclusion of this Joint Filing Agreement as an Exhibit to such joint filings. In evidence thereof, the undersigned, being duly authorized, have executed this Joint Filing Agreement this 28th day of November, 2001. /s/ Thomas I. Unterberg ------------------------------------ Thomas I. Unterberg /s/ Robert M. Matluck ------------------------------------ Robert M. Matluck /s/ Andrew Arno ------------------------------------ Andrew Arno C.E. UNTERBERG, TOWBIN, A CALIFORNIA LIMITED PARTNERSHIP By: /s/ Andrew Arno --------------------------------- Name: Andrew Arno Title: Co-Chief Executive Officer C.E. UNTERBERG TOWBIN, CAPITAL PARTNERS I, LP By: /s/ Andrew Arno -------------------------------- Name: Andrew Arno Title: Managing Member -----END PRIVACY-ENHANCED MESSAGE-----