-----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, QmIoansOaoRzBrwbBdNP3YsUOk0lzqS/oIVrSCZEorzi/xOiJmWHJyxQnxdf4b3I CCOjDGhd6J7FWuSXFp0uzA== 0000891618-98-000727.txt : 19980218 0000891618-98-000727.hdr.sgml : 19980218 ACCESSION NUMBER: 0000891618-98-000727 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980217 SROS: NASD GROUP MEMBERS: CARLO A. VON SCHROETER GROUP MEMBERS: JAMES B. MCELWEE GROUP MEMBERS: MICHAEL F. CRONIN GROUP MEMBERS: MICHAEL P. LAZARUS GROUP MEMBERS: PHILIP W. HALPERIN GROUP MEMBERS: WESTON PRESIDIO CAP MGMT, L.P.(WPCM2) GROUP MEMBERS: WESTON PRESIDIO CAPITAL II LP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CASELLA WASTE SYSTEMS INC CENTRAL INDEX KEY: 0000911177 STANDARD INDUSTRIAL CLASSIFICATION: REFUSE SYSTEMS [4953] IRS NUMBER: 030338873 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-52063 FILM NUMBER: 98540348 BUSINESS ADDRESS: STREET 1: 25 GREENS HILL LANE P O BOX 866 CITY: RUTLAND STATE: VT ZIP: 05701 BUSINESS PHONE: 8027750325 MAIL ADDRESS: STREET 1: 25 GREENE HILL ROAD CITY: RUTLAND STATE: VT ZIP: 05702 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WESTON PRESIDIO CAPITAL II LP CENTRAL INDEX KEY: 0000948620 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 043281586 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE FEDERAL ST 21ST FL CITY: BOSTON STATE: MA ZIP: 02181-2204 BUSINESS PHONE: 6179882500 MAIL ADDRESS: STREET 1: ONE FEDERAL ST 21ST FL CITY: BOSTON STATE: MA ZIP: 02110-2004 SC 13G/A 1 AMENDMENT NO. 1 TO SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 __________ SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Casella Waste Systems, Inc. ----------------------------------------- (Name of Issuer) Common Stock ----------------------------------------- (Title of Class of Securities) 147448-10-4 ----------------------------------------- (CUSIP Number) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) (Page 1 of 15 Pages) 2 CUSIP NO. 868808B-10-7 SCHEDULE 13G PAGE 2 OF 15 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS WESTON PRESIDIO CAPITAL II, L.P. ("WPC2") --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 775,370 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 775,370 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 775,370 SHARES --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.92% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* PN --------------------------------------------------------------------- 3 CUSIP NO. 868808B-10-7 SCHEDULE 13G PAGE 3 OF 15 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS WESTON PRESIDIO CAPITAL II, L.P. ("WPC2") --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 775,370 WPCM2 IS A GENERAL PARTNER OF WPC2. EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 775,370 SHARES DIRECTLY OWNED BY WPC2. WPCM2 IS A GENERAL PARTNER OF WPC2. -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 775,370 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.92% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* PN --------------------------------------------------------------------- 4 CUSIP NO. 868808B-10-7 SCHEDULE 13G PAGE 4 OF 15 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS MICHAEL F. CRONIN --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 775,370 SHARES, DIRECTLY OWNED BY WPC2. EACH WPCM2 IS A GENERAL PARTNER OF WPC2, AND MR. REPORTING CRONIN IS A GENERAL PARTNER OF WPCM2. PERSON WITH -------------------------------------------------------- (7) SOLE DISPOSITIVE POWER -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 775,370 SHARES, DIRECTLY OWNED BY WPC2. WPCM2 IS A GENERAL PARTNER OF WPC2, AND MR. CRONIN IS A GENERAL PARTNER WPCM2. -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 775,370 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.92% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- 5 CUSIP NO. 868808B-10-7 SCHEDULE 13G PAGE 5 OF 15 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS MICHAEL P. LAZARUS --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 775,370 SHARES, DIRECTLY OWNED BY WPC2. EACH WPCM2 IS A GENERAL PARTNER OF WPC2, AND MR. REPORTING LAZARUS IS A GENERAL PARTNER OF WPCM2. PERSON WITH -------------------------------------------------------- (7) SOLE DISPOSITIVE POWER -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 775,370 SHARES, DIRECTLY OWNED BY WPC2. WPCM2 IS A GENERAL PARTNER OF WPC2, AND MR. LAZARUS IS A GENERAL PARTNER WPCM2. -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 775,370 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.92% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- 6 CUSIP NO. 868808B-10-7 SCHEDULE 13G PAGE 6 OF 15 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS JAMES B. MCELWEE --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 775,370 SHARES, DIRECTLY OWNED BY WPC2. EACH WPCM2 IS A GENERAL PARTNER OF WPC2, AND MR. REPORTING McELWEE IS A GENERAL PARTNER OF WPCM2. PERSON WITH -------------------------------------------------------- (7) SOLE DISPOSITIVE POWER -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 775,370 SHARES, DIRECTLY OWNED BY WPC2. WPCM2 IS A GENERAL PARTNER OF WPC2, AND MR. McELWEE IS A GENERAL PARTNER WPCM2. -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 775,370 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.92% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- 7 Page 7 of 15 Pages CUSIP NO. 868808B-10-7 SCHEDULE 13G PAGE 7 OF 15 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS CARLO A. VON SCHROETER --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CANADA --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 775,370 SHARES, DIRECTLY OWNED BY WPC2. EACH WPCM2 IS A GENERAL PARTNER OF WPC2, AND MR. REPORTING VON SCHROETER IS A GENERAL PARTNER OF WPCM2. PERSON WITH -------------------------------------------------------- (7) SOLE DISPOSITIVE POWER -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 775,370 SHARES, DIRECTLY OWNED BY WPC2. WPCM2 IS A GENERAL PARTNER OF WPC2, AND MR. VON SCHROETER IS A GENERAL PARTNER WPCM2. -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 775,370 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.92% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- 8 Page 8 of 15 Pages CUSIP NO. 868808B-10-7 SCHEDULE 13G PAGE 8 OF 15 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS PHILIP W. HALPERIN --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 775,370 SHARES, DIRECTLY OWNED BY WPC2. EACH WPCM2 IS A GENERAL PARTNER OF WPC2, AND MR. REPORTING HALPERIN IS A GENERAL PARTNER OF WPCM2. PERSON WITH -------------------------------------------------------- (7) SOLE DISPOSITIVE POWER -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 775,370 SHARES, DIRECTLY OWNED BY WPC2. WPCM2 IS A GENERAL PARTNER OF WPC2, AND MR. HALPERIN IS A GENERAL PARTNER WPCM2. -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 775,370 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.92% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- 9 Page 9 of 15 Pages ITEM 1(A) NAME OF ISSUER: Casella Waste Systems, Inc. ITEM 1(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 25 Greens Hill Lane Rutland, Vermont 05701 c/o Jerry S. Cifor, CFO ITEM 2(A)-(B) NAME OF PERSON FILING: This statement is being filed by Weston Presidio Capital II, L.P., a Delaware Limited Partnership ("WPC2"), Weston Presidio Capital Management II, L.P., a Delaware Limited Partnership ("WPCM2"), Michael F. Cronin, Michael P. Lazarus, James B. McElwee, Carlo A. von Schroeter and Philip W. Halperin. WPCM2 is the general partner of WPC2; Michael F. Cronin, Michael P. Lazarus, James B. McElwee, Carlo A. von Schroeter and Philip W. Halpern are the individual General Partners of WPCM2. Management of the business affairs of WPCM2, including decisions respecting disposition and/or voting of the Issuer's shares, is by majority decision of the general partners of WPCM2. ITEM 2(B) ADDRESS OF PRINCIPAL BUSINESS OFFICE: The address of the principal business office of the persons filing this satement are set forth in Exhibit B. ITEM 2(C) CITIZENSHIP: See row 4 of cover page for each ITEM 2(D) TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(E) CUSIP NUMBER: 147448-10-4 10 Page 10 of 15 Pages ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B) OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A: Not Applicable ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: See row 9 of cover page for each (b) Percent of Class: See row 11 of cover page for each (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: see row 5 of cover page for each (ii) shared power to vote or to direct the vote: see row 6 of cover page for each (iii) sole power to dispose or to direct the disposition of: see row 7 of cover page for each (iv) shared power to dispose or to direct the disposition of: see row 8 of cover page for each 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. Under certain circumstances set forth in the limited partnership agreements of WPC2, WPCM2, the general and limited partners of such entities may have the right to receive dividends from, or the proceeds from the sale of shares of Common Stock of Casella Waste Systems, Inc. owned by such entity. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not Applicable 11 Page 11 of 15 Pages ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. The reporting persons may be deemed to be a "group" for purposes of Section 13(d) and 13(g) of the Act and the rules thereunder; however, each of the reporting persons expressly disclaims any assertion or presumption that it or the other reporting persons constitute a "group". The filing of this statement should not be construed to be an admission that any of the reporting persons is a member of a "group" consisting of one or more persons. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not Applicable ITEM 10. CERTIFICATION. Not Applicable SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 13, 1998 WESTON PRESIDIO CAPITAL II L.P. By: WESTON PRESIDIO CAPITAL MANAGEMENT II, L.P. By: /s/ Michael F. Cronin ------------------------------------------- General Partner WESTON PRESIDIO CAPITAL MANAGEMENT II, L.P. By: /s/ Michael F. Cronin ------------------------------------------- General Partner 12 Page 12 of 15 Pages /s/ Michael F. Cronin - ------------------------------------------- Michael F. Cronin /s/ Michael P. Lazarus - ------------------------------------------- Michael P. Lazarus /s/ James B. McElwee - ------------------------------------------- James B. McElwee /s/ Carlo A./ von Schoeter - ------------------------------------------- Carlo A. von Schoeter /s/ Philip W. Halperin - ------------------------------------------- Philip W. Halperin 13 Page 13 of 15 Pages EXHIBIT A Agreement Relating to Joint Filing of Schedule 13G The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of Casella Waste Systems, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. Dated: February 13, 1998 WESTON PRESIDIO CAPITAL II, L.P. By: WESTON PRESIDIO CAPITAL MANAGEMENT II, L.P. By: /s/ Michael F. Cronin ------------------------------------------- General Partner WESTON PRESIDIO CAPITAL MANAGEMENT, L.P. By: /s/ Michael F. Cronin ------------------------------------------- General Partner /s/ Michael F. Cronin - ------------------------------------------------- Michael F. Cronin /s/ Michael P. Lazarus - ------------------------------------------------- Michael P. Lazarus /s/ James B. McElwee - ------------------------------------------------- James B. McElwee /s/ Carlo A. von Schroeter - ------------------------------------------------- Carlo A. von Schroeter 14 Page 14 of 15 Pages /s/ Philip W. Halperin - ------------------------------------------------- Philip W. Halperin 15 Page 15 of 15 Pages EXHIBIT B Principal Business Office of Reporting Person 1. (a) Weston Presidio Capital II, L.P. (b) One Federal Street, 21st Floor Boston, MA 02110-2004 2. (a) Weston Presido Capital Management II, L.P. (b) One Federal Street, 21st Floor Boston, MA 02110-2004 3. (a) Michael P. Lazarus (b) Weston Presidio Capital Management II, L.P. 343 Sansome Street Suite 1210 San Francisco, CA 94104 4. (a) Michael F. Cronin (b) Weston Presidio Capital Management II, L.P. One Federal Street, 21st Floor Boston, MA 02110-2004 5. (a) James B. McElwee (b) Weston Presidio Capital Management II, L.P. 343 Sansome Street Suite 1210 San Francisco, CA 94104 6. (a) Carlo A. von Schroeter (b) Western Presidio Capital Management II, L.P. One Federal Street, 21st Floor Boston, MA 02011-2004 7. (a) Philip W. Halperin (b) Western Presidio Capital Management II, L.P. 343 Sansome Street Suite 1210 San Francisco, CA 94104 -----END PRIVACY-ENHANCED MESSAGE-----