-----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, QL/T6TCjIJ+ACjAbeE2F7v+CdEh0ZSpYcoDxeYZ9FXOrSoah3gUHShE4S8hlcpdI Cd9XEWiAz0koI4n1dzNcSw== 0001029869-98-000295.txt : 19980219 0001029869-98-000295.hdr.sgml : 19980219 ACCESSION NUMBER: 0001029869-98-000295 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980218 SROS: NONE 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 SEC ACT: SEC FILE NUMBER: 005-52063 FILM NUMBER: 98544945 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: CASELLA JOHN W CENTRAL INDEX KEY: 0001055352 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: CASELLA WASTE SYSTEMS INC STREET 2: 25 GREENS HILL LN CITY: RUTLAND STATE: VT ZIP: 05701 BUSINESS PHONE: 6175266500 MAIL ADDRESS: STREET 1: CASELLA WASTE SYSTEMS INC STREET 2: 25 GREENS HILL LN CITY: RUTLAND STATE: VT ZIP: 05701 SC 13G 1 CASELLA WASTE SYSTEMS, INC. FORM SC 13G ------------------- OMB APPROVAL ------------------- OMB Number: 3235-0145 Expires: Estimated average UNITED STATES burden hours per SECURITIES AND EXCHANGE COMMISSION response........14.90 Washington, D.C. 20549 -------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Casella Waste Systems, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Class A Common Stock, par value $.01 - -------------------------------------------------------------------------------- (Title of Class of Securities) 14744810 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). * 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). SEC 1745 (2-95) Page 1 of 6 pages - ------------------------- --------------------------- |CUSIP No. 14744810 | 13G | Page 2 of 6 Pages | | -------- | | --- --- | - ------------------------- --------------------------- |--------|--------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | John W. Casella | |--------|---------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | (b) [ ] | | | Inapplicable | |--------|---------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |--------|---------------------------------------------------------------------| | 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | U.S.A. | |--------|-----------------|--------|------------------------------------------| | | 5 | SOLE VOTING POWER | | | | 1,221,616 shares | | NUMBER OF |--------| -----------------------------------------| | SHARES | 6 | SHARED VOTING POWER | | BENEFICIALLY | | 4,800* shares | | OWNED BY ----------------------------------------------------| | EACH | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | 1,221,616 shares | | PERSON ----------------------------------------------------| | WITH | 8 | SHARED DISPOSITIVE POWER | | | | 4,800 shares | |--------|---------------------------------------------------------------------| | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 1,221,616 shares (Includes the following: (a) 562,350 shares | | | of Class A Common Stock; (b) 494,100 shares of Class B Common | | | Stock; (c) 151,666 shares which Mr. Casella has the right to | | | acquire within 60 days of December 31, 1997 upon the exercise | | | of options; and (d) 13,500 shares which Mr. Casella has the | | | right to acquire within 60 days of December 31, 1997 upon the | | | exercise of warrants.) | |--------|- -------------------------------------------------------------------| | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN | | | SHARES* | | | X | |--------|- -------------------------------------------------------------------| | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | | | 11.6% | |--------|- -------------------------------------------------------------------| | 12 | TYPE OF REPORTING PERSON * | | IN | - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 6 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 05401 Item 2(a) Name of Person Filing: ---------------------- John W. Casella Item 2(b) Address of Principal Business Office or if None, Residence: ----------------------------------------------------------- John W. Casella c/o Casella Waste Systems, Inc. 25 Greens Hill Lane Rutland, Vermont 05401 Item 2(c) Citizenship: ------------ United States of America Item 2(d) Title of Class of Securities: ----------------------------- Class A Common Stock, $.01 par value Item 2(e) CUSIP Number: ------------- 14744810 Item 3 Description of Person Filing: ----------------------------- Inapplicable Item 4 Ownership: ---------- (a) Amount Beneficially owned: 1,226,416 This amount includes 4,800 shares held by Mr. Harry R. Ryan III as trustee for Mr. Casella's children, Lauren Casella, Michael Casella, John - ------------------------- * As of December 31, 1997 Page 3 of 6 Casella II, Stephany Casella, Elizabeth Casella and Robert Casella, each a beneficiary of a trust holding 800 shares. Mr. Casella does not have voting power of such shares and disclaims beneficial ownership thereto. In addition, such amount includes the right to acquire within sixty days of December 31, 1997, 165,166 shares upon the exercise of options and warrants. (b) Percent of class: 11.6% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,221,616 (ii) Shared power to vote or to direct the vote: 4,800 (iii) Sole power to dispose or to direct the disposition of: 1,221,616 (iv) Shared power to dispose or to direct the disposition of: 4,800 Item 5 Ownership of Five Percent or Less of a Class: --------------------------------------------- Inapplicable Item 6 Ownership of More than Five Percent on Behalf of Another Person: -------------------------------------------------------- Mr. Harry R. Ryan III has the power to direct the receipt of dividends from, or the proceeds from the sale of, the 4,800 shares subject to the trusts referred to above in Item 4(a), of which Mr. Ryan is the trustee. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: --------------------------------------------------------- Inapplicable Item 8 Identification of Members of the Group: --------------------------------------- Inapplicable Page 4 of 6 Item 9 Notice of Dissolution of a Group: --------------------------------- Inapplicable Item 10 Certification: -------------- Inapplicable Page 5 of 6 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 9, 1998 ---------------------------- Date /s/ John W. Casella ---------------------------- John W. Casella Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----