-----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, RZJD/MQ/gXXdaT7PEP4R0r7kiwy6v7Dwwu7chvfAXicv8a3W6gAOblJmzYsGjnIy Fo7dozn7WbZvi3PIOwlogA== /in/edgar/work/20000810/0000950123-00-007395/0000950123-00-007395.txt : 20000921 0000950123-00-007395.hdr.sgml : 20000921 ACCESSION NUMBER: 0000950123-00-007395 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000810 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NUCO2 INC /FL CENTRAL INDEX KEY: 0000947577 STANDARD INDUSTRIAL CLASSIFICATION: [5160 ] IRS NUMBER: 650180800 STATE OF INCORPORATION: FL FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-46469 FILM NUMBER: 691630 BUSINESS ADDRESS: STREET 1: 2820 S E MARKET PLACE CITY: STUART STATE: FL ZIP: 34997 BUSINESS PHONE: 5612211754 MAIL ADDRESS: STREET 1: 2820 SE MARKET PLACE CITY: STUART STATE: FL ZIP: 34997 FORMER COMPANY: FORMER CONFORMED NAME: FOWLER CARBONICS INC DATE OF NAME CHANGE: 19951108 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CHASE CAPITAL INVESTMENTS LP CENTRAL INDEX KEY: 0001121626 STANDARD INDUSTRIAL CLASSIFICATION: [ ] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: CHASE CAPIAL PARTNERS STREET 2: 1221 AVE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 2122702224 MAIL ADDRESS: STREET 1: CHASE CAPITAL INVESTMENTS LP STREET 2: 1221 AVE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 SC 13G 1 sc13g.txt SCHEDULE 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* NuCo2 Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 629428103 (CUSIP Number) May 4, 1999 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / / Rule 13d-1(b) /x/ Rule 13d-1(c) / / Rule 13d-1(d) *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). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1745 (3-98) Page 1 of 10 pages 2 SCHEDULE 13G ISSUER: NUCO2 INC. CUSIP NO.: 629428103 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Chase Capital Investments, L.P. 13-4108945 - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Delaware Organization - -------------------------------------------------------------------------------- Number of 5. Sole Voting 1,187,025.10 (see Schedule Item 4 Shares Power incorporated herein by reference) Beneficially ------------------------------------------------------------- Owned by Each 6. Shared Voting Not applicable. Reporting Power Person With: ------------------------------------------------------------- 7. Sole 1,187,025.10 (see Schedule Item 4 Dispositive incorporated herein by reference) Power ------------------------------------------------------------- 8. Shared Not applicable. Dispositive Power - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially 1,187,025.10 (see Schedule Item 4 Owned by Each incorporated herein by reference) Reporting Person - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11. Percent of Class Represented by 16.3% Amount in Row (9) - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) - -------------------------------------------------------------------------------- Partnership - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- SEC 1745 (3-98) Page 2 of 10 pages 3 SCHEDULE 13G ISSUER: NUCO2 INC. CUSIP NO.: 629428103 Preliminary Note: ITEM 1. (a) NAME OF ISSUER: NuCo2 Inc. (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 2800 S.E. Market Place Stuart, Florida 34997 ITEM 2. (a) NAME OF PERSON FILING: Chase Capital Investments, L.P. Supplemental information relating to the ownership and control of the person filing this statement is included in Exhibit 2(a) attached hereto. (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 1221 Avenue of the Americas New York, New York 10020 (c) CITIZENSHIP: Delaware (d) TITLE OF CLASS OF SECURITIES (OF ISSUER): Common Stock (e) CUSIP NUMBER: 629428103 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240. 13d-1(b) or 240. 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS a: Not applicable. ITEM 4. OWNERSHIP (a) AMOUNT BENEFICIALLY OWNED: 1,187,025.10, composed of (a) immediately exercisable warrants for 651,042 shares; (b) options to purchase 6,000 shares (one-third of which are exercisable commencing October 20, 2000, one-third of which are exercisable commencing October 20, 2001, and one-third of which are exercisable commencing October 20, 2002), which options are held by Richard Waters, a director of the Issuer, who is contractually obligated to exercise the options at the request of, and to transfer any shares issued under the options to, the Reporting Person; and (c) convertible preferred stock, which is immediately convertible into 529,983.10 shares. SEC 1745 (3-98) Page 3 of 10 pages 4 SCHEDULE 13G ISSUER: NUCO2 INC. CUSIP NO.: 629428103 (b) PERCENT OF CLASS: 16.3% based on 7,274,682 shares outstanding as reported by NuCo2 Inc.'s Form 10-Q for the quarterly period ended March 31, 2000. (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) 1,187,025.10 (ii) Not applicable. (iii) 1,187,025.10 (iv) Not applicable. 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 Not applicable. 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 Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. ITEM 10. CERTIFICATIONS 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. SEC 1745 (3-98) Page 4 of 10 pages 5 SCHEDULE 13G ISSUER: NUCO2 INC. CUSIP NO.: 629428103 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: July 31, 2000 CHASE CAPITAL INVESTMENTS, L.P. By: CHASE CAPITAL PARTNERS, its general partner By: /s/ Jeffrey C. Walker ---------------------------------------- Name: Jeffrey C. Walker Title: Managing General Partner SEC 1745 (3-98) Page 5 of 10 pages 6 SCHEDULE 13G ISSUER: NUCO2 INC. CUSIP NO.: 629428103 EXHIBIT 2(a) Item 2. Identity and Background. This statement is being filed by Chase Capital Investments, L.P., a Delaware limited partnership (hereinafter referred to as "CCI"), whose principal office is located at c/o Chase Capital Partners, 1221 Avenue of the Americas, 40th Floor, New York, New York 10020. CCI is engaged in the venture capital and leveraged buyout business. The general partner and investment manager is Chase Capital Partners, a New York general partnership (hereinafter referred to as "CCP"). CCP's principal office is located at the same address as CCI. Set forth below are the names of each general partner of CCP who is a natural person. Each such general partner is a U.S. citizen (except for Messrs. Britts and Meggs, each of whom are citizens of the United Kingdom and Ms. Aidar who is a citizen of Brazil), whose principal occupation is general partner of CCP and whose business address (except for Messrs. Britts, Meggs, Soghikian and Stuart and Ms. Aidar) is c/o Chase Capital Partners, 1221 Avenue of the Americas, New York, New York 10020. Ana Carolina Aidar John R. Baron Christopher C. Behrens Mitchell J. Blutt, M.D. David S. Britts Arnold L. Chavkin David Gilbert Eric Green Michael R. Hannon Donald J. Hofmann Jonathan Meggs Thomas G. Mendell Stephen P. Murray John M.B. O'Connor Robert Ruggiero Susan Segal Shahan D. Soghikian Lindsay Stuart Charles Walker Jeffrey C. Walker Timothy Walsh Rick Waters Damion E. Wicker, M.D. Eric R. Wilkinson Messrs. Britts', Soghikian's and Charles Walker's address is c/o Chase Capital Partners, 50 California Street, Suite 2940, San Francisco, CA 94111. Messrs. Meggs' and Stuart's address is c/o Chase Capital Partners, 125 London Wall, Level 13, London, England EC2Y5AJ. Jeffrey C. Walker is the managing general partner of CCP. The remaining general partners of CCP are Chase Capital Corporation, a New York corporation (hereinafter referred to as "Chase Capital"), CCP Principals, L.P., a Delaware limited partnership (hereinafter referred to as "Principals") and CCP European Principals, L.P., a Delaware limited partnership (hereinafter referred to as "European Principals"), each of whose principal office is located at 1221 Avenue of the Americas, 40th Floor, New York, New York 10020. Chase Capital is a wholly-owned subsidiary of The Chase Manhattan Corporation. The general partner of each of Principals and European Principals is Chase Capital. Chase Capital, Principals and European Principals are each engaged in the venture capital and leveraged buyout business. Set forth in Schedule A hereto and incorporated herein by reference are the names, business addresses and principal occupations or employments of each executive officer and director of Chase Capital, each of whom is a U.S. citizen. SEC 1745 (3-98) Page 6 of 10 pages 7 SCHEDULE 13G ISSUER: NUCO2 INC. CUSIP NO.: 629428103 The Chase Manhattan Corporation (hereinafter referred to as "Chase") is a Delaware corporation engaged (primarily through subsidiaries) in the commercial banking business with its principal office located at 270 Park Avenue, New York, New York 10017. Set forth in Schedule B hereto and incorporated herein by reference are the names, business addresses, principal occupations and employments of each executive officer and director of Chase, each of whom is a U.S. citizen. SEC 1745 (3-98) Page 7 of 10 pages 8 SCHEDULE 13G ISSUER: NUCO2 INC. CUSIP NO.: 629428103 SCHEDULE A CHASE CAPITAL CORPORATION EXECUTIVE OFFICERS Chief Executive Officer William B. Harrison, Jr. * President Jeffrey C. Walker** Executive Vice President Mitchell J. Blutt, M.D. ** Vice President & Secretary Gregory Meredith* Vice President and Treasurer Elisa R. Stein** Vice President Marcia Bateson** Assistant Secretary Robert C. Carroll* Assistant Secretary Anthony J. Horan* Assistant Secretary Denise G. Connors*
DIRECTORS William B. Harrison, Jr.* Jeffrey C. Walker* * - -------- * Principal occupation is employee and/or officer of Chase. Business address is c/o The Chase Manhattan Corporation, 270 Park Avenue, New York, New York 10017. ** Principal occupation is employee of Chase and/or general partner of Chase Capital Partners. Business address is c/o Chase Capital Partners, 1221 Avenue of the Americas, 40th Floor, New York, New York 10020. SEC 1745 (3-98) Page 8 of 10 pages 9 SCHEDULE 13G ISSUER: NUCO2 INC. CUSIP NO.: 629428103 SCHEDULE B THE CHASE MANHATTAN CORPORATION EXECUTIVE OFFICERS William B. Harrison Jr., Chairman and Chief Executive Officer** Donald L. Boudreau, Vice Chairman* John J. Farrell, Director of Human Resources* Neal S. Garonzik, Vice Chairman* Frederick W. Hill, Director of Corporate Marketing and Communications* Donald H. Layton, Vice Chairman* James B. Lee Jr., Vice Chairman* William H. McDavid, General Counsel* Denis J. O'Leary, Executive Vice President* Marc J. Shapiro, Vice Chairman* Joseph G. Sponholz, Vice Chairman* Jeffrey C. Walker, Senior Managing Director** DIRECTORS***
NAME PRINCIPAL OCCUPATION OR EMPLOYMENT; BUSINESS OR RESIDENCE ADDRESS - ----------------------------------------------------------------------------- Hans W. Becherer Chairman of the Board Chief Executive Officer Deere & Company One John Deere Place Moline, IL 61265 - ----------------------------------------------------------------------------- Frank A. Bennack, Jr. President and Chief Executive Officer The Hearst Corporation 959 Eighth Avenue New York, New York 10019 - ----------------------------------------------------------------------------- Susan V. Berresford President The Ford Foundation 320 E. 43rd Street New York, New York 10017 - ----------------------------------------------------------------------------- M. Anthony Burns Chairman of the Board and Chief Executive Officer Ryder System, Inc. 3600 N.W. 82nd Avenue Miami, Florida 33166 - -----------------------------------------------------------------------------
- ----------- * Principal occupation is executive officer and/or employee of The Chase Manhattan Bank. Business address is c/o The Chase Manhattan Bank, 270 Park Avenue, New York, New York 10017. Each executive officer of Chase is a U.S. citizen. ** Principal occupation is employee of Chase and/or general partner of Chase Capital Partners. Business address is c/o Chase Capital Partners, 380 Madison Avenue - 12th Floor, New York, New York 10017. *** Each of the persons named below is a citizen of the United States of America. SEC 1745 (3-98) Page 9 of 10 pages 10 SCHEDULE 13G ISSUER: NUCO2 INC. CUSIP NO.: 629428103
PRINCIPAL OCCUPATION OR EMPLOYMENT; NAME BUSINESS OR RESIDENCE ADDRESS - ----------------------------------------------------------------------------- H. Laurence Fuller Co-Chairman BP Amoco p.l.c. 1111 Warrenville Road, Suite 25 Chicago, Illinois 60563 - ----------------------------------------------------------------------------- Melvin R. Goodes Retired Chairman of the Board and CEO Warner-Lambert Company 201 Tabor Road Morris Plains, NJ 07950 - ----------------------------------------------------------------------------- William H. Gray, III President and Chief Executive Officer The College Fund/UNCF 9860 Willow Oaks Corporate Drive P.O. Box 10444 Fairfax, Virginia 22031 - ----------------------------------------------------------------------------- William B. Harrison, Jr. Chairman and Chief Executive Officer The Chase Manhattan Corporation 270 Park Avenue, 8th Floor New York, New York 10017-2070 - ----------------------------------------------------------------------------- Harold S. Hook Retired Chairman and Chief Executive Officer American General Corporation 2929 Allen Parkway Houston, Texas 77019 - ----------------------------------------------------------------------------- Helene L. Kaplan Of Counsel Skadden, Arps, Slate, Meagher & Flom LLP 919 Third Avenue - Room 29-72 New York, New York 10022 - ----------------------------------------------------------------------------- Henry B. Schacht Director and Senior Advisor E.M. Warburg, Pincus & Co., LLC 466 Lexington Avenue, 10th Floor New York, New York 10017 - ----------------------------------------------------------------------------- Andrew C. Sigler Retired Chairman of the Board and Chief Executive Officer Champion International Corporation One Champion Plaza Stamford, Connecticut 06921 - ----------------------------------------------------------------------------- John R. Stafford Chairman, President and Chief Executive Officer American Home Products Corporation 5 Giralda Farms Madison, New Jersey 07940 - ----------------------------------------------------------------------------- Marina v.N. Whitman Professor of Business Administration and Public Policy The University of Michigan School of Public Policy 411 Lorch Hall, 611 Tappan Street Ann Arbor, MI 48109-1220 - -----------------------------------------------------------------------------
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