-----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, ATGD+Nn8FBA5yLoabkf6c6N7ydJm7xFT6bkxWicZLc+WVmPlD38+EJNbbzQC6++W CrFKipMhbHbg8SqNlgsyPA== 0000935836-03-000214.txt : 20030527 0000935836-03-000214.hdr.sgml : 20030526 20030527130646 ACCESSION NUMBER: 0000935836-03-000214 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030523 FILED AS OF DATE: 20030527 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WASTE CONNECTIONS INC/DE CENTRAL INDEX KEY: 0001057058 STANDARD INDUSTRIAL CLASSIFICATION: REFUSE SYSTEMS [4953] IRS NUMBER: 943283464 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 620 COOLIDGE DRIVE STREET 2: SUITE 350 CITY: FOLSOM STATE: CA ZIP: 95630 BUSINESS PHONE: 9166088200 MAIL ADDRESS: STREET 1: 620 COOLIDGE DRIVE STREET 2: SUITE 350 CITY: FOLSOM STATE: CA ZIP: 95630-3155 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MITTELSTAEDT RONALD J CENTRAL INDEX KEY: 0001064299 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31507 FILM NUMBER: 03719537 BUSINESS ADDRESS: STREET 1: C/O WASTE CONNECTIONS INC STREET 2: 2260 DOUGLAS BLVD SUITE 280 CITY: ROSEVILLE STATE: CA ZIP: 95661 BUSINESS PHONE: 9167722221 MAIL ADDRESS: STREET 1: C/O WASTE CONNECTIONS INC STREET 2: 2260 DOUGLAS BLVD SUITE 280 CITY: ROSEVILLE STATE: CA ZIP: 95661 4 1 primary_doc.xml PRIMARY DOCUMENT 4 2003-05-23 0 0001057058 WASTE CONNECTIONS INC/DE WCN 0001064299 MITTELSTAEDT RONALD J 1 1 0 0 Chairman, President and CEO Forward Purchase Agreement (obligation to sell) 0 2003-05-23 4 J 0 1 0 D 2003-05-23 2003-05-23 Common Stock 300000 0 D The zeros in the above table are placeholders only that are required by the EDGAR software and should be disregarded. On May 23, 2003, the reporting person settled his obligation to deliver shares of Common Stock pursuant to a prepaid forward purchase agreement (the "Agreement") he entered into on May 23, 2000 with an unaffiliated third party (the "Buyer"). The Agreement obligated the reporting person to deliver up to 300,000 shares of Common Stock to the Buyer on May 23, 2003. The reporting person was paid cash by the Buyer in an amount equal to (300,000 x 67% of the Common Stock share price on May 22, 2000), as specified in the Agreement. The reporting person pledged 300,000 shares of Common Stock to the Buyer to secure his obligations under the Agreement and retained voting and dividend rights in the pledged shares during the term of the pledge. The number of shares to be delivered at settlement depended on the closing price of the Common Stock on May 21, 2003 (the "Settlement Price"). If the Settlement Price were less than or equal to $15.54, the reporting person would transfer 300,000 shares to the Buyer. If the Settlement Price were greater than $15.54 but less than or equal to $26.79, the reporting person would transfer a number of shares equal to 300,000 x ($15.54/Settlement Price). If the Settlement Price were greater than $26.79, the reporting person would transfer a number of shares equal to 300,000 x (($15.54 + Settlement Price - $26.97)/Settlement Price). The Settlement Price was $32.00. Accordingly, the reporting person delivered to the Buyer 194,536 shares of Common Stock. Because the Settlement Price was higher than $15.54, the reporting person was not required to deliver 105,464 of the pledged shares. Ronald J. Mittelstaedt 2003-05-23 -----END PRIVACY-ENHANCED MESSAGE-----