-----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, FfPvm6axWTyAgAb9q81y87Fv6h5uN7e9fB/mqjudLEwm2DOoyTbnjtKiYww+Ub8k dInNRLjvSp2btFN+4OdoNw== 0000933259-99-000042.txt : 19990615 0000933259-99-000042.hdr.sgml : 19990615 ACCESSION NUMBER: 0000933259-99-000042 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990614 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED WATER RESOURCES INC CENTRAL INDEX KEY: 0000715969 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 222441477 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-45817 FILM NUMBER: 99645507 BUSINESS ADDRESS: STREET 1: 200 OLD HOOK RD CITY: HARRINGTON PARK STATE: NJ ZIP: 07640 BUSINESS PHONE: 2017849434 MAIL ADDRESS: STREET 1: 200 OLD HOOK ROAD CITY: HARRINGTON PARK STATE: NJ ZIP: 07640 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LYONNAISE AMERICAN HOLDING INC ET AL CENTRAL INDEX KEY: 0000923816 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 363140269 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 2000 FIRST STATE BOULEVARD CITY: WILMINGTON STATE: DE ZIP: 19804-0508 BUSINESS PHONE: 2017672851 MAIL ADDRESS: STREET 1: 2000 FIRST STATE BOULEVARD CITY: WILMINGTON STATE: DE ZIP: 19804-0508 SC 13D/A 1 AMENDMENT NO. 6, LYONNAISE AMERICAN HOLDING, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 6)* United Water Resources Inc. - -------------------------------------------------------------------- (Name of Issuer) Common Stock, no par value - --------------------------------------------------------------------- (Title of Class of Securities) 0009131901 - --------------------------------------------------------------------- (CUSIP Number) Joseph V. Boyle Lyonnaise American Holding, Inc. 2000 First State Boulevard Wilmington, Delaware 19804-0508 with a copy to: Piper & Marbury L.L.P. 1251 Avenue of the Americas New York, New York 10020-1104 Attention: Garry P. McCormack, Esq. (212) 835-6210 - -------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 1, 1999 ----------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box |_|. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 6 Pages) - -------------- *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 disclosures provided in a prior cover page. The information required on 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). CUSIP No. 0009131901 13D Page 2 of 6 Pages - --------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Lyonnaise American Holding, Inc. IRS Identification No. 36-3140269 - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* SC; OO - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------- -------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 11,687,024.22 -------------------------------------------------------------- -------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- -------------------------------------------------------------- -------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 11,687,024.22 -------------------------------------------------------------- -------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER -0- -------------------------------------------------------------- - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,687,024.22 - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 30.2% - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON HC; CO - --------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 0009131901 13D Page 3 of 6 Pages - --------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Suez Lyonnaise des Eaux - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* SC; OO - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION France - --------------------------------------------------------------------------- -------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 11,687,024.22 -------------------------------------------------------------- -------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- -------------------------------------------------------------- -------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 11,687,024.22 -------------------------------------------------------------- -------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER -0- -------------------------------------------------------------- - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,687,024.22 - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 30.2% - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON HC; CO - --------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 4 of 6 Pages SCHEDULE 13D This Amendment No. 6, dated June 11, 1999, amends and supplements the Statement on Schedule 13D, dated November 30, 1990, as amended and supplemented by Amendments numbers 1 through 5 thereto, filed by Lyonnaise American Holding, Inc., a Delaware corporation ("LAH"), and Suez Lyonnaise des Eaux, a French societe anonyme ("Lyonnaise"), with respect to the common stock, no par value, of United Water Resources Inc., a New Jersey corporation (the "Issuer"). Unless otherwise defined, all capitalized terms used herein shall have the meanings ascribed to them in the Schedule 13D. Item 3 of this Schedule 13D is hereby amended and supplemented as follows: Item 3. Source and Amount of Funds. LAH purchased additional shares of Common Stock by reinvesting cash dividends paid by the Issuer on the Common Stock pursuant to the Issuer's Dividend Reinvestment and Stock Purchase Plan as follows: Dollar No. of Shares of Price Date Amount Reinvested Common Stock Acquired Per Share ---- ----------------- --------------------- --------- June 2, 1998 $2,466,804.83 148,379.2379 $16.6250 September 1, 1998 $2,500,932.06 140,649.5622 $17.7813 December 1, 1998 $2,643,424.13 134,056.0343 $19.7188 March 1, 1999 $2,675,597.58 131,357.6440 $20.3688 June 1, 1999 $2,774,001.09 128,686.3279 $21.5563 On April 22, 1999, LAH converted 334,390 shares of Preference Stock into 278,657 shares of Common Stock at the conversion ratio of 0.83333 shares of Common Stock for each share of Preference Stock. No funds were paid by LAH to effect the conversion of such shares of Preference Stock. Item 5(a) of this Schedule 13D is hereby deleted in its entirety and replaced with the following: Item 5. Interest in Securities of the Issuer. (a) The aggregate number of shares of Common Stock owned by LAH is 11,687,024.22. The Issuer has advised LAH that as of June 1, 1999 there were Page 5 of 6 Pages 38,745,111 shares of Common Stock issued and outstanding after giving effect to the issuance to LAH on April 22, 1999 of 278,657 shares of Common Stock upon conversion of 334,390 shares of Preference Stock. Consequently, LAH currently owns 30.2% of the outstanding Common Stock. Lyonnaise, through its 100% ownership of LAH, may also be deemed to be the beneficial owner of such 11,687,024.22 shares of Common Stock. Mr. Thierry Bourbie, Director of the Issuer and President-Water Division of Lyonnaise, owns 4,518.77 shares of Common Stock, of which 125.55 shares of Common Stock are owned directly and 4,393.22 shares of Common Stock are owned through the Issuer's 1997 Directors Restricted Stock Plan. Mr. George F. Keane, Director of the Issuer and Chairman of Trigen Energy Corporation, an affiliate of Lyonnaise, owns 5,393.22 shares of Common Stock, of which 1,000 shares of Common Stock are owned directly and 4,393.22 shares of Common Stock are owned through the Issuer's 1997 Directors Restricted Stock Plan. Mr. Joseph V. Boyle, Vice President-Finance of LAH, owns 1,501.23 shares of Common Stock, of which 289.34 shares of Common Stock are owned directly and 1211.89 shares of Common Stock are owned through the Issuer's 401(k) plan, and holds directly stock options to purchase an aggregate of 5,150 shares of Common Stock at an exercise price per share that is below the current market price for the Common Stock and stock options to purchase 4,780 shares of Common Stock at an exercise price per share that is above the current market price for Common Stock. Mr. Jean-Michel Brault, Vice President of Lyonnaise, holds directly stock options to purchase an aggregate of 7,500 shares of Common Stock at an exercise price per share that is below the current market price for the Common Stock and stock options to purchase 5,000 shares of Common Stock at an exercise price per share that is above the current market price for the Common Stock. Mr. Charles Chaumin, Director of the Issuer and Vice President-Americas of Lyonnaise, owns 3,158.95 shares of Common Stock, of which 125.55 shares of Common Stock are owned directly and 3,033.40 shares of Common Stock are owned through the Issuer's 1997 Directors Restricted Stock Plan. To the knowledge of LAH and Lyonnaise, no other executive officers or directors of LAH or Lyonnaise beneficially own any shares of Common Stock. Page 6 of 6 Pages Signature. After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: June 14, 1999 LYONNAISE AMERICAN HOLDING, INC. By: /s/ Joseph V. Boyle ------------------------------- Name: Joseph V. Boyle Title: Vice President - Finance SUEZ LYONNAISE DES EAUX By: /s/ Jean-Michel Brault ---------------------- Name: Jean-Michel Brault Title: Vice President -----END PRIVACY-ENHANCED MESSAGE-----