-----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, Rfus4lGai0Tmp9Zk4YjfF4PCVFACa+QpVKWgm9fYCU2z8yncEnqK8F0EAYQLI4Nx dlRSpjC9Im9KExxn4QLRtg== 0000894579-06-000106.txt : 20060308 0000894579-06-000106.hdr.sgml : 20060308 20060308090019 ACCESSION NUMBER: 0000894579-06-000106 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20060308 DATE AS OF CHANGE: 20060308 GROUP MEMBERS: ANTHONY R. MOORE GROUP MEMBERS: MCC EUROPE LIMITED GROUP MEMBERS: MOORE, CLAYTON & CO., INC. GROUP MEMBERS: SHARON CLAYTON SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EQUUS II INC CENTRAL INDEX KEY: 0000878932 IRS NUMBER: 760345915 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44023 FILM NUMBER: 06671715 BUSINESS ADDRESS: STREET 1: 2727 ALLEN PKWY STREET 2: 13TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77019 BUSINESS PHONE: 7135290900 MAIL ADDRESS: STREET 1: 2727 ALLEN PARKWAY STREET 2: 13TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77019 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MCC Europe LTD CENTRAL INDEX KEY: 0001332443 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: AURORA HOUSE STREET 2: 5-6 CARLOS PLACE CITY: LONDON STATE: X0 ZIP: W1K 3AP BUSINESS PHONE: (0) 207 907 9850 MAIL ADDRESS: STREET 1: AURORA HOUSE STREET 2: 5-6 CARLOS PLACE CITY: LONDON STATE: X0 ZIP: W1K 3AP SC 13D/A 1 mcc13da.txt SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3) Equus II Incorporated --------------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 294766100 --------- (CUSIP Number) Kenneth I. Denos, Esq. MCC Europe Limited 10757 South River Front Parkway, Suite 125 South Jordan, UT 84095 (801) 816-2536 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 23, 2006 ----------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ] Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See rule 13d-7 for other parties to whom copies are to be sent. *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 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. Page 1 of 13
- ------------------------------- CUSIP No. 294766100 - ------------------------------- --------- ------------------------------------------------------------------------------------------------------ NAME OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) MCC Europe Limited --------- ------------------------------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] 2 (b) [ ] --------- ------------------------------------------------------------------------------------------------------ SEC USE ONLY 3 --------- ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS (See Instructions) OO --------- ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] --------- ------------------------------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United Kingdom ----------------------- --------- ------------------------------------------------------------------------------ SOLE VOTING POWER 7 Number of 1,463,013 Shares --------- ------------------------------------------------------------------------------ Beneficially Owned SHARED VOTING POWER by Each 8 Reporting Person N/A with --------- ------------------------------------------------------------------------------ SOLE DISPOSITIVE POWER 9 1,463,013 --------- ------------------------------------------------------------------------------ SHARED DISPOSITIVE POWER 10 N/A ----------- ---------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,463,013 ----------- ---------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] ----------- ---------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 19.8% ----------- ---------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO ----------- ----------------------------------------------------------------------------------------------------
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- ------------------------------- CUSIP No. 294766100 - ------------------------------- --------- ------------------------------------------------------------------------------------------------------ NAME OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Moore, Clayton & Co., Inc. --------- ------------------------------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] 2 (b) [ ] --------- ------------------------------------------------------------------------------------------------------ SEC USE ONLY 3 --------- ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS (See Instructions) N/A --------- ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] --------- ------------------------------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 Delaware ----------------------- --------- ------------------------------------------------------------------------------ SOLE VOTING POWER 7 Number of 1,463,013 Shares --------- ------------------------------------------------------------------------------ Beneficially Owned SHARED VOTING POWER by Each 8 Reporting Person N/A with --------- ------------------------------------------------------------------------------ SOLE DISPOSITIVE POWER 9 1,463,013 --------- ------------------------------------------------------------------------------ SHARED DISPOSITIVE POWER 10 N/A ----------- ---------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,463,013 ----------- ---------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] ----------- ---------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 19.8% ----------- ---------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO ----------- ----------------------------------------------------------------------------------------------------
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- ------------------------------- CUSIP No. 294766100 - ------------------------------- --------- ------------------------------------------------------------------------------------------------------ NAME OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Anthony R. Moore --------- ------------------------------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] 2 (b) [ ] --------- ------------------------------------------------------------------------------------------------------ SEC USE ONLY 3 --------- ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS (See Instructions) N/A --------- ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] --------- ------------------------------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United Kingdom and United States of America ----------------------- --------- ------------------------------------------------------------------------------ SOLE VOTING POWER 7 Number of 1,463,013 Shares --------- ------------------------------------------------------------------------------ Beneficially Owned SHARED VOTING POWER by Each 8 Reporting Person N/A with --------- ------------------------------------------------------------------------------ SOLE DISPOSITIVE POWER 9 1,463,013 --------- ------------------------------------------------------------------------------ SHARED DISPOSITIVE POWER 10 N/A ----------- ---------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,463,013 ----------- ---------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] ----------- ---------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 19.8% ----------- ---------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ----------- ----------------------------------------------------------------------------------------------------
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- ------------------------------- CUSIP No. 294766100 - ------------------------------- --------- ------------------------------------------------------------------------------------------------------ NAME OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Sharon Clayton --------- ------------------------------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] 2 (b) [ ] --------- ------------------------------------------------------------------------------------------------------ SEC USE ONLY 3 --------- ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS (See Instructions) N/A --------- ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] --------- ------------------------------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States of America ----------------------- --------- ------------------------------------------------------------------------------ SOLE VOTING POWER 7 Number of 1,463,013 Shares --------- ------------------------------------------------------------------------------ Beneficially Owned SHARED VOTING POWER by Each 8 Reporting Person N/A with --------- ------------------------------------------------------------------------------ SOLE DISPOSITIVE POWER 9 1,463,013 --------- ------------------------------------------------------------------------------ SHARED DISPOSITIVE POWER 10 N/A ----------- ---------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,463,013 ----------- ---------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] ----------- ---------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 19.8% ----------- ---------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ----------- ----------------------------------------------------------------------------------------------------
Page 5 of 13 Item 1. Security and Issuer This Amendment No. 3 to the statement on Schedule 13D (the "Amendment") amends the statement on Schedule 13D filed with the Securities and Exchange Commission on July 8, 2005 and as amended by Amendment Nos. 1 and 2 to the Schedule 13D filed with the Securities and Exchange Commission on July 11, 2005 and January 10, 2006, respectively, on behalf of Equus II Incorporated, a Delaware corporation (the "Fund"), and relates to the shares of common stock (the "Common Stock") of the Fund. The principal executive offices of the Fund are located at 2727 Allen Parkway, 13th Floor, Houston, TX 77019. Item 2. Identity and Background This statement is being filed jointly by: MCC Europe Limited ("MCCE"), Moore, Clayton & Co., Inc. ("MCC"), Anthony R. Moore and Sharon Clayton (the "Reporting Persons"). MCCE is organized under the laws of the United Kingdom. Its principal office is located at 14 Hay's Mews, London W1J 5PT United Kingdom. MCCE provides business consulting services in the United Kingdom. MCCE is a wholly-owned subsidiary of MCC. MCC is organized under of the laws of the state of Delaware and is the parent company of, among other entities, (a) MCCE and (b) the Fund's investment manager, Moore, Clayton Capital Advisors Inc. ("MCCA"). MCC's principal office is located at 10757 South River Front Parkway, Suite 125, South Jordan, UT 84095. The firm is an international private equity investment and advisory firm with offices in Los Angeles, San Francisco, New York, London, Cape Town, and Johannesburg. Anthony R. Moore is the Co-Chairman of the Board and Co-Chief Executive Officer of MCC and owns 24.25% of the voting equity in MCC. Mr. Moore's business address is 14 Hay's Mews, London W1J 5PT United Kingdom. Mr. Moore is a citizen of the United Kingdom and the United States of America. Sharon Clayton is Co-Chairman of the Board and Co-Chief Executive Officer of MCC and owns 25.77% of the voting equity in MCC. Her business address is 10757 South River Front Parkway, Suite 125, South Jordan, UT 84095. Ms. Clayton is a citizen of the United States of America. Pursuant to General Instruction C and the instructions to Item 2 of this statement, set forth in Exhibit A are the respective names, business addresses, principal present occupations and citizenships of Mr. Moore, Ms. Clayton and the other executive officers, directors and control persons of each of MCCE and MCC. None of the Reporting Persons has, during the last five years, been convicted in a criminal proceeding. In addition, none of the Reporting Persons has, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Item 3. Source and Amount of Funds or Other Consideration Item 3 of Schedule 13D is supplemented by the information below. MCCE sold 315,000 shares of the Fund to a private party at a price of $7.08 per share. Page 6 of 13 Item 4. Purpose of Transaction Item 3 of Schedule 13D is supplemented by the information below. All of the shares purchased as reported on Schedule 13D and Amendments 1 and 2 thereto were acquired for investment purposes. The shares disposed of as described in this Amendment 3 to this Schedule 13D were sold to generate capital to pay some long-term debt. Except as set forth in this Statement, the Reporting Persons have no present plans or proposals which relate to or could result in any of the matters referred to in paragraphs (a) through (j), inclusive, of Item 4 of Schedule 13D (although they reserve the right to develop any such plans or proposals). Item 5. Interests in Securities of the Issuer Item 5 of Schedule 13D is supplemented by the information below. (a) The Reporting Persons beneficially own 1,463,013 shares of Common Stock, which represent approximately 19.8% of the issued and outstanding shares of Common Stock. (b) The Reporting Persons have the power to vote, or direct the vote, and dispose of, or direct the disposition of, 1,463,013 shares of Common Stock, which represent approximately 19.8% of the outstanding shares of Common Stock. (c) During the past 60 days, MCCE sold the following shares of Common Stock: Date of Sale Number of Shares Price Received/ Where and How of Common Stock Share Sold Transaction Effected - ------------ ------------------- --------------- -------------------- February 23, 2006 315,000 $7.08 Privately Negotiated (d) No other person is known by any Reporting Person to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Common Stock beneficially owned by any Reporting Person. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with respect to Securities of the Issuer. MCCA is the investment adviser to the Fund pursuant to an investment management agreement dated June 30, 2005. Page 7 of 13 Item 7. Materials to be filed as Exhibits. Exhibit A. Officers and Directors of MCC and MCCE Exhibit B. Joint Filing Agreement. Page 8 of 13 SIGNATURES 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. MCC EUROPE LIMITED By: /s/ Kenneth I. Denos* ----------------------------------------- Name: Kenneth I. Denos Title: Director MOORE, CLAYTON & CO., INC. By: /s/ Kenneth I. Denos* ----------------------------------------- Name: Kenneth I. Denos Title: Executive Vice President ANTHONY R. MOORE By: /s/ Anthony R. Moore* ----------------------------------------- SHARON CLAYTON By: /s/ Sharon Clayton* ----------------------------------------- *By: /s/Robert A. Robertson ---------------------- Name: Robert A. Robertson Title: Attorney-in-fact(1) - ------------------------- (1)Powers of Attorney incorporated by reference to Exhibits C-E to Schedule 13D/A filed with the Securities and Exchange Commission on July 11, 2005. Page 9 of 13 EX-99 3 exhibita.txt EX A - OFFICERS AND DIRECTORS OF MCE AND MCCE EXHIBIT A --------- Officers and Directors of MCC and MCCE ----------------------------------------- MCCE is a wholly-owned subsidiary of MCC, and therefore MCC ultimately controls MCCE. The name, business address, present principal occupation, and citizenship of each director, executive officer and control person of MCCE, and each executive officer and director of MCC, are set forth below.
Name and Business Principal Occupation Citizenship Address and Name, Principal Business and Address of the Employing Organizations Anthony R. Moore MCC --- United Kingdom and Executive Chairman. Mr. Moore also owns 24.25% of the United States of 14 Hay's Mews voting equity in MCC. MCC is an international private equity America London W1J 5TP investment and advisory firm. MCC's principal office is located United Kingdom at 10757 South River Front Parkway, Suite 125, South Jordan, UT 84095. MCCE ---- Co-Chairman of the Board and Co-Chief Executive Officer. MCCE provides business consulting services in the United Kingdom. MCCE's principal office is located at 14 Hay's Mews, London W1J 5PT United Kingdom. MCCA ---- Chairman of the Board. MCCA is an SEC-registered investment adviser, and provides investment management services to the Fund. MCCA's principal office is located at 2727 Allen Parkway, 13th Floor, Houston, TX 77019. Equus II Incorporated --------------------- Chairman of the Board, President and CEO. Equus II Incorporated is a closed-end fund, business development company, and is listed on the New York Stock Exchange. Equus II Incorporated's principal office is located at 2727 Allen Parkway, 13th Floor, Houston, TX 77019.
Name and Business Principal Occupation Citizenship Address and Name, Principal Business and Address of the Employing Organizations Sharon Clayton MCC ---- United States of Chief Executive Officer and Director. Ms. Clayton also owns America 10757 South River Front 25.77% of the voting equity in MCC. MCC is an international Parkway, Suite 125, South private equity investment and advisory firm. MCC's principal Jordan, UT 84095 office is located at 10757 South River Front Parkway, Suite 125, South Jordan, UT 84095. MCCE ---- Co-Chairman of the Board and Co-Chief Executive Officer. MCCE provides business consulting services in the United Kingdom. MCCE's principal office is located at 14 Hay's Mews, London W1J 5PT United Kingdom. MCCA ---- Co-Chairman of the Board. MCCA is an SEC-registered investment adviser, and provides investment management services to the Fund. MCCA's principal office is located at 2727 Allen Parkway, 13th Floor, Houston, TX 77019. Equus II Incorporated --------------------- Vice Chairman. Equus II Incorporated is a closed-end fund, business development company, and is listed on the New York Stock Exchange. Equus II Incorporated's principal office is located at 2727 Allen Parkway, 13th Floor, Houston, TX 77019.
Name and Business Principal Occupation Citizenship Address and Name, Principal Business and Address of the Employing Organizations Kenneth I. Denos MCC United States of ---- 10757 South River Front Executive Vice President, General Counsel, Secretary and America Parkway, Suite 125,South Director. Mr. Denos also owns 13.78% of the voting equity in Jordan, UT 84095 MCC. MCC is an international private equity investment and advisory firm. MCC's principal office is located at 10757 South River Front Parkway, Suite 125, South Jordan, UT 84095. MCCE --- Director. MCCE provides business consulting services in the United Kingdom. MCCE's principal office is located at 14 Hay's Mews, London W1J 5PT United Kingdom. MCCA --- Vice President and Secretary of MCCA. MCCA is an SEC- registered investment adviser, and provides investment management services to the Fund. MCCA's principal office is located at 2727 Allen Parkway, 13th Floor, Houston, TX 77019. Equus II Incorporated --- Executive Vice President and Secretary. Equus II Incorporated is a closed-end fund, business development company, and is listed on the New York Stock Exchange. Equus II Incorporated's principal office is located at 2727 Allen Parkway, 13th Floor, Houston, TX 77019. Other --- Chairman and Chief Executive Officer of SportsNuts, Inc., which organizes and manages amateur sports events, provides online registration, event sponsorship, event coordination, online and offline promotion, and merchandise sales. SportsNuts, Inc. is located at 10757 South River Front Parkway, Suite 125, South Jordan, UT 84095. President of Kenneth I. Denos, P.C., which provides legal services. Kenneth I. Denos, P.C. is located at 10757 South River Front Parkway, Suite 125, South Jordan, UT 84095.
EX-99 4 exhibitb.txt EXH B - JOINT FILING AGREEMENT EXHIBIT B --------- JOINT FILING AGREEMENT ----------------------- In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, the undersigned hereby agree to the joint filing with all other persons signatory below of a statement on Schedule 13D or any amendments thereto, with respect to the common stock of Equus II Incorporated and that this Agreement be included as an attachment to such filing. This Agreement may be executed in any number of counterparts each of which shall be deemed an original and all of which together shall be deemed to constitute one and the same Agreement. IN WITNESS WHEREOF, the undersigned hereby execute this Agreement on July 8, 2005. MCC EUROPE LIMITED By: /s/ Kenneth I. Denos* --------------------- Name: Kenneth I. Denos Title: Director MOORE, CLAYTON & CO., INC. By: /s/ Kenneth I. Denos* --------------------- Name: Kenneth I. Denos Title: Executive Vice President ANTHONY R. MOORE By: /s/ Anthony R. Moore* --------------------- SHARON CLAYTON By: /s/ Sharon Clayton* --------------------- * By: /s/ Robert A. Robertson --------------------- Name: Robert A. Robertson Title: Attorney-in-fact -----END PRIVACY-ENHANCED MESSAGE-----