-----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, DxOYV2fZN3ho86FlosOY6oghx+wlLzqxENLkSZcF6SoEeoDFtbMuYdmXqKAj6YDg LknIwYS9vLkHTaG4tDeUiQ== 0000950148-00-000665.txt : 20000411 0000950148-00-000665.hdr.sgml : 20000411 ACCESSION NUMBER: 0000950148-00-000665 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000410 GROUP MEMBERS: ARBCO ASSOCIATES LP GROUP MEMBERS: KAYNE ANDERSON DIVERSIFIED CAPITAL PARTNERS GROUP MEMBERS: KAYNE ANDERSON INVESTMENT MANAGEMENT LLC GROUP MEMBERS: KAYNE ANDERSON NON-TRADITIONAL INVESTMENTS GROUP MEMBERS: RICHARD A KAYNE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GLACIER WATER SERVICES INC CENTRAL INDEX KEY: 0000883505 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-NONSTORE RETAILERS [5960] IRS NUMBER: 330493559 STATE OF INCORPORATION: DE FISCAL YEAR END: 1226 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-42316 FILM NUMBER: 597194 BUSINESS ADDRESS: STREET 1: 2261 COSMOS CT CITY: CARLSBAD STATE: CA ZIP: 92009 BUSINESS PHONE: 6199302420 MAIL ADDRESS: STREET 1: 2261 COSMOS CT CITY: CARLSBAD STATE: CA ZIP: 92009 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KAYNE ANDERSON INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001021223 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 954575414 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1800 AVE OF THE STAR 2ND FL CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 3105562721 MAIL ADDRESS: STREET 1: 1800 AVENUE OF THE STARS 2ND FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 SC 13D/A 1 SCHEDULE 13D (AMENDMENT NO. 12) 1 OMB APPROVAL OMB Number: 3235-0145 Expires: August 31, 1991 Estimated average burden hours per response 14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 12)* GLACIER WATER SERVICES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 376395109 - -------------------------------------------------------------------------------- (CUSIP Number) DAVID J. SHLADOVSKY, C/O KAYNE ANDERSON CAPITAL ADVISORS, L.P. 1800 AVENUE OF THE STARS, SECOND FLOOR, LOS ANGELES, CA 90067 (310) 556-2721 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 03/08/2000 - -------------------------------------------------------------------------------- (Date of Event which Requires Piling 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-l(b) (3) or (4), check the following box [ ]. Check the following box if a fee is being paid with the statement [ ]. (A fee is not required only if the reporting 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.) NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-l(a) 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 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). PAGE 1 OF 9 2 CUSIP NO. 376395109 SCHEDULE 13D PAGE 2 OF 9 PAGES ............................................................................... 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (A) KAYNE ANDERSON CAPITAL ADVISORS, L.P. - 95-4486379 (B) RICHARD A. KAYNE - ###-##-#### ............................................................................. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] ............................................................................... 3 SEC USE ONLY ............................................................................... 4 SOURCE OF FUNDS* ............................................................................... 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] ............................................................................... 6 CITIZENSHIP OR PLACE OF ORGANIZATION (A) IS A CALIFORNIA LIMITED PARTNERSHIP (B) IS A U.S. CITIZEN ............................................................................... 7 SOLE VOTING POWER (A) 0 NUMBER OF (B) 134,366 SHARES ........................................... BENEFICIALLY 8 SHARED VOTING POWER OWNED BY (A) 1,065,146 EACH REPORTING (B) 1,065,146 PERSON WITH ........................................... 9 SOLE DISPOSITIVE POWER (A) 0 (B) 134,366 ........................................... 10 SHARED DISPOSITIVE POWER (A) 1,065,146 (B) 1,065,146 ............................................................................... 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON* (A) 1,065,146 (B) 1,199,512 ............................................................................... 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] ............................................................................... 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 (A) 37.58% (B) 42.33% ............................................................................... 12 TYPE OF REPORTING PERSON* (A) IA (B) IN ............................................................................... *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 2 OF 9 3 CUSIP NO. 376395109 SCHEDULE 13D PAGE 3 OF 9 PAGES ............................................................................... 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ARBCO Associates, L.P. - 95-3214739 ............................................................................... 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] ............................................................................... 3 SEC USE ONLY ............................................................................... 4 SOURCE OF FUNDS* ............................................................................... 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] ............................................................................... 6 CITIZENSHIP OR PLACE OF ORGANIZATION A CALIFORNIA LIMITED PARTNERSHIP ............................................................................... 7 SOLE VOTING POWER NUMBER OF 0 SHARES ........................................... BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH REPORTING 337,248 PERSON WITH ........................................... 9 SOLE DISPOSITIVE POWER 0 ........................................... 10 SHARED DISPOSITIVE POWER 337,248 ............................................................................... 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON* 337,248 ............................................................................... 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] ............................................................................... 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11.90% ............................................................................... 12 TYPE OF REPORTING PERSON* PN ............................................................................... *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 3 OF 9 4 CUSIP NO. 376395109 SCHEDULE 13D PAGE 4 OF 9 PAGES ............................................................................... 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON KAYNE, ANDERSON NON-TRADITIONAL INVESTMENTS, L.P. - 95-4198602 ............................................................................... 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] ............................................................................... 3 SEC USE ONLY ............................................................................... 4 SOURCE OF FUNDS* ............................................................................... 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] ............................................................................... 6 CITIZENSHIP OR PLACE OF ORGANIZATION A CALIFORNIA LIMITED PARTNERSHIP ............................................................................... 7 SOLE VOTING POWER NUMBER OF 0 SHARES ........................................... BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH REPORTING 208,740 PERSON WITH ........................................... 9 SOLE DISPOSITIVE POWER 0 ........................................... 10 SHARED DISPOSITIVE POWER 208,740 ............................................................................... 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON* 208,740 ............................................................................... 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] ............................................................................... 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.37% ............................................................................... 12 TYPE OF REPORTING PERSON* PN ............................................................................... *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 4 OF 9 5 CUSIP NO. 376395109 SCHEDULE 13D PAGE 5 OF 9 PAGES ............................................................................... 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON KAYNE ANDERSON DIVERSIFIED CAPITAL PARTNERS, L.P. - 95-4111006 ............................................................................... 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] ............................................................................... 3 SEC USE ONLY ............................................................................... 4 SOURCE OF FUNDS* ............................................................................... 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] ............................................................................... 6 CITIZENSHIP OR PLACE OF ORGANIZATION A CALIFORNIA LIMITED PARTNERSHIP ............................................................................... 7 SOLE VOTING POWER NUMBER OF 0 SHARES ........................................... BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH REPORTING 309,958 PERSON WITH ........................................... 9 SOLE DISPOSITIVE POWER 0 ........................................... 10 SHARED DISPOSITIVE POWER 309,958 ............................................................................... 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON* 309,958 ............................................................................... 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] ............................................................................... 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.94% ............................................................................... 12 TYPE OF REPORTING PERSON* PN ............................................................................... *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 5 OF 9 6 United States Securities and Exchange Commission SCHEDULE 13D AMENDMENT NO. 12 ********************* ITEM 1. SECURITY AND ISSUER Common Stock, with $0.01 Par Value. Glacier Water Services, Inc. 2261 Cosmos Court Carlsbad, CA 92009 ITEM 2. IDENTITY AND BACKGROUND a. KAYNE ANDERSON INVESTMENT MANAGEMENT, INC. Kayne Anderson Investment Management, Inc. (KAIM, Inc.), a Nevada corporation, serves as general partner of Kayne Anderson Capital Advisors, L.P. (KACA), a California limited partnership. KACA is an investment adviser registered under the Investment Advisers Act. It serves as general partner of and investment adviser to various investment funds, including the following holders of the issuer's Common Stock: ARBCO Associates, L.P., Kayne, Anderson Non-Traditional Investments, L.P., Kayne Anderson Diversified Capital Partners, L.P. and Kayne Anderson capital Partners, L.P., each of which is a California limited partnership. KACA also serves as investment adviser to other clients, some of which hold the issuer's Common Stock. The principal business address of KAIM, Inc., KACA and the investment limited partnerships is 1800 Avenue of the Stars, Second Floor, Los Angeles, California 90067. During the past five years, none of KAIM, Inc., KACA, or the four investment limited partnerships has been convicted in a criminal proceeding nor has any of them been a party to a civil proceeding of a judicial or administrative body or the subject of any judgments, decrees or final orders from the regulatory bodies. b. RICHARD A. KAYNE Mr. Kayne, a U.S. citizen, is President, Chief Executive Officer and Director of KAIM, Inc. He also serves as Manager of Kayne Anderson Investment Management, LLC, a California limited liability company (KAIM, LLC), and President and Director of KA Associates, Inc., a Nevada corporation (KA). KAIM, LLC is a registered investment adviser. KA is a registered broker/dealer. The principal business address of KAIM, LLC and KA is 1800 Avenue of the Stars, Second Floor, Los Angeles, CA 90067. Mr. Kayne is the controlling shareholder (or member) of KAIM, Inc., KAIM, LLC and KA. Mr. Kayne is Chairman of Glacier Water Services, Inc. During the past five years, none of Mr. Kayne, KAIM, LLC or KA has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), nor has any of them been a party to a civil proceeding of a judicial or administrative body or the subject of any judgments, decrees or final orders from the regulatory bodies. PAGE 6 OF 9 7 c. The following persons (in addition to Mr. Kayne) are officers and/or directors of one or more of KAIM, Inc., KA and KAIM, LLC. Each such person is a U.S. citizen whose address is 1800 Avenue of the Stars, Second Floor, Los Angeles, California 90067. During the past five years, none of such persons has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), nor has any of them been a party to a civil proceeding of a judicial or administrative body or the subject of any judgments, decrees or final orders from the regulatory bodies. JOHN E. ANDERSON. Chairman of Topa Equities, Ltd., a diversified investment company located at 1800 Avenue of the Stars, Suite 1400, Los Angeles, California 90067. Mr. Anderson is also Director of KAIM, Inc. and KA. DAVID E. GODDARD. Chief Financial Officer of KAIM, Inc. and KA. ALLAN M. RUDNICK. Manager of KAIM, LLC HOWARD M. ZELIKOW. Vice President and Director of KAIM, Inc. ROBERT V. SINNOTT. Vice President of KAIM, Inc. and Director of Glacier Water Services, Inc. RALPH E. WALTER. Chief Operating Officer of KAIM, Inc. JERRY R. WELCH. Vice President of KAIM, Inc. and Chairman/CEO of Glacier Water Services, Inc. DAVID J. SHLADOVSKY. General Counsel and Secretary of KAIM, Inc. and KA. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Investment partnership and other managed account funds were derived by a combination of cash and security contributions by limited partners or the managed account holder, as applicable. ITEM 4. PURPOSE OF TRANSACTION The shares of the issuer were purchased for investment purposes. Richard A. Kayne, KACA, and KAIM, LLC, on behalf of themselves and their managed accounts, will consider making further sales or purchases of the shares. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER a. KACA and Richard A. Kayne report beneficial ownership of 1,065,146 and 1,199,512 shares, representing 37.58% and 42.33% of the shares outstanding, respectively. b. KACA has shared voting and dispositive power (with Richard A. Kayne) over its 1,065,146 shares. Richard A. Kayne has sole voting and dispositive power over 134,366 shares and shared voting and dispositive power (with KACA, KAIM, Inc. or KAIM, LLC) over 1,065,146 shares. The shares over which Mr. Kayne has sole voting and dispositive power are held by him directly or by accounts for which he serves as trustee or custodian. The shares over which Mr. Kayne and KACA have shared voting and dispositive power are held by accounts for which KACA serves as investment adviser (and, in some cases, as general partner). The shares over which Mr. Kayne and KAIM, LLC have shared voting and dispositive power are held by accounts for which KAIM, LLC serves as investment adviser. KACA disclaims beneficial ownership of the shares reported, except those shares attributable to it by virtue of its general partner interests in certain limited partnerships holding such shares. Mr. Kayne disclaims beneficial ownership of the shares reported, except those shares held by him or attributable to him by virtue of his limited partner interests in such limited partnerships and by virtue of his indirect interest in the interest of KACA in such limited partnerships. PAGE 7 OF 9 8 c. Transactions of the shares were made as follows: A managed account, holding 60,000 shares of Glacier Water Services common stock, terminated in connection with its merger into another company. d. Not applicable e. Not applicable ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Not applicable ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. Exhibit I Joint Filing Agreement among Richard A. Kayne and KACA. 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. April 7, 2000 - ------------------------------------------------- Date /S/ Richard A. Kayne - ------------------------------------------------- Richard A. Kayne KAYNE ANDERSON CAPITAL ADVISORS, L.P. By: Kayne Anderson Investment Management, Inc. By: /S/ David J. Shladovsky ---------------------------------------- David J. Shladovsky, Secretary PAGE 8 OF 9 9 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(f)(1) This agreement is made pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934 (the "Act") by and between the parties listed below, each referred to herein as a "Joint Filer." The Joint Filers agree that a statement of beneficial ownership as required by Section 13(d) of the Act and the Rules thereunder may be filed on each of their behalf on Schedule 13D or Schedule 13G, as appropriate, and that said joint filing may thereafter be amended by further joint filings. The Joint Filers state that they each satisfy the requirements for making a joint filing under Rule 13d-1. /S/ Richard A. Kayne --------------------------------------------- Richard A. Kayne /S/ David J. Shladovsky --------------------------------------------- Kayne Anderson Capital Advisors, L.P., by David J. Shladovsky, Secretary of Kayne Anderson Investment Management, Inc., general partner PAGE 9 OF 9 10 EXHIBIT I TO SCHEDULE 13D, AMENDMENT NO. 12 OF FILING CONCERNING GLACIER WATER SERVICES, INC. Filing Parties Shares - -------------- ------ Kayne Anderson Capital Advisors, L.P. o Managed Investment Limited Partnerships 965,846 o Other Managed Accounts 94,300 Richard A. Kayne o Direct ownership 134,366 o Kayne Anderson Investment Management, LLC managed accounts 5,000 ------------ Total 1,199,512 -----END PRIVACY-ENHANCED MESSAGE-----