-----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, Ft54ZRK15RZlrwQ29Q4dtIPzAKpsS8o9lLQx14Wl75XVzBUVDY7OdXnsQ6Sy0bGW ovJvq4vujZhZj54d+QdCLA== 0000914427-00-000062.txt : 20000229 0000914427-00-000062.hdr.sgml : 20000229 ACCESSION NUMBER: 0000914427-00-000062 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000217 FILED AS OF DATE: 20000228 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COTT CORP /CN/ CENTRAL INDEX KEY: 0000884713 STANDARD INDUSTRIAL CLASSIFICATION: BOTTLED & CANNED SOFT DRINKS CARBONATED WATERS [2086] IRS NUMBER: 000000000 FISCAL YEAR END: 0125 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-19914 FILM NUMBER: 555526 BUSINESS ADDRESS: STREET 1: 207 QUEENS QUAY W STREET 2: SUITE 340 CITY: TORONTO ONTARIO CANA STATE: A6 BUSINESS PHONE: 4162033898 MAIL ADDRESS: STREET 1: 207 QUEENS QUAY W STREET 2: SUITE 340 CITY: TORONTO ONTARIO STATE: A6 COMPANY DATA: COMPANY CONFORMED NAME: THL EQUITY ADVISORS IV LLC CENTRAL INDEX KEY: 0001107968 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O THOMAS H LEE COMPANY STREET 2: 76 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 MAIL ADDRESS: STREET 1: C/O THOMAS H LEE COMPANY STREET 2: 76 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 3 1 FORM 3 ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 ================================================================================ 1. Name and Address of Reporting Person* THL Equity Advisors IV, LLC - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Thomas H. Lee Company 75 State Street - -------------------------------------------------------------------------------- (Street) Boston, Massachusetts 02109 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Date of Event Requiring Statement (Month/Day/Year) February 17, 2000 ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Issuer Name and Ticker or Trading Symbol COTT CORPORATION (COTT) ================================================================================ 5 Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ x ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) -------------------------------------------------------------------- ================================================================================ 6. If Amendment, Date of Original (Month/Year) ================================================================================ ================================================================================ 7. Individual or joint/Group Filing (Check Applicable Line) __X__ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person ================================================================================ Table I -- Non-Derivative Securities Beneficially Owned ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr.5) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 8,030,119 (4) I (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 278,144 (4) I (2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 781,728 (4) I (3) - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. *If the form is filed by more than one reporting person, see Instruction 5(b)(v) FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 7. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Security Exer- tion of Derivative (I) Ownership (Instr. 4) cisable Date Title Shares Security (Instr.5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Convertible Participat- Common 3,212,047(4) 10.77(5) I (1) ing Voting Second Prefer- red Shares, Series 1 - ------------------------------------------------------------------------------------------------------------------------------------ Convertible Participat- Common 111,258(4) 10.77(5) I (2) ing Voting Second Prefer- red Shares, Series 1 - ------------------------------------------------------------------------------------------------------------------------------------ Convertible Participat- Common 312,691(4) 10.77(5) I (3) ing Voting Second Prefer- red Shares, Series 1 - ------------------------------------------------------------------------------------------------------------------------------------ Option Common 4,015,059(4) 9.00(5) I (1) - ------------------------------------------------------------------------------------------------------------------------------------ Option Common 139,072(4) 9.00(5) I (2) - ------------------------------------------------------------------------------------------------------------------------------------ Option Common 390,864(4) 9.00(5) I (3) - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Represents shares/options owned by Thomas H. Lee Equity Fund IV, L.P. (2) Represents shares/options owned by Thomas H. Lee Foreign Fund IV, L.P. (3) Represents shares/options owned by Thomas H. Lee Foreign Fund IV-B, L.P. (4) The Reporting Person disclaims beneficial ownership of such shares/options except to the extent of its pecuniary interest in the entity. (5) Subject to anti-dilution and other adjustments. Each share of Preferred Stock is currently convertible into 1.398837831 shares of Common Stock. THL Equity Advisors IV, LLC By: 2/25/2000 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient. See Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----