-----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, EtesySNuzVHSm3wIE/oi06Olrh9dzp63tmoU8lCIKxnI5sKuUvd9ZJJbpHbC2PBW Ln5ozMASL7fJGG1rIzIxPA== 0000030697-03-000177.txt : 20030929 0000030697-03-000177.hdr.sgml : 20030929 20030929212137 ACCESSION NUMBER: 0000030697-03-000177 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030925 FILED AS OF DATE: 20030929 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ENCORE CAPITAL GROUP INC CENTRAL INDEX KEY: 0001084961 STANDARD INDUSTRIAL CLASSIFICATION: SHORT-TERM BUSINESS CREDIT INSTITUTIONS [6153] IRS NUMBER: 481090909 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5775 ROSECOE COURT CITY: SAN DIEGO STATE: CA ZIP: 92123 BUSINESS PHONE: 8007590327 MAIL ADDRESS: STREET 1: 5775 ROSCOE COURT CITY: SAN DIEGO STATE: CA ZIP: 92123 FORMER COMPANY: FORMER CONFORMED NAME: MCM CAPITAL GROUP INC DATE OF NAME CHANGE: 19990430 FORMER COMPANY: FORMER CONFORMED NAME: MIDLAND CORP OF KANSAS DATE OF NAME CHANGE: 19990423 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NELSON PELTZ CENTRAL INDEX KEY: 0000928265 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26489 FILM NUMBER: 03916189 BUSINESS ADDRESS: STREET 1: 900 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122303000 MAIL ADDRESS: STREET 1: 900 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10022 4 1 pel3.xml X0201 4 2003-09-25 0 0001084961 ENCORE CAPITAL GROUP INC (ECPG) 0000928265 NELSON PELTZ C/O TRIARC COMPANIES, INC. 280 PARK AVENUE NEW YORK NY 10017 1 0 1 0 Common Stock 2003-09-25 4 C 0 1871150 0 A 1871150 I By Ltd Partnership Common Stock 2003-09-25 4 S 0 245042 11.00 D 1626108 I By Ltd Partnership Common Stock 2003-09-25 4 C 0 1745660 0 A 2281269 I By Madison West Common Stock 2003-09-25 4 S 0 256270 11.00 D 2024999 I By Madison West Common Stock 2003-09-25 4 S 0 21008 11.00 D 581310 I By Nelson Peltz Children's Trust Common Stock 2003-09-25 4 X 0 101275 0.01 A 101275 I By Triarc Common Stock 2003-09-29 4 J 0 101275 0 D 0 I By Triarc Common Stock 2003-09-29 4 J 0 101275 0 A 101275 I By Triarc Common Stock Warrants (right to buy) 0.01 2003-09-25 4 X 0 101275 0.01 D 2005-01-12 Common Stock 101275 0 I By Triarc Series A Senior Cumulative Part Conv Pfd Stock 0.50 2003-09-25 4 C 0 187115 0 D Common Stock 1871150 0 I By Ltd Partnership Series A Senior Cumulative Part Conv Pfd Stock 0.50 2003-09-25 4 C 0 174566 0 D Common Stock 1745660 0 I By Madison West In connection with an underwritten public offering (the Offering) of the Issuer's Common Stock, holders of Series A Senior Cumulative Participating Convertible Preferred Stock (the Series A Preferred Stock) entered into a Preferred Stock Conversion Agreement whereby each share of Series A Preferred Stock converts into ten shares of the Issuer's Common Stock, without additional consideration, concurrently with the closing of the Offering, which is scheduled for October 1. 2003. On September 25, 2003, Madison West Associates Corp. (Madison West), a wholly-owned subsidiary of Triarc Companies, Inc. (Triarc), the Nelson Peltz Children's Trust (the Trust) and the Peltz Family Limited Partnership (the Limited Partnership) entered into an Underwriting Agreement providing for the sale by Madison West of 256,270 shares of the Issuer's Common Stock, the sale by the Trust of 21,008 shares of the Issuer's Common Stock and the sale by the Partnership of 245,042 shares of the Issuer's Common Stock. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. All such shares are held by the Limited Partnership, an entity in which Mr. Peltz is a general partner. All such shares are held by Madison West, a wholly-owned subsidiary of Triarc. Mr. Peltz is an officer, director and significant stockholder of Triarc. All such shares are held by the Trust, an entity in which Mr. Peltz is a trustee. Triarc has agreed to exercise the Common Stock Warrants on September 30, 2003 and to contribute the shares of Encore Common Stock that it receives to Madison West, its wholly-owned subsidiary. All such shares are held by Triarc. Mr. Peltz is an officer, director and significant stockholder of Triarc. Madison West has agreed to dividend to Triarc, its sole stockholder, 101,275 shares of Encore Common Stock that it currently holds upon receipt of the contribution by Triarc of shares of Encore Common Stock referred to in footnote (7). Immediately /s/ Peltz, Nelson 2003-09-29 -----END PRIVACY-ENHANCED MESSAGE-----