-----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, O1G+JY8jFZxVvzNl6nK7f7CvoLQ7i8WTxnET7KRhg0+EqlW9N+BauibcDle6IY67 Hgo4DdWlLjEwMPorff63Xw== 0001019056-03-000077.txt : 20030205 0001019056-03-000077.hdr.sgml : 20030205 20030205101706 ACCESSION NUMBER: 0001019056-03-000077 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030205 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WINOKUR HERBERT S JR CENTRAL INDEX KEY: 0001046322 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-FACILITIES SUPPORT MANAGEMENT SERVICES [8744] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 30 E ELM ST CITY: GREENWICH STATE: CT ZIP: 06930 BUSINESS PHONE: 7032640330 MAIL ADDRESS: STREET 1: 30 E ELM ST CITY: GREENWICH STATE: CT ZIP: 06930 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NATCO GROUP INC CENTRAL INDEX KEY: 0001057693 STANDARD INDUSTRIAL CLASSIFICATION: FABRICATED PLATE WORK (BOILER SHOPS) [3443] IRS NUMBER: 222906892 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-58897 FILM NUMBER: 03539648 BUSINESS ADDRESS: STREET 1: BROOKHOLLOW CENTRAL III STREET 2: 2950 NORTH LOOP WEST STE 750 CITY: HOUSTON STATE: TX ZIP: 77092 BUSINESS PHONE: 7136839292 MAIL ADDRESS: STREET 1: BROOKHOLLOW CENTERL III STREET 2: 2950 NORTH LOOP WEST STE 750 CITY: HOUSTON STATE: TX ZIP: 77092 SC 13G 1 win_13g.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. __)* NATCO GROUP, INC. ----------------- (Name of Issuer) Common Stock, par value $0.01 per share --------------------------------------- (Title of Class of Securities) 63227W 20 3 -------------- (CUSIP Number) December 31, 2002 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) - ------------------------- * 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 the 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 11 Pages CUSIP NO. 63227W 20 3 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CAPRICORN INVESTORS II, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- BENEFICIALLY ---------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORT- 3,095,023 ING PERSON ---------------------------------- WITH 7 SOLE DISPOSITIVE POWER -0- ---------------------------------- 8 SHARED DISPOSITIVE POWER 3,095,023 ---------------------------------- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,095,023 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 19.57% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- Page 2 of 11 CUSIP NO. 63227W 20 3 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CAPRICORN HOLDINGS, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- BENEFICIALLY ---------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORT- 3,095,023 ING PERSON ---------------------------------- WITH 7 SOLE DISPOSITIVE POWER -0- ---------------------------------- 8 SHARED DISPOSITIVE POWER 3,095,023 ---------------------------------- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,095,023 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 19.57% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON OO - -------------------------------------------------------------------------------- Page 3 of 11 CUSIP NO. 63227W 20 3 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CAPRICORN HOLDINGS, INC. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 BENEFICIALLY ---------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORT- 1,835,951 ING PERSON ---------------------------------- WITH 7 SOLE DISPOSITIVE POWER 0 ---------------------------------- 8 SHARED DISPOSITIVE POWER 1,835,951 ---------------------------------- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,835,951 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.62% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- Page 4 of 11 CUSIP NO. 63227W 20 3 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HERBERT S. WINOKUR, JR. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 4,957,402 BENEFICIALLY ---------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORT- -0- ING PERSON ---------------------------------- WITH 7 SOLE DISPOSITIVE POWER 4,957,402 ---------------------------------- 8 SHARED DISPOSITIVE POWER -0- ---------------------------------- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,957,402 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 31.35% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- Page 5 of 11 Item 1. (a) Name of Issuer: NATCO Group, Inc. (b) Address of Issuer's Principal Executive Offices: 2950 North Loop West 7th Floor Houston, TX 77092 Item 2. (a) Name of Persons Filing: Capricorn Investors II, L.P. Capricorn Holdings, LLC Capricorn Holdings, Inc. Herbert S. Winokur, Jr. (b) Address of Principal Business Office or, if none, Residence: The principal business office of all of the filing parties is 30 East Elm Street, Greenwich, CT 06830. (c) Citizenship: Capricorn Investors II, L.P. is a Delaware limited partnership. Capricorn Holdings, LLC is a Delaware limited liability company and the general partner of Capricorn Investors II, L.P. Capricorn Holdings, Inc. is a Delaware corporation. Herbert S. Winokur, Jr. is a citizen of the United States. (d) Title of Class of Securities: Common stock, par value $0.01 per share. (e) CUSIP Number: 63227W 20 3 Item 3. If this statement is filed pursuant to ss.ss.240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). Page 6 of 11 (e) [ ] An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance withss.240.13d-1(b)(1)(ii)(J); NOT APPLICABLE Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 4,957,402 shares. (b) Percent of class: 31.35%. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 4,957,402 shares. (ii) Shared power to vote or to direct the vote: -0- (iii) Sole power to dispose or to direct the disposition of: 4,957,402 shares. (iv) Shared power to dispose or to direct the disposition of: -0-. Item 5. Ownership of Five Percent or Less of a Class. NOT APPLICABLE Item 6. Ownership of More than Five Percent on Behalf of Another Person. NOT APPLICABLE Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. SEE EXHIBIT 1 Page 7 of 11 Item 8. Identification and Classification of Members of the Group. NOT APPLICABLE Item 9. Notice of Dissolution of Group. NOT APPLICABLE Item 10. Certification. NOT APPLICABLE Page 8 of 11 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. Dated: February 5, 2003 CAPRICORN INVESTORS II, L.P. By: CAPRICORN HOLDINGS, LLC, its General Partner By: /s/ HERBERT S. WINOKUR, JR. ------------------------------------- Name: Herbert S. Winokur, Jr. Title: Managing Member Dated: February 5, 2003 CAPRICORN HOLDINGS, LLC By: /s/ HERBERT S. WINOKUR, JR. ------------------------------------- Name: Herbert S. Winokur, Jr. Title: Managing Member Dated: February 5, 2003 CAPRICORN HOLDINGS, INC. By: /s/ HERBERT S. WINOKUR, JR. ------------------------------------- Name: Herbert S. Winokur, Jr. Title: President Dated: February 5, 2003 /s/ HERBERT S. WINOKUR, JR. ----------------------------------------- Herbert S. Winokur, Jr. Page 9 of 11 EXHIBIT 1 EXPLANATION OF ITEM 7 This Schedule 13G is being filed by Capricorn Investors II, L.P., a Delaware limited partnership ("Capricorn II"), Capricorn Holdings, LLC, a Delaware limited liability company and the general partner of Capricorn II ("Holdings LLC"), Capricorn Holdings, Inc., a Delaware corporation ("Holdings Inc.") and Herbert S. Winokur, Jr. ("Mr. Winokur") (collectively, the "Filing Parties"). Of the shares reported as beneficially owned in this Schedule 13G, 3,095,023 such shares are owned directly by Capricorn II (of which 3,087,021 shares are issued and outstanding and 8,002 shares are issuable upon exercise of presently exercisable options), 1,835,951 shares are owned directly by Holdings Inc. and 26,428 such shares are owned directly by Mr. Winokur. The shares beneficially owned by Capricorn II do not include 1,332 shares issuable upon exercise of options held by Capricorn II that are not currently exercisable. As general partner of Capricorn II, Holdings LLC is the indirect beneficial owner of the shares owned directly by Capricorn II. As the manager of Holdings LLC and the sole stockholder of Holdings Inc., Mr. Winokur may be deemed to control each of them and, in such capacities, possesses voting and dispositive power over the shares held by Capricorn II and Holdings Inc. Accordingly, Mr. Winokur may be deemed the beneficial owner of all of the shares reported as beneficially owned by the Filing Parties. Page 10 of 11 EXHIBIT 2 JOINT FILING AGREEEMNT AMONG CAPRICORN INVESTORS II, L.P., CAPRICORN HOLDINGS, LLC CAPRICORN HOLDINGS, INC. AND HERBERT S. WINOKUR, JR. The undersigned hereby agree that the Schedule 13G with respect to the common stock without par value of NATCO Group, Inc. (the "Schedule 13G") is, and any amendments thereto executed by each of us shall be, filed on behalf of us pursuant to and in accordance with the provisions of Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended. Each of the undersigned agrees to be responsible for the timely filing of the Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning itself contained therein. Dated: February 5, 2003 CAPRICORN INVESTORS II, L.P. By: CAPRICORN HOLDINGS, LLC, its General Partner By: /s/ HERBERT S. WINOKUR, JR. ------------------------------------- Name: Herbert S. Winokur, Jr. Title: Managing Member CAPRICORN HOLDINGS, LLC By: /s/ HERBERT S. WINOKUR, JR. ------------------------------------- Name: Herbert S. Winokur, Jr. Title: Managing Member CAPRICORN HOLDINGS, INC. By: /s/ HERBERT S. WINOKUR, JR. ------------------------------------- Name: Herbert S. Winokur, Jr. Title: President /s/ HERBERT S. WINOKUR, JR. ----------------------------------------- Herbert S. Winokur, Jr. Page 11 of 11 -----END PRIVACY-ENHANCED MESSAGE-----