0001179110-11-016109.txt : 20111206 0001179110-11-016109.hdr.sgml : 20111206 20111206125331 ACCESSION NUMBER: 0001179110-11-016109 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111206 FILED AS OF DATE: 20111206 DATE AS OF CHANGE: 20111206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PARSKY GERALD L CENTRAL INDEX KEY: 0001256531 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34728 FILM NUMBER: 111245273 MAIL ADDRESS: STREET 1: AURORA CAPITAL PARTNERS LP STREET 2: 10877 WILSHIRE BOULEVARD SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mapes John T CENTRAL INDEX KEY: 0001335349 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34728 FILM NUMBER: 111245272 MAIL ADDRESS: STREET 1: C/O AURORA CAPITAL GROUP STREET 2: 10877 WILSHIRE BLVD #2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AURORA CAPITAL PARTNERS II L P CENTRAL INDEX KEY: 0001098913 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34728 FILM NUMBER: 111245278 BUSINESS ADDRESS: STREET 1: 1800 CENTURY PARK EAST STE 1000 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 3105510101 MAIL ADDRESS: STREET 1: 1800 CNTURY PARK EAST SUITE 1000 CITY: LOS ANGELES STATE: CA ZIP: 90067 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DOUGLAS DYNAMICS, INC CENTRAL INDEX KEY: 0001287213 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 134275891 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7777 NORTH 73RD ST CITY: MILWAUKEE STATE: WI ZIP: 53233 BUSINESS PHONE: 414-362-3940 MAIL ADDRESS: STREET 1: 7777 NORTH 73RD ST CITY: MILWAUKEE STATE: WI ZIP: 53233 FORMER COMPANY: FORMER CONFORMED NAME: DOUGLAS DYNAMICS HOLDINGS INC DATE OF NAME CHANGE: 20040415 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aurora Equity Partners II LP CENTRAL INDEX KEY: 0001335251 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34728 FILM NUMBER: 111245277 BUSINESS ADDRESS: STREET 1: 10877 WILSHIRE BOULEVARD STREET 2: SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 310-551-0101 MAIL ADDRESS: STREET 1: 10877 WILSHIRE BOULEVARD STREET 2: SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aurora Overseas Equity Partners II LP CENTRAL INDEX KEY: 0001335252 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34728 FILM NUMBER: 111245274 BUSINESS ADDRESS: STREET 1: 10877 WILSHIRE BOULEVARD STREET 2: SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 310-551-0101 MAIL ADDRESS: STREET 1: 10877 WILSHIRE BOULEVARD STREET 2: SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aurora Overseas Capital Partners II LP CENTRAL INDEX KEY: 0001335254 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34728 FILM NUMBER: 111245275 BUSINESS ADDRESS: STREET 1: 10877 WILSHIRE BOULEVARD STREET 2: SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 310-551-0101 MAIL ADDRESS: STREET 1: 10877 WILSHIRE BOULEVARD STREET 2: SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aurora Advisors II LLC CENTRAL INDEX KEY: 0001335255 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34728 FILM NUMBER: 111245279 BUSINESS ADDRESS: STREET 1: 10877 WILSHIRE BOULEVARD STREET 2: SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 310-551-0101 MAIL ADDRESS: STREET 1: 10877 WILSHIRE BOULEVARD STREET 2: SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aurora Overseas Advisors II LDC CENTRAL INDEX KEY: 0001335256 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34728 FILM NUMBER: 111245276 BUSINESS ADDRESS: STREET 1: 10877 WILSHIRE BOULEVARD STREET 2: SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 310-551-0101 MAIL ADDRESS: STREET 1: 10877 WILSHIRE BOULEVARD STREET 2: SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90024 4 1 edgar.xml FORM 4 - X0304 4 2011-12-06 1 0001287213 DOUGLAS DYNAMICS, INC PLOW 0001335255 Aurora Advisors II LLC 10877 WILSHIRE BLVD. SUITE 2100 LOS ANGELES CA 90024 0 0 1 0 0001098913 AURORA CAPITAL PARTNERS II L P 10877 WILSHIRE BLVD. SUITE 2100 LOS ANGELES CA 90024 0 0 1 0 0001335251 Aurora Equity Partners II LP 10877 WILSHIRE BLVD. SUITE 2100 LOS ANGELES CA 90024 0 0 1 0 0001335256 Aurora Overseas Advisors II LDC 10877 WILSHIRE BLVD. SUITE 2100 LOS ANGELES CA 90024 0 0 1 0 0001335254 Aurora Overseas Capital Partners II LP 10877 WILSHIRE BLVD. SUITE 2100 LOS ANGELES CA 90024 0 0 1 0 0001335252 Aurora Overseas Equity Partners II LP 10877 WILSHIRE BLVD. SUITE 2100 LOS ANGELES CA 90024 0 0 1 0 0001335349 Mapes John T C/O AURORA EQUITY PARTNERS II LP 10877 WILSHIRE BLVD. SUITE 2100 LOS ANGELES CA 90024 0 0 1 0 0001256531 PARSKY GERALD L C/O AURORA EQUITY PARTNERS II LP 10877 WILSHIRE BLVD. SUITE 2100 LOS ANGELES CA 90024 0 0 1 0 Common Stock 2011-12-06 4 S 0 1511959 14.25 D 0 D Common Stock 2011-12-06 4 S 0 6300 14.25 D 0 D Common Stock 2011-12-06 4 S 0 2520 14.25 D 0 D Consists of 1,492,152 shares sold by Aurora Equity Partners II L.P. ("AEPII") and 19,807 shares sold by Aurora Overseas Equity Partners II, L.P. ("AOEPII"). Aurora Capital Partners II LP ("ACPII") is the general partner of AEPII. Aurora Overseas Capital Partners II, LP ("AOCPII") is the general partner of AOEPII. Aurora Advisors II LLC ("AAII") is the general partner of ACPII. Aurora Overseas Advisors II, LDC ("AOAII") is the general partner of AOCPII. AEPII, AOEPII, ACPII, AOCPII, AAII, and AOAII are collectively referred to as the "Aurora Entities." In their capacities as direct or indirect general partners of AEPII and/or AOEPII, ACPII, AOCPII, AAII, and AOAII may be deemed to have a pecuniary interest in an indeterminable portion of the shares owned or controlled by AEPII and AOEPII. ACPII, AOCPII, AAII, and AOAII disclaim beneficial ownership of all such shares except to the extent that they may be deemed to have a pecuniary interest therein. Messrs. Mapes and Parsky are controlling persons of the Aurora Entities. As such, they may be deemed to have a pecuniary interest in an indeterminable portion of the shares owned or controlled by the Aurora Entities. Messrs. Mapes and Parsky disclaim beneficial ownership of all such shares except to the extent that they may be deemed to have a pecuniary interest therein. Consists of shares sold by Mr. Parsky's 401(k) account. Consists of shares sold by Mr. Mapes' 401(k) account. /s/ Timothy J. Hart as Vice President, Secretary and General Counsel of Aurora Advisors II LLC 2011-12-06 /s/ Timothy J. Hart as Vice President, Secretary and General Counsel of Aurora Advisors II LLC, General Partner of Aurora Capital Partners II LP 2011-12-06 /s/ Timothy J. Hart as Vice President, Secretary and General Counsel of Aurora Advisors II LLC, General Partner of Aurora Capital Partners II LP, General Partner of Aurora Equity Partners II LP 2011-12-06 /s/ Timothy J. Hart as Vice President, Secretary and General Counsel of Aurora Overseas Advisors II, LDC 2011-12-06 /s/ Timothy J. Hart as Vice President, Secretary and General Counsel of Aurora Overseas Advisors II, LDC, General Partner of Aurora Overseas Capital Partners II, LP 2011-12-06 /s/ Timothy J. Hart as Vice President, Secretary and General Counsel of Aurora Overseas Advisors II, LDC, General Partner of Aurora Overseas Capital Partners, LP, General Partner of Aurora Overseas Equity Partners II, LP 2011-12-06 /s/ Timothy J. Hart as Attorney-in-Fact for John T. Mapes 2011-12-06 /s/ Timothy J. Hart as Attorney-in-Fact for Gerald L. Parsky 2011-12-06