-----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, Kql1/Ib6oSwBOJxs1maXXlg6K2J1H0LZJMJqR6Lknl9cUJgBZrEgjFNqS3N3UeqW vUVkd0Qw70jPCM4w91bkBw== 0001193125-08-113309.txt : 20080513 0001193125-08-113309.hdr.sgml : 20080513 20080513172802 ACCESSION NUMBER: 0001193125-08-113309 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20080513 DATE AS OF CHANGE: 20080513 GROUP MEMBERS: C3 FOUNDATION, INC. GROUP MEMBERS: DAMS II CHARITABLE REMAINDER UNITRUST GROUP MEMBERS: JIM W. PERRY GROUP MEMBERS: LONNIE C. POOLE, III GROUP MEMBERS: LONNIE C. POOLE, III IRREVCOABLE TRUST (TAILWALKER NON GST) GROUP MEMBERS: LONNIE C. POOLE, III IRREVCOABLE TRUST (TAILWALKER TRUST) 1 GROUP MEMBERS: LONNIE C. POOLE, JR GROUP MEMBERS: LONNIE C. POOLE, JR GRANTOR TRUST GROUP MEMBERS: PERRY 2007 IRREVOCABLE TRUST U/AD GROUP MEMBERS: SCOTT J. POOLE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WASTE INDUSTRIES USA INC CENTRAL INDEX KEY: 0001125845 STANDARD INDUSTRIAL CLASSIFICATION: REFUSE SYSTEMS [4953] IRS NUMBER: 560954929 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78051 FILM NUMBER: 08828716 BUSINESS ADDRESS: STREET 1: 3301 BENSON DR STREET 2: STE 601 CITY: RALEIGH STATE: NC ZIP: 27609 BUSINESS PHONE: 9193254000 MAIL ADDRESS: STREET 1: 3301 BENSON DR STREET 2: STE 601 CITY: RALEIGH STATE: NC ZIP: 27609 FORMER COMPANY: FORMER CONFORMED NAME: WASTE HOLDINGS INC DATE OF NAME CHANGE: 20001004 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: POOLE LONNIE C JR CENTRAL INDEX KEY: 0001055816 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: BUSINESS PHONE: 9197820095 MAIL ADDRESS: STREET 1: C/O WASTE INDUSTRIES INC STREET 2: 3949 BROWNING PLACE CITY: RALEIGH STATE: NC ZIP: 27609 SC 13D/A 1 dsc13da.htm FINAL AMENDMENT FINAL AMENDMENT

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D/A

 

Under the Securities Exchange Act of 1934

(Final Amendment)*

 

 

 

Waste Industries USA, Inc.

(Name of Issuer)

 

 

Common Stock (no par value)

(Title of Class of Securities)

 

 

941057 10 1

(CUSIP Number)

 

 

Lonnie C. Poole, Jr.

3301 Benson Drive

Suite 600

Raleigh, NC 27609

(919) 325-3000

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

 

 

Copy to:

William G. McNairy, Esq.

Brooks, Pierce, McLendon, Humphrey & Leonard, L.L.P.

230 N. Elm Street, Suite 2000

Greensboro, North Carolina 27401

April 30, 2008 and May 9, 2008

(Dates of Events which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.  ¨

 

*   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).

CUSIP No. 941057 10 1   13D   Page 2 of 15

 

 

  1  

NAME OF REPORTING PERSON:

 

Lonnie C. Poole, Jr.

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ¨

(b)  x

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS:

 

PF

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION:

 

United States

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7    SOLE VOTING POWER:

 

      1,548,619

 

  8    SHARED VOTING POWER:

 

      1,803,049 (1)

 

  9    SOLE DISPOSITIVE POWER:

 

      1,548,619

 

10    SHARED DISPOSITIVE POWER:

 

      1,803,049 (1)

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:

 

3,351,668 (1)

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:

 

  

x (2)

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):

 

23.6% (3)

    
14  

TYPE OF REPORTING PERSON:

 

IN

    

 

(1) Includes 1,741,729 shares of Common Stock held by the Lonnie C. Poole, Jr. Grantor Trust dated May 1, 1995 for the benefit of Mr. Poole’s children, deemed to be beneficially owned by Mr. Poole pursuant to Rule 13d-3(d)(1)(i).

 

(2) Amount in Row 11 does not include: (i) 30,668 shares owned by Mr. Poole’s wife, Carol Poole; (ii) 34,763 shares owned by Mr. Poole’s mother, Maxine Poole; (iii) 45,000 shares owned by The Lonnie and Carol Poole Family Foundation, the President of which is Mr. Poole’s wife; and (iv) 700,000 shares owned by Damas II Charitable Remainder Unitrust u/a/d 12/13/07. Mr. Poole disclaims any and all beneficial or pecuniary interest in these shares of Common Stock.

 

(3) Based on 14,194,868 shares of Common Stock outstanding at May 8, 2008, as disclosed by the Issuer to the Reporting Persons (the “Reported Shares Outstanding”) and options to acquire a further 6,689 shares of Common Stock, exercisable by Mr. Poole within 60 days of May 8, 2008 which was the day prior to the Merger (as hereinafter defined).

 

(4) All amounts show ownership on the day prior to the Merger. On the day after the effective time of the Merger, the ownership will be zero for all Reporting Parties.

CUSIP No. 941057 10 1   13D   Page 3 of 15

 

 

  1  

NAME OF REPORTING PERSON:

 

Lonnie C. Poole, III

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ¨

(b)  x

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS:

 

PF

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION:

 

United States

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7    SOLE VOTING POWER:

 

      711,566

 

  8    SHARED VOTING POWER:

 

      1,794,361

 

  9    SOLE DISPOSITIVE POWER:

 

      711,566

 

10    SHARED DISPOSITIVE POWER:

 

      1,794,361

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:

 

2,505,927

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:

 

   x (1)
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):

 

17.6% (2)

    
14  

TYPE OF REPORTING PERSON:

 

IN

    

 

(1) Amount in Row 11 does not include (i) 7,830 shares held by Mr. Poole’s mother, Carol Poole, in a custodial account for the benefit of Mr. Poole’s children, of which Mr. Poole disclaims any and all beneficial or pecuniary interest.

 

(2) Based on the Reported Shares Outstanding and options to acquire a further 1,160 shares of Common Stock, exercisable by Mr. Poole within 60 days of May 8, 2008.

 

(3) All amounts show ownership on the day prior to the Merger. On the day after the effective time of the Merger, the ownership will be zero for all Reporting Parties.

CUSIP No. 941057 10 1   13D   Page 4 of 15

 

 

  1  

NAME OF REPORTING PERSON:

 

Scott J. Poole

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ¨

(b)  x

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS:

 

PF

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION:

 

United States

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7    SOLE VOTING POWER:

 

      1,116,226

 

  8    SHARED VOTING POWER:

 

      1,741,729

 

  9    SOLE DISPOSITIVE POWER:

 

      1,116,226

 

10    SHARED DISPOSITIVE POWER:

 

      1,741,729

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:

 

2,857,955

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:

 

   x (1)
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):

 

20.1% (2)

    
14  

TYPE OF REPORTING PERSON:

 

IN

    

 

(1) Amount in Row 11 does not include 7,314 shares held by Mr. Poole’s mother, Carol Poole, in a custodial account for the benefit of Mr. Poole’s children, of which Mr. Poole disclaims any and all beneficial or pecuniary interest.

 

(2) Based on the Reported Shares Outstanding.

 

(3) All amounts show ownership on the day prior to the Merger. On the day after the effective time of the Merger, the ownership will be zero for all Reporting Parties.

CUSIP No. 941057 10 1   13D   Page 5 of 15

 

 

  1  

NAME OF REPORTING PERSON:

 

Jim W. Perry

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ¨

(b)  x

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS:

 

PF

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION:

 

United States

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7    SOLE VOTING POWER:

 

      1,327,575

 

  8    SHARED VOTING POWER:

 

      50,000

 

  9    SOLE DISPOSITIVE POWER:

 

      1,327,575

 

10    SHARED DISPOSITIVE POWER:

 

      50,000

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:

 

1,377,575

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:

 

   x (1)
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):

 

9.7% (2)

    
14  

TYPE OF REPORTING PERSON:

 

IN

    

 

(1) Amount in Row 11 does not include 15,000 shares owned by Mr. Perry’s wife, of which Mr. Perry disclaims any and all beneficial or pecuniary interest.

 

(2) Based on the Reported Shares Outstanding and options to acquire a further 3,536 shares of Common Stock, exercisable by Mr. Perry within 60 days of December 18, 2007.

 

(3) All amounts show ownership on the day prior to the Merger. On the day after the effective time of the Merger, the ownership will be zero for all Reporting Parties.

CUSIP No. 941057 10 1   13D   Page 6 of 15

 

 

  1  

NAME OF REPORTING PERSON:

 

Lonnie C. Poole, III Irrevocable Trust (Tailwalker Trust) (1)

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ¨

(b)  x

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS:

 

AF

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION:

 

North Carolina

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7    SOLE VOTING POWER:

 

      28,536

 

  8    SHARED VOTING POWER:

 

      —

 

  9    SOLE DISPOSITIVE POWER:

 

      28,536

 

10    SHARED DISPOSITIVE POWER:

 

      —

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:

 

28,536

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:

 

   ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):

 

0.2% (2)

    
14  

TYPE OF REPORTING PERSON:

 

OO

    

 

(1) Scott J. Poole is the sole trustee of this Trust.

 

(2) Based on the Reported Shares Outstanding.

 

(3) All amounts show ownership on the day prior to the Merger. On the day after the effective time of the Merger, the ownership will be zero for all Reporting Parties.

CUSIP No. 941057 10 1   13D   Page 7 of 15

 

 

  1  

NAME OF REPORTING PERSON:

 

Lonnie C. Poole, III Irrevocable Trust (Tailwalker Non-GST Trust) (1)

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ¨

(b)  x

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS:

 

AF

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION:

 

North Carolina

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7    SOLE VOTING POWER:

 

      411,410

 

  8    SHARED VOTING POWER:

 

      —

 

  9    SOLE DISPOSITIVE POWER:

 

      411,410

 

10    SHARED DISPOSITIVE POWER:

 

      —

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:

 

411,410

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:

 

   ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):

 

2.9% (2)

    
14  

TYPE OF REPORTING PERSON:

 

OO

    

 

(1) Scott J. Poole is the sole trustee of this Trust.

 

(2) Based on the Reported Shares Outstanding.

 

(3) All amounts show ownership on the day prior to the Merger. On the day after the effective time of the Merger, the ownership will be zero for all Reporting Parties.

CUSIP No. 941057 10 1   13D   Page 8 of 15

 

 

  1  

NAME OF REPORTING PERSON:

 

Lonnie C. Poole, Jr. Grantor Trust dated May 1, 1995 (1)

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ¨

(b)  x

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS:

 

AF

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION:

 

North Carolina

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7    SOLE VOTING POWER:

 

      1,741,724

 

  8    SHARED VOTING POWER:

 

      —

 

  9    SOLE DISPOSITIVE POWER:

 

      1,741,724

 

10    SHARED DISPOSITIVE POWER:

 

      —

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:

 

1,741,724

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:

 

   ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):

 

12.3% (2)

    
14  

TYPE OF REPORTING PERSON:

 

OO

    

 

(1) Scott J. Poole and Lonnie C. Poole, III are the joint trustees of this Trust. Lonnie C. Poole, Jr. is the grantor of this Trust.

 

(2) Based on the Reported Shares Outstanding.

 

(3) All amounts show ownership on the day prior to the Merger. On the day after the effective time of the Merger, the ownership will be zero for all Reporting Parties.

CUSIP No. 941057 10 1   13D   Page 9 of 15

 

 

  1  

NAME OF REPORTING PERSON:

 

Perry 2007 Irrevocable Trust U/A/D December 13, 2007 (1)

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ¨

(b)  x

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS:

 

AF

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION:

 

North Carolina

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7    SOLE VOTING POWER:

 

      50,000

 

  8    SHARED VOTING POWER:

 

      —

 

  9    SOLE DISPOSITIVE POWER:

 

      50,000

 

10    SHARED DISPOSITIVE POWER:

 

      —

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:

 

50,000

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:

 

   ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):

 

0.4%

    
14  

TYPE OF REPORTING PERSON:

 

OO

    

 

(1) Rebecca Elliott Perry is the sole trustee of this Trust. Jim W. Perry is the grantor of this Trust.

 

(2) All amounts show ownership on the day prior to the Merger. On the day after the effective time of the Merger, the ownership will be zero for all Reporting Parties.

CUSIP No. 941057 10 1   13D   Page 10 of 15

 

 

  1  

NAME OF REPORTING PERSON:

 

Damas II Charitable Remainder Unitrust u/a/d 12/13/07 (1)

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ¨

(b)  x

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS:

 

AF

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION:

 

North Carolina

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7    SOLE VOTING POWER:

 

      700,000

 

  8    SHARED VOTING POWER:

 

      —

 

  9    SOLE DISPOSITIVE POWER:

 

      700,000

 

10    SHARED DISPOSITIVE POWER:

 

      —

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:

 

700,000

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:

 

   ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):

 

4.9%

    
14  

TYPE OF REPORTING PERSON:

 

OO

    

 

(1) Robert Hall is the sole trustee of this Trust. Lonnie C. Poole, Jr. is the grantor of this Trust.

 

(2) All amounts show ownership on the day prior to the Merger. On the day after the effective time of the Merger, the ownership will be zero for all Reporting Parties.

CUSIP No. 941057 10 1   13D   Page 10 of 15

 

 

  1  

NAME OF REPORTING PERSON:

 

C3 Foundation, Inc.

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ¨

(b)  x

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS:

 

AF

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION:

 

North Carolina

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7    SOLE VOTING POWER:

 

      52,632

 

  8    SHARED VOTING POWER:

 

      —

 

  9    SOLE DISPOSITIVE POWER:

 

      52,632

 

10    SHARED DISPOSITIVE POWER:

 

      —

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:

 

52,632

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:

 

   ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):

 

0.4%

    
14  

TYPE OF REPORTING PERSON:

 

CO

    

 

(1) All amounts show ownership on the day prior to the Merger. On the day after the effective time of the Merger, the ownership will be zero for all Reporting Parties.

SCHEDULE 13D/A

EXPLANATORY NOTES: This Final Amendment No. 4 (this “Amendment”) is being filed by (1) Lonnie C. Poole, Jr., (2) Lonnie C. Poole, III, (3) Scott J. Poole, (4) Jim W. Perry, (5) Lonnie C. Poole, III Irrevocable Trust (Tailwalker Trust) (“Tailwalker Trust”), (6) Lonnie C. Poole, III Irrevocable Trust (Tailwalker Non-GST Trust) (“Non-GST Trust”) and (7) Lonnie C. Poole, Jr. Grantor Trust Dated May 1, 1995 (“Grantor Trust”) (collectively, the “Rollover Shareholders”) and (8) Perry 2007 Irrevocable Trust U/A/D December 13, 2007 (“Perry Trust”) and (9) Damas II Charitable Remainder Unitrust u/a/d 12/13/07 (“Damas Trust”) and (10) C3 Foundation, Inc. (together, the “Reporting Persons”).

Capitalized terms used but not defined herein have the meanings ascribed to them in Schedule 13D originally filed by the Original Reporting Persons on November 2, 2007, as the same has been amended by Amendment Nos. 1, 2 and 3 (the “Initial Statement”).

 

ITEM 2. IDENTITY AND BACKGROUND.

Item 2 of the Initial Statement is supplemented by adding the following:

This Amendment is being filed jointly on behalf of the Reporting Persons. A Joint Filing Agreement among the Reporting Persons is filed as Exhibit 7.18 to this Amendment.

The business address of C3 Foundation, Inc. is 3301 Benson Drive, Suite 601, Raleigh, North Carolina 27609.

C3 Foundation, Inc. is a North Carolina nonprofit corporation. Lonnie C. Poole III is a member of the Board of Directors and Vice President of the corporation.

 

ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.

Item 3 of the Initial Statement is supplemented by adding the following:

The shares of Common Stock that C3 Foundation, Inc. beneficially owns were transferred to it by Lonnie C. Poole III.

On May 9, 2008, pursuant to the terms of the Merger Agreement, Articles of Merger were filed with the North Carolina Secretary of State and, as a result thereof, Merger Sub was merged with and into the Issuer (the “Merger”), with the Issuer continuing as the surviving corporation and the wholly-owned subsidiary of Parent and MidCo and related intermediate entities. As a result, the Issuer no longer has securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, and each Reporting Person may no longer be deemed to constitute a “group” with each other Reporting Person and the Sponsors.

 

ITEM 4. PURPOSE OF TRANSACTION.

Item 4 of the Initial Statement is hereby amended as follows:

The last paragraph of Item 3 above is hereby incorporated by reference in its entirety into this Item 4.

 

ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.

Item 5 of the Initial Statement is supplemented as follows:

On the date of its formation, C3 Foundation, Inc. had beneficial ownership of 52,632 shares of Common Stock, which represent approximately 0.4% of the reported shares outstanding on such date. The cover pages of this Amendment are incorporated herein by reference.

The last paragraph of Item 3 above is hereby incorporated by reference and in its entirety into this Item 5.

ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER.

The last paragraph of Item 3 above is hereby incorporated by reference and in its entirety into this Item 5.

 

ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.

The disclosure in Item 7 is hereby amended and restated in its entirety as follows:

 

EXHIBIT

   

DESCRIPTION

7.01    GS Direct, L.L.C. Equity Commitment Letter, dated December 17, 2007.
7.02    MIP Waste Holdings, L.P. Equity Commitment Letter, dated December 17, 2007.
7.03    Lonnie C. Poole, Jr. Rollover Equity Commitment Letter, dated December 17, 2007.
7.04    Lonnie C. Poole, III Rollover Equity Commitment Letter, dated December 17, 2007.
7.05    Scott J. Poole Rollover Equity Commitment Letter, dated December 17, 2007.
7.06    Jim W. Perry Rollover Equity Commitment Letter, dated December 17, 2007.
7.07    Lonnie C. Poole, Jr. Grantor Trust Rollover Equity Commitment Letter, dated December 17, 2007.
7.08    Tailwalker Non-GST Trust Rollover Equity Commitment Letter, dated December 17, 2007.
7.09    Tailwalker Trust Rollover Equity Commitment Letter, dated December 17, 2007.
7.10    Amendment to the Debt Commitment Letter, dated December 17, 2007.
7.11    Joinder Agreement made and entered into by the Perry 2007 Irrevocable Trust U/A/D December 13, 2007 and the Damas II Charitable Remainder Unitrust U/A/D 12/13/07, dated December 17, 2007
7.12    Agreement and Plan of Merger, dated December 17, 2007 by and among Waste Industries USA, Inc., Marlin HoldCo LLC, and Marlin MergeCo, Inc.
7.13    Interim Investors Agreement, dated December 17, 2007.
7.14    Agreement of Limited Partnership of Marlin HoldCo LP, dated December 17, 2007.
7.15    Limited Liability Company Agreement of Marlin HoldCo GP, LLC, dated December 17, 2007.
7.16    Limited Guarantee, dated December 17, 2007.
7.17    Joint Filing Agreement by and among the Reporting Persons, dated as of December 17, 2007.
7.18    Joint Filing Agreement by and among the Reporting Persons, dated as of May 9, 2008.

With the exception of exhibits 7.17 and 7.18, all of the above exhibits are incorporated herein by reference to the exhibits to the Schedule 13D/A filed by The Goldman Sachs Group, Inc. and others with respect to the Issuer on December 20, 2007. Exhibit 7.17 is incorporated herein by reference to the exhibits to the Schedule 13D/A filed by the Reporting Persons with respect to the Issuer on December 20, 2007.

Signatures

After reasonable inquiry and to the best knowledge and belief of each of the undersigned, such person certifies that the information set forth in this Schedule 13D/A with respect to such person is true, complete and correct.

 

Dated: May 9, 2008
/s/ Lonnie C. Poole, Jr.
LONNIE C. POOLE, JR.
/s/ Lonnie C. Poole, III
LONNIE C. POOLE, III
/s/ Jim W. Perry
JIM W. PERRY
/s/ Scott J. Poole
SCOTT J. POOLE
LONNIE C. POOLE, III IRREVOCABLE TRUST (TAILWALKER TRUST)
By:   /s/ Scott J. Poole
Name:   Scott J. Poole
Title:   Trustee
LONNIE C. POOLE, III IRREVOCABLE TRUST (TAILWALKER NON-GST TRUST)
By:   /s/ Scott J. Poole
Name:   Scott J. Poole
Title:   Trustee
LONNIE C. POOLE, JR. GRANTOR TRUST DATED MAY 1, 1995
By:   /s/ Scott J. Poole
Name:   Scott J. Poole
Title:   Trustee
DAMAS II CHARITABLE REMAINDER UNITRUST U/A/D 12/13/07
By:   /s/ Robert H. Hall
Name:   Robert H. Hall
Title:   Trustee

PERRY 2007 IRREVOCABLE TRUST U/A/D DECEMBER 13, 2007
By:   /s/ Rebecca Perry
Name:   Rebecca Perry
Title:   Trustee
C3 FOUNDATION, INC.
By:   /s/ Lonnie C. Poole III
Name:   Lonnie C. Poole III
Title:   Vice President
 EX-7.18 2 dex718.htm JOINT FILING AGREEMENT JOINT FILING AGREEMENT

Exhibit 7.18

JOINT FILING AGREEMENT

This Agreement is made this 9th day of May, 2008, by and between each of the undersigned.

WHEREAS, each of the undersigned is required to file a Schedule 13D with respect to ownership of securities in Waste Industries USA, Inc.;

NOW, THEREFORE, the undersigned agree to file only one Schedule 13D reflecting their combined beneficial ownership of securities in Waste Industries USA, Inc., and each of the undersigned hereby designates and appoints each of Lonnie C. Poole, Jr. and Lonnie C. Poole, III as its attorney-in-fact with full power of substitution for each of them, each acting singly, to sign, file and make any amendments to such Schedule 13D.

This Agreement may be executed in two or more counterparts, each of which shall be deemed an original but all of which together will constitute one and the same instrument.

[Signature Pages Follow.]

 

1

IN WITNESS WHEREOF, each of the undersigned has executed this Joint Filing Agreement as of the date first written above.

 

Dated: May 9, 2008

/s/ LONNIE C. POOLE, JR.

LONNIE C. POOLE, JR.

/s/ LONNIE C. POOLE, III

LONNIE C. POOLE, III

/s/ JIM W. PERRY

JIM W. PERRY

/s/ SCOTT J. POOLE

SCOTT J. POOLE
LONNIE C. POOLE, III IRREVOCABLE TRUST (TAILWALKER TRUST)
By:  

/s/ Scott J. Poole

Name:   Scott J. Poole
Title:   Trustee
LONNIE C. POOLE, III IRREVOCABLE TRUST (TAILWALKER NON-GST TRUST)
By:  

/s/ Scott J. Poole

Name:   Scott J. Poole
Title:   Trustee
LONNIE C. POOLE, JR. GRANTOR TRUST DATED MAY 1, 1995
By:  

/s/ Lonnie C. Poole, III

Name:   Lonnie C. Poole, III
Title:   Trustee
By:  

/s/ Scott J. Poole

Name:   Scott J. Poole
Title:   Trustee

 

2

DAMAS II CHARITABLE REMAINDER UNITRUST U/A/D 12/13/07
By:  

/s/ Robert Hall

Name:   Robert Hall
Title:   Trustee
PERRY 2007 IRREVOCABLE TRUST U/A/D DECEMBER 13, 2007
By:  

/s/ Rebecca Elliott Perry

Name:   Rebecca Elliott Perry
Title:   Trustee
C3 FOUNDATION, INC.
By:  

/s/ Lonnie C. Poole, III

Name:   Lonnie C. Poole, III
Title:   Vice-President

 

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