-----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, ALvrUKoIU4EZbXCycdrIcjqz8pXWF+T6EQzr0nZan/Vi0CwtDnnwA+jlApvbrGzm 2IJZ68ZcdKu7LbgA1buOKA== 0000909518-01-500127.txt : 20010611 0000909518-01-500127.hdr.sgml : 20010611 ACCESSION NUMBER: 0000909518-01-500127 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010608 GROUP MEMBERS: CHRISTOPHER N. O'SULLIVAN GROUP MEMBERS: GLBL UNDRVLD SEC (OP) LP GROUP MEMBERS: GLBL UNDRVLD SEC FND LP GROUP MEMBERS: GLBL UNDRVLD SEC FND LTD GROUP MEMBERS: GLBL UNDRVLD SEC MSTR FND LP GROUP MEMBERS: J. KENNETH PHILLIPS GROUP MEMBERS: JOHN B. KLEINHEINZ GROUP MEMBERS: KLEINHEINZ CAP PARTNERS INC GROUP MEMBERS: KLEINHEINZ CAP PARTNERS LDC GROUP MEMBERS: TIMOTHY J. GOLLIN GROUP MEMBERS: TRAVIS STREET PARTNERS LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ICO INC CENTRAL INDEX KEY: 0000353567 STANDARD INDUSTRIAL CLASSIFICATION: OIL, GAS FIELD SERVICES, NBC [1389] IRS NUMBER: 760566682 STATE OF INCORPORATION: TX FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-34170 FILM NUMBER: 1656433 BUSINESS ADDRESS: STREET 1: 11490 WESTHEIMER RD STREET 2: STE 100 CITY: HOUSTON STATE: TX ZIP: 77067 BUSINESS PHONE: 2817214200 MAIL ADDRESS: STREET 1: 11490 WESTHEIMER STREET 2: STE 1000 CITY: HOUSTON STATE: TX ZIP: 77077 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRAVIS STREET PARTNERS LLC CENTRAL INDEX KEY: 0001130418 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 910 TRAVIS STREET STREET 2: SUITE 2150 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7137592030 MAIL ADDRESS: STREET 1: 910 TRAVIS STREET STREET 2: SUITE 2150 CITY: HOUSTON STATE: TX ZIP: 77002 SC 13D/A 1 amd-8.txt ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) ---------- ICO, INC. (Name of Issuer) Common Stock, with no par value 449294206 (Title of class of securities) (CUSIP number) Christopher N. O'Sullivan TRAVIS STREET PARTNERS, LLC Bank One Center 910 Travis Street, Suite 2150 Houston, Texas 77002 (713) 759-2030 (Name, address and telephone number of person authorized to receive notices and communications) with copy to: Steven D. Rubin, Esq. Eugene F. COwell III, Esq. Weil, Gotshal & Manges LLP 700 Louisiana, Suite 1600 Houston, Texas 77002 (713) 546-5000 June 7, 2001 (Date of event 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 [_]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss. 240.13d-7 for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 26 pages) ================================================================================ 77968.0003 ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON Travis Street Partners, LLC SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 76-0657668 ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS: WC ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Texas ------------------------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: 0 SHARES ------------------------------------------------------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER 1,158,300 OWNED BY ------------------------------------------------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: 0 REPORTING ------------------------------------------------------------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: 1,158,300 ------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 1,158,300 ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 5.11% ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON: 00 ------------------------------------------------------------------------------------------------------ 2 ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON Timothy J. Gollin S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ###-##-#### ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS: PF, OO ------------------------------------------------------------------------------------------------------ 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 7 SOLE VOTING POWER: 0 SHARES ------------------------------------------------------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER 1,158,300 OWNED BY ------------------------------------------------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: 0 REPORTING ------------------------------------------------------------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: 1,158,300 ------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 1,158,300 ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 5.11% ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON: IN ------------------------------------------------------------------------------------------------------ 3 ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON Christopher N. O'Sullivan S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ###-##-#### ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS: PF, OO ------------------------------------------------------------------------------------------------------ 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 7 SOLE VOTING POWER: 0 SHARES ------------------------------------------------------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER 1,158,300 OWNED BY ------------------------------------------------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: 0 REPORTING ------------------------------------------------------------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: 1,158,300 ------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 1,158,300 ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 5.11% ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON: IN ------------------------------------------------------------------------------------------------------ 4 ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON Global Undervalued Securities S.S. OR I.R.S. IDENTIFICATION NO. Master Fund, L,.P. OF ABOVE PERSON 52-2294219 ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS: WC ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Cayman Islands ------------------------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: 0 SHARES ------------------------------------------------------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER 497,850 OWNED BY ------------------------------------------------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: 0 REPORTING ------------------------------------------------------------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: 497,850 ------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 497,850 ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.19% ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON: PN ------------------------------------------------------------------------------------------------------ 5 ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON Global Undervalued Securities S.S. OR I.R.S. IDENTIFICATION NO. Fund, L.P. OF ABOVE PERSON 98-0167993 ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS: WC ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Cayman Islands ------------------------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: 0 SHARES ------------------------------------------------------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER 497,850 OWNED BY ------------------------------------------------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: 0 REPORTING ------------------------------------------------------------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: 497,850 ------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 497,850 ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.19% ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON: PN ------------------------------------------------------------------------------------------------------ 6 ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON Global Undervalued Securities S.S. OR I.R.S. IDENTIFICATION NO. Fund, Ltd. OF ABOVE PERSON ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS: WC ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Cayman Islands ------------------------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: 0 SHARES ------------------------------------------------------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER 497,850 OWNED BY ------------------------------------------------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: 0 REPORTING ------------------------------------------------------------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: 497,850 ------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 497,850 ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.19% ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON: CO ------------------------------------------------------------------------------------------------------ 7 ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON Global Undervalued Securities S.S. OR I.R.S. IDENTIFICATION NO. Fund, (QP), L.P. OF ABOVE PERSON 52-2294217 ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS: WC ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Cayman Islands ------------------------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: 0 SHARES ------------------------------------------------------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER 497,850 OWNED BY ------------------------------------------------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: 0 REPORTING ------------------------------------------------------------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: 497,850 ------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 497,850 ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.19% ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON: PN ------------------------------------------------------------------------------------------------------ 8 ------------------------------------------------------------------------------------------------------ NAME OF REPORTING PERSON Kleinheinz Capital Partners LDC 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 52-2294216 ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] ------------------------------------------------------------------------------------------------------ 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: Cayman Islands ------------------------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: 0 SHARES ------------------------------------------------------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER 497,850 OWNED BY ------------------------------------------------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: 0 REPORTING ------------------------------------------------------------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: 497,850 ------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 497,850 ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.19% ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON: CO ------------------------------------------------------------------------------------------------------ 9 ------------------------------------------------------------------------------------------------------ NAME OF REPORTING PERSON Kleinheinz Capital Partners, Inc. 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 75-2633745 ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] ------------------------------------------------------------------------------------------------------ 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: Texas ------------------------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: 0 SHARES ------------------------------------------------------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER 497,850 OWNED BY ------------------------------------------------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: 0 REPORTING ------------------------------------------------------------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: 497,850 ------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 497,850 ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.19% ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON: CO ------------------------------------------------------------------------------------------------------ 10 ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON John B. Kleinheinz S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ###-##-#### ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] ------------------------------------------------------------------------------------------------------ 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: United States ------------------------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: 0 SHARES ------------------------------------------------------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER 497,850 OWNED BY ------------------------------------------------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: 0 REPORTING ------------------------------------------------------------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: 497,850 ------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 497,850 ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.19% ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON: IN ------------------------------------------------------------------------------------------------------ 11 ----------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON J. Kenneth Phillips S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ###-##-#### ----------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] ----------------------------------------------------------------------------------------------------- 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: United States ----------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER: 0 SHARES ----------------------------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 497,850 OWNED BY ----------------------------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER: 0 REPORTING ----------------------------------------------------------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER: 497,850 ----------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 497,850 ----------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] ----------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.19% ----------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IN -----------------------------------------------------------------------------------------------------
12 This Amendment No. 8 ("Amendment No. 8") amends the Statement on Schedule 13D filed on December 29, 2000 (the "Original Schedule 13D"), as amended by Amendment No. 1 filed on January 12, 2001, Amendment No. 2 filed on January 19, 2001, Amendment No. 3 filed on February 1, 2001, Amendment No. 4 filed on February 9, 2001, Amendment No. 5 filed on February 20, 2001, Amendment No. 6 filed on April 11, 2001 and Amendment No. 7 filed on May 9, 2001 (as amended, the "Schedule 13D") by and on behalf of the following persons: Travis Street Partners, LLC ("TSP"), Timothy J. Gollin ("Gollin"), Christopher N. O'Sullivan (individually "O'Sullivan"; together with Gollin, the "TSP Managers"; and together with Gollin and TSP, the "TSP Reporting Persons"), Global Undervalued Securities Master Fund, L.P. ("Global"), Global Undervalued Securities Fund, L.P. ("Global L.P."), Global Undervalued Securities Fund, Ltd. ("Global Ltd."), Global Undervalued Securities Fund (QP), L.P. ("Global QP"), Kleinheinz Capital Partners LDC ("KC LDC"), Kleinheinz Capital Partners, Inc., a Texas corporation ("KC Inc."), John B. Kleinheinz ("Kleinheinz") and J. Kenneth Phillips (individually "Phillips"; together with Global, Global L.P., Global Ltd., Global QP, KC LDC, KC Inc. and Kleinheinz, the "Global Reporting Persons"; and the Global Reporting Persons, together with the TSP Reporting Persons the "Reporting Persons"). Except as otherwise indicated, capitalized terms used herein and not defined herein have the meanings ascribed thereto in the Schedule 13D. As used herein, the "Company" shall mean ICO, Inc. ITEM 2. IDENTITY AND BACKGROUND Item 2 of the Schedule 13D is amended by amending and restating the first and second paragraphs thereof in their entirety to read as follows: This statement is being filed by and on behalf of Travis Street Partners, LLC ("TSP"), Timothy J. Gollin ("Gollin"), Christopher N. O'Sullivan (individually "O'Sullivan"; together with Gollin, the "TSP Managers"; and, together with Gollin and TSP, the "TSP Reporting Persons"), Global Undervalued Securities Master Fund, L.P. ("Global"), Global Undervalued Securities Fund, L.P. ("Global L.P."), Global Undervalued Securities Fund, Ltd. ("Global Ltd."), Global Undervalued Securities Fund (QP), L.P. ("Global QP"), Kleinheinz Capital Partners LDC ("KC LDC"), Kleinheinz Capital Partners, Inc., a Texas corporation ("KC Inc."), John B. Kleinheinz ("Kleinheinz") and J. Kenneth Phillips (individually "Phillips"; together with Global, Global L.P., Global Ltd., Global QP, KC LDC, KC Inc. and Kleinheinz, the "Global Reporting Persons" ; and the Global Reporting Persons together with the TSP Reporting Persons, the "Reporting Persons"). TSP is a Texas limited liability company, the managers of which are the TSP Managers. The principal business of TSP is the making, holding and disposing of investments, including securities of the Company. The present principal occupation of Gollin is President, CEO and Secretary of the Company. The present principal occupation of O'Sullivan is Vice Chairman of the Board of Directors and Chief Financial Officer of the Company and President and CEO of O'Sullivan Oil & Gas Company, Inc. Global is a Cayman Islands exempted limited partnership. Global L.P. is a Cayman Islands exempted limited partnership. Global Ltd. is a Cayman Islands exempted company. Global QP is a Cayman Islands exempted limited partnership. KC LDC is a Cayman Islands exempted limited duration company. KC Inc. is a Texas corporation. The principal business of each of Global, Global L.P., Global, Ltd., Global QP and KC LDC is the making, holding and disposing of investments, including, securities of the Company. The 13 principal business of KC Inc. is directing the investments of Global. The principal occupation of Kleinheinz is President and CEO of KC Inc. The principal occupation of Phillips is Chief Financial Officer of KC Inc. During the last five years, none of the Reporting Persons has (a) been convicted in a criminal proceeding or (b) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. The business address of Gollin is 11490 Westheimer, Suite 1000, Houston, Texas 77002. The business address of each of O'Sullivan and TSP is Bank One Center, 910 Travis Street, Suite 2150, Houston, Texas 77002. The business address of each of the Global Reporting Persons is c/o Kleinheinz Capital Partners, Inc., 201 Main Street, Suite 2001, Fort Worth, Texas 76102. Except as indicated above, the information set forth in Item 2 of the Schedule 13D remains unchanged. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Item 6 of the Schedule 13D is amended and restated in its entirety to read as follows: To the best of the knowledge of the Reporting Persons, there are no contracts, arrangements, understandings or relationships (legal or otherwise) among the Reporting Persons or between the Reporting Persons and any other person with respect to any securities of the Company, including but not limited to transfer or voting of any of the securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies, except that (i) TSP and the Global Reporting Persons are parties to an agreement providing, among other things, for advance consultation between the parties in respect of the acquisition, disposition or voting of Shares, a copy of which agreement is attached hereto as Exhibit 7, and (ii) TSP is a party to a standstill agreement with Asher O. Pacholder, Sylvia A. Pacholder, Robin E. Pacholder, Tom D. Pacholder, David M. Gerst and Pacholder Associates, Inc. (collectively, the "Pacholders"), a copy of which is attached hereto as Exhibit 9. The business and affairs of TSP are conducted in accordance with the Regulations of Travis Street Partners, LLC, which provide generally for customary rights of the members thereof in respect of distributions by, or upon the dissolution of, TSP. In addition, as described in Item 3, a letter agreement exists between Gollin and A. John Knapp with respect to capital contributions made by Gollin to TSP with respect to Gollin's membership interest in TSP. Except as indicated above, the information set forth in Item 6 of the Schedule 13D remains unchanged. 14 ITEM 7. MATERIAL TO BE FILED AS EXHIBITS The following Exhibits are filed herewith: 9. Standstill Agreement among TSP and the Pacholders. [The remainder of this page intentionally left blank.] 15 SIGNATURES After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information contained in this Statement is true, complete and correct. Dated: June 7, 2001 TRAVIS STREET PARTNERS, LLC By: /s/ Christopher N. O'Sullivan ------------------------------------------- Christopher N. O'Sullivan Manager /s/ Timothy J. Gollin ------------------------------------------- Timothy J. Gollin /s/ Christopher N. O'Sullivan ------------------------------------------- Christopher N. O'Sullivan GLOBAL UNDERVALUED SECURITIES MASTER FUND, L.P., a Cayman Islands exempted limited partnership By: Travis Street Partners, LLC Attorney-in-Fact By: /s/ Timothy J. Gollin ------------------------------------------- Timothy J. Gollin Manager GLOBAL UNDERVALUED SECURITIES FUND, L.P., a Cayman Islands exempted limited partnership By: Travis Street Partners, LLC Attorney-in-Fact By: /s/ Timothy J. Gollin ------------------------------------------- Timothy J. Gollin Manager 16 GLOBAL UNDERVALUED SECURITIES FUND, LTD., a Cayman Islands exempted company By: Travis Street Partners, LLC Attorney-in-Fact By: /s/ Timothy J. Gollin ------------------------------------------- Timothy J. Gollin Manager GLOBAL UNDERVALUED SECURITIES FUND (QP), L.P., a Cayman Islands exempted limited partnership By: Travis Street Partners, LLC Attorney-in-Fact By: /s/ Timothy J. Gollin ------------------------------------------- Timothy J. Gollin Manager KLEINHEINZ CAPITAL PARTNERS LDC, a Cayman Islands exempted limited duration company By: Travis Street Partners, LLC Attorney-in-Fact By: /s/ Timothy J. Gollin ------------------------------------------- Timothy J. Gollin Manager John B. Kleinheinz By: Travis Street Partners, LLC Attorney-in-Fact By: /s/ Timothy J. Gollin ------------------------------------------- Timothy J. Gollin Manager 17 J. Kenneth Phillips By: Travis Street Partners, LLC Attorney-in-Fact By: /s/ Timothy J. Gollin ------------------------------------------- Timothy J. Gollin Manager 18 EX-99 2 ex-9.txt EXHIBIT 9 EXHIBIT 9 STANDSTILL AGREEMENT This STANDSTILL AGREEMENT, dated as of June 5, 2001 and effective as of the Effective Date (as defined below) (this "Agreement"), is among Travis Street Partners, LLC ("TSP") and Asher O. Pacholder, Sylvia A. Pacholder, Robin E. Pacholder, Tom D. Pacholder, David M. Gerst and Pacholder Associates, Inc. ("PAI") (each, a member of, and collectively, the "Pacholder Group"). WHEREAS, it is contemplated by the parties that Asher O. Pacholder and Sylvia A. Pacholder may cease to be members of the Board of Directors of ICO, Inc. (the "Company") and all committees thereof and the Boards of Directors of all subsidiaries of the Company and all committees thereof; and WHEREAS, it is contemplated by the parties that each member of the Pacholder Group, other the PAI, may cease to be an employee of the Company pursuant to the terms of those certain respective proposed draft termination agreements; NOW, THEREFORE, in consideration of the mutual covenants contained herein, and intending to be legally bound hereby, the parties hereto agree as follows: 1. Effectiveness. The terms and provisions of this Agreement shall become effective upon each of Asher O. and Sylvia A. Pacholder ceasing to be an employee and a director of the Company, pursuant to the terms of those certain termination agreements expected to be entered into between the Company and such individuals (the "Termination Agreements"). (The time at which all of the foregoing shall have occurred is hereinafter referred to as the "Effective Time"). Notwithstanding anything herein to the contrary, no term or provision of this Agreement shall be binding on any party hereto until such time, if ever, as the Effective Time has occurred. 2. Term of this Agreement. The respective covenants and agreements of the Pacholder Group contained in Sections 3 and 4(b) of this Agreement (the "Standstill Agreements") shall remain in full force and effect during the period from the Effective Date through and including the third anniversary of the Effective Date (the "Standstill Period"). Except as otherwise expressly provided herein, at the end of the Standstill Period, the Standstill Agreements shall expire, but all other covenants and agreements of the parties contained in this Agreement shall survive and remain in full force and effect. 3. Certain Agreements of the Pacholder Group. No member of the Pacholder Group will, or will permit any entity under the control (including but not limited to funds or trusts under investment management control) of such member (whether alone or together with other Pacholder Group members) to, directly or indirectly: (a) solicit proxies with respect to any common stock or any other securities of the Company entitled to vote generally for the election of directors or any security convertible into or exchangeable for or exercisable for the purchase of common stock or other E-9-1 securities of the Company entitled to vote generally for the election of directors (collectively, "Voting Securities"), or become a "participant" in a "solicitation" (as such terms are defined in Regulation 14A under the Exchange Act of 1934, as amended) in opposition to the recommendation of the Board of Directors of the Company; or (b) deposit any Voting Securities in a voting trust or subject them to a voting agreement or other arrangement of similar effect; or (c) acquire or offer to acquire or agree to acquire, directly or indirectly, by purchase or otherwise any record or beneficial ownership of (a) Voting Securities, except (i) through stock splits, stock dividends or other pro rata distributions or offerings made by the Company to holders of any class of Voting Securities generally, (ii) if such acquisition is as a result of the issuance by the Company of Voting Securities pursuant to the terms of any merger or other means of acquisition in exchange for securities of a corporation or other entity acquired in whole or in part by the Company or any of its subsidiaries which securities were owned by any member of the Pacholder Group prior to the time of the first public announcement of the acquisition or, if sooner, the time any member of the Pacholder Group learned of the acquisition or (iii) upon the exercise of stock options to purchase shares of the Company's common stock vested in and held by members of the Pacholder Group as of the Effective Date or (b) the Company's 10-3/8% Senior Notes due 2007; or (d) join a partnership, limited partnership, syndicate, or other group or 13D Group (as hereinafter defined) (other than the Pacholder Group) for the purpose of acquiring, holding or disposing of Voting Securities within the meaning of Section 13(d) of the Securities Exchange Act of 1934. As used herein, the term "13D Group" shall mean any group of persons formed for the purpose of acquiring, holding, voting or disposing of Voting Securities which would be required under Section 13(d) of the Exchange Act and the rules and regulations thereunder (as now in effect and based on present legal interpretations thereof) to file a statement on Schedule 13D with the Securities and Exchange Commission as a "person" within the meaning of Section 13(d)(3) of the Exchange Act if such group beneficially owned more than 5% of any class of equity securities of the Company then outstanding; or (e) initiate, induce or attempt to induce or give encouragement to any other party or parties to initiate any proposal or tender or exchange offer for Voting Securities or to otherwise acquire any Voting Securities, or any change of control of the Company; or (f) make any proposal (or fail to withdraw on or promptly after the Effective Date any existing proposal) regarding a business combination or transaction involving the Company or solicit or invite proposals from, or otherwise induce or give encouragement to any other party or parties to make any proposal regarding a merger, consolidation, business combination or similar transaction involving the Company; or E-9-2 (g) acquire or permit any entity under his or her control (including but not limited to subsidiaries and employee pension, profit sharing or other trusts under investment management control of any member of the Pacholder Group) to acquire, by purchase or otherwise, more than 5% of any class of equity securities of any entity which, prior to the time the Pacholder Group acquires more than 5% of such class, is publicly disclosed (by filing with the Securities and Exchange Commission or otherwise) to be the beneficial owner of more than 5% of any class of Voting Securities; or (h) execute any written consent or demand in lieu of a meeting with respect to Voting Securities (other than written consents or demands in lieu of a meeting which are solicited by the Company) or otherwise take any action in the nature of a vote with respect to Voting Securities except at a meeting of the shareholders of the Company; or (i) call, or join with others in calling, any special meeting of the Company's shareholders. 4. Covenants of the Pacholder Group. Each member of the Pacholder Group hereby covenants and agrees that: (a) no member of the Pacholder Group will, directly or indirectly, bring or maintain or request or cause to be brought or maintained, or encourage, solicit or assist any third party to bring or maintain, or provide to or discuss with any third party any information respecting any basis for, any claim, action, cause of action, proceeding, or suit against any of the Released TSP Parties (as defined below) arising out of or in connection with the actions of TSP in its capacity as a shareholder of the Company or the actions or omissions of any member of TSP as an officer, director, employee or shareholder of the Company or its subsidiaries (the "TSP Actions") (other than arising out of a breach of this Agreement or the transactions contemplated herein) except as may be otherwise required by applicable law; and (b) each member of the Pacholder Group, on all matters for which Voting Securities are entitled to vote, either will vote or cause to be voted all of such member's respective Voting Securities as recommended by the Board of Directors of the Company or will abstain from voting, and cause not to be voted, such securities; provided, however, that no provision of this Section 4(b) will apply to PAI. 5. Representation, Warranty and Covenant of TSP. (a) TSP hereby represents and warrants that as of the Effective Date no member of TSP, other than Global Undervalued Securities Master Fund, L.P., beneficially owns shares of common stock of the Company. (b) TSP hereby covenants and agrees that it will not, directly or indirectly, bring or maintain or request or cause to be brought or maintained, or encourage, solicit or assist any third party to bring or maintain, or provide to or discuss with any third party any information respecting any basis for, any claim, action, cause of action, proceeding, or suit against any of the Released Pacholder E-9-3 Parties (as defined below) arising out of or in connection with any actions or omissions of any member of the Pacholder Group in its capacity as an officer, director, employee or shareholder of the Company or its subsidiaries (the "Pacholder Actions") (other than arising out of a breach of this Agreement or the transactions contemplated herein) except as may be otherwise required by applicable law. 6. Release. (a) In consideration of the covenants and agreements of the members of the Pacholder Group herein, TSP, for itself, in its capacity as a shareholder of the Company, and for its respective members, officers, employees, affiliates, agents, legal representatives, successors and assigns (with TSP, the "TSP Parties"), hereby releases and forever discharges each member of the Pacholder Group and each of his or her respective affiliates, heirs, agents, legal representatives, successors and assigns (with each member of the Pacholder Group, the "Released Pacholder Parties"), of and from any and all debts, demands, actions, causes of action, suits, proceedings, agreements, contracts, judgments, damages, accounts, reckonings, executions, claims and liabilities whatsoever of every name and nature, whether known or unknown, whether or not founded in fact or in law, and whether in law or equity or otherwise, which any of the TSP Parties ever had, now has, or can, shall or may have for or by reason of any matter, cause or anything whatsoever related to any Pacholder Actions on or prior to the Effective Date (other than arising out of a breach of this Agreement or the transactions contemplated thereby). (b) In consideration of the covenants and agreements of TSP herein, each member of the Pacholder Group, for himself or herself or itself and for his or her or its shareholders, officers, employees, respective affiliates, heirs, agents, legal representatives, successors and assigns (the "Pacholder Parties"), hereby releases and forever discharges TSP and each of its respective affiliates, members, managers, officers, employees, agents, legal representatives, successors and assigns (with TSP, the "Released TSP Parties"), of and from any and all debts, demands, actions, causes of action, suits, proceedings, agreements, contracts, judgments, damages, accounts, reckonings, executions, claims and liabilities whatsoever of every name and nature, whether known or unknown, whether or not founded in fact or in law, and whether in law or equity or otherwise, which any of the Pacholder Parties ever had, now has or can, shall or may have for or by reason of any matter, cause or anything whatsoever related to any TSP Actions on or prior to the Effective Date (other than arising out of a breach of this Agreement or the transactions contemplated thereby). 7. Reservation of Rights. Notwithstanding the foregoing, each of the parties hereto agrees that nothing in this Agreement shall in any way release any party from its obligations and requirements, nor waive any party's rights, pursuant to this Agreement. 8. Specific Enforcement; Other Remedies. Notwithstanding the foregoing, each of the parties hereto acknowledges and agrees that the other would be irreparably damaged in the event any of the provisions of this Agreement were not performed in accordance with its specific terms or were otherwise breached. It is accordingly agreed that the non-breaching party shall be entitled to an injunction or injunctions to prevent breaches of the provisions of this Agreement and to enforce specifically the terms and E-9-4 provisions hereof in any court of the United States or any state thereof having jurisdiction, in addition to any other remedy to which such non-breaching party may be entitled at law or equity. 9. Notices. All notices, requests, claims, demands and other communications hereunder shall be in writing and shall be given by personal delivery, facsimile or by mail (registered or certified mail, postage prepaid, return receipt requested) to the respective parties as follows: If to any member of the Pacholder Group other than to PAI, to such member as follows: Robin E. Pacholder or David M. Gerst 11455 Clover Avenue Los Angeles, California 90066 Dr. Asher O. and Sylvia A. Pacholder 3435 Westheimer, No. 1414 Houston, Texas 77027 Tom D. Pacholder 2022 Augusta Houston, Texas 77057 in each case with a copy to: Mayor, Day, Caldwell & Keeton, L.L.P. 700 Louisiana, Suite 1900 Houston, Texas 77002 Telecopy No.: (713) 225-7047 Attention: Diana Hudson If to PAI: Pacholder Associates, Inc. 8044 Montgomery Road, Suite 480 Cincinnati, Ohio 45236 Facsimile No.: (513) 985-3217 Attention: James P. Shanahan, Jr. If to TSP: Travis Street Partners, LLC 910 Travis Street, Suite 2150 Houston, Texas 77002 Facsimile No.: (713) 759-2040 Attention: Christopher N. O'Sullivan E-9-5 with a copy to: Weil, Gotshal & Manges LLP 700 Louisiana, Suite 1600 Houston, Texas 77002 Facsimile No.: (713) 224-9511 Attention: Steven D. Rubin, Esq. or to such other address as any party to this Agreement shall specify by notice to the other party, and shall be deemed to have been given when received. 10. Severability. In case any provision in this Agreement shall be invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired thereby. 11. Descriptive Headings. Descriptive headings are for convenience only and shall not control or affect the meaning or construction of any provision of this Agreement. 12. Counterparts. For the convenience of the parties, any number of counterparts of this Agreement may be executed by either party hereto and each such executed counterpart shall be deemed to be, and shall be, an original instrument. 13. Successors and Assigns. Except as provided herein, this Agreement shall be binding upon and inure to the benefit of and be enforceable by the heirs, personal representatives, successors and assigns of the parties hereto. 14. Governing Law. This Agreement shall be governed by and construed and enforced in accordance with the laws of the State of Texas. 15. Amendment, Etc. This Agreement may not be amended, modified or supplemented except upon the execution and delivery of a written agreement executed by TSP and each member of the Pacholder Group. 16. Entire Agreement. This Agreement contains the entire understanding of the parties hereto with respect to the subject matter hereof and supersedes all prior or contemporaneous understandings, oral or written, between the parties hereto with respect to the subject matter hereof. E-9-6 IN WITNESS WHEREOF, the undersigned have caused this Agreement to be duly executed on the day and year first above written. TRAVIS STREET PARTNERS, LLC By: /s/ Christopher N. O'Sullivan -------------------------------------- Name: Christopher N. O'Sullivan Title: Manager By: /s/ Timothy J. Gollin -------------------------------------- Name: Timothy J. Gollin Title: Manager /s/ Asher O. Pacholder ------------------------------------------ Asher O. Pacholder /s/ Sylvia A. Pacholder ------------------------------------------ Sylvia A. Pacholder /s/ Robin E. Pacholder ------------------------------------------ Robin E. Pacholder /s/ Tom D. Pacholder ------------------------------------------ Tom D. Pacholder /s/ David M. Gerst ------------------------------------------ David M. Gerst E-9-7 PACHOLDER ASSOCIATES, INC. By: /s/ Asher O. Pacholder -------------------------------------- Name: Asher O. Pacholder Title: President E-9-8 -----END PRIVACY-ENHANCED MESSAGE-----