-----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, LyoG6NGL3T7cYesNQw7XnUCfWaToI1GJO0hF/HLbFoRQUZm/xtlvO3/W637wnJUs vqlj1W/oU4NgTXe26oojow== 0000909518-02-000016.txt : 20020413 0000909518-02-000016.hdr.sgml : 20020413 ACCESSION NUMBER: 0000909518-02-000016 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20020108 GROUP MEMBERS: A. JOHN KNAPP GROUP MEMBERS: CHARLES T. MCCORD, III GROUP MEMBERS: CHRISTOPHER N. O'SULLIVAN GROUP MEMBERS: CHRISTOPHER P. SCULLY GROUP MEMBERS: GLOBAL UNDERVALUED SECURITIES FUND, (QP), L.P. GROUP MEMBERS: GLOBAL UNDERVALUED SECURITIES FUND, L.P. GROUP MEMBERS: GLOBAL UNDERVALUED SECURITIES FUND, LTD. GROUP MEMBERS: GLOBAL UNDERVALUED SECURITIES MASTER FUND, L.P. GROUP MEMBERS: J. KENNETH PHILLIPS GROUP MEMBERS: JAMES D. CALAWAY GROUP MEMBERS: JOHN B. KLEINHEINZ GROUP MEMBERS: JOHN V. WHITING GROUP MEMBERS: KLEINHEINZ CAPITAL PARTNERS LDC GROUP MEMBERS: KLEINHEINZ CAPITAL PARTNERS, INC. GROUP MEMBERS: TIMOTHY J. GOLLIN 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: 1934 Act SEC FILE NUMBER: 005-34170 FILM NUMBER: 2504190 BUSINESS ADDRESS: STREET 1: 5333 WESTHEIMER ROAD STREET 2: SUITE 600 CITY: HOUSTON STATE: TX ZIP: 77056 BUSINESS PHONE: 7133514100 MAIL ADDRESS: STREET 1: 5333 WESTHEIMER ROAD STREET 2: SUITE 600 CITY: HOUSTON STATE: TX ZIP: 77056 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 a1-8sc13da11.txt ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11) ---------- 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 5333 Westheimer Road, Suite 600 Houston, Texas 77056 (713) 759-2030 (Name, address and telephone number of person authorized to receive notices and communications) with copy to: Steven D. Rubin Weil, Gotshal & Manges LLP 700 Louisiana, Suite 1600 Houston, Texas 77002 (713) 546-5000 December 31, 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 23 pages) ================================================================================
--------------------------------------------------------------------------------------- 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): 5.05% --------------------------------------------------------------------------------------- 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: 205,000 SHARES --------------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 1,158,300 OWNED BY --------------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER: 205,000 REPORTING --------------------------------------------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER: 1,158,300 --------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 1,363,300 --------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] --------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 5.89% --------------------------------------------------------------------------------------- 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: 248,286 SHARES --------------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 1,158,300 OWNED BY --------------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER: 248,286 REPORTING --------------------------------------------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER: 1,158,300 --------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 1,363,300 --------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] --------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 6.07% --------------------------------------------------------------------------------------- 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): 2.17% --------------------------------------------------------------------------------------- 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): 2.17% --------------------------------------------------------------------------------------- 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): 2.17% --------------------------------------------------------------------------------------- 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): 2.17% --------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: PN ---------------------------------------------------------------------------------------
8
--------------------------------------------------------------------------------------- NAME OF REPORTING PERSON Kleinheinz Capital Partners 1 S.S. OR I.R.S. IDENTIFICATION NO. LDC 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): 2.17% --------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: CO ---------------------------------------------------------------------------------------
9
--------------------------------------------------------------------------------------- NAME OF REPORTING PERSON Kleinheinz Capital Partners, 1 S.S. OR I.R.S. IDENTIFICATION NO. Inc. 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): 2.17% --------------------------------------------------------------------------------------- 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): 2.17% --------------------------------------------------------------------------------------- 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): 2.17% -------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IN --------------------------------------------------------------------------------------
12
--------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON A. John Knapp 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 --------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] --------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: U.S.A. --------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER: 165,325 SHARES --------------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 0 OWNED BY --------------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER: 165,325 REPORTING --------------------------------------------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER: 0 --------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 145,325 --------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] --------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.72% --------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IN ---------------------------------------------------------------------------------------
13
--------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Charles T. McCord, III 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 --------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] --------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: U.S.A. --------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER: 92,075 SHARES --------------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 0 OWNED BY --------------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER: 92,075 REPORTING --------------------------------------------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER: 0 --------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 88,675 --------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] --------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.40% --------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IN ---------------------------------------------------------------------------------------
14
--------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON John V. Whiting 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 --------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] --------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: --------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER: 25,000 SHARES --------------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 0 OWNED BY --------------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER: 25,000 REPORTING --------------------------------------------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER: 0 --------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 25,000 --------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] --------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.11% --------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IN ---------------------------------------------------------------------------------------
15
--------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON James D. Calaway 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 --------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] --------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: U.S.A. --------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER: 5,000 SHARES --------------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 0 OWNED BY --------------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER: 5,000 REPORTING --------------------------------------------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER: 0 --------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 5,000 --------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] --------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.02% --------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IN ---------------------------------------------------------------------------------------
16
--------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Christopher P. Scully 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 --------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] --------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: U.S.A. --------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER: 128,000 SHARES --------------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 0 OWNED BY --------------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER: 128,000 REPORTING --------------------------------------------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER: 0 --------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 12,000 --------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] --------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.56% --------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IN ---------------------------------------------------------------------------------------
17 This Amendment No. 11 ("Amendment No.11") 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, Amendment No. 7 filed on May 9, 2001, Amendment No. 8 filed on June 7, 2001, Amendment No. 9 filed on September 21, 2001 and Amendment No. 10 filed on December 28, 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" and; 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"), J. Kenneth Phillips ("Phillips") (individually "Phillips"; together with Global, Global L.P., Global Ltd., Global QP, KC LDC, KC Inc. and Kleinheinz, the "Global Reporting Persons"), A. John Knapp ("Knapp"), Charles T. McCord, III ("McCord"), John V. Whiting ("Whiting"), James D. Calaway ("Calaway") and Christopher P. Scully (individually "Scully"; and together with the Global Reporting Persons, the TSP Reporting Persons, Knapp, McCord, Whiting and Calaway, 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 second paragraph thereof in its entirety to read as follows: The business address of Gollin is 11490 Westheimer, Suite 1000, Houston, Texas 77002. The business address of each of O'Sullivan and TSP is 5333 Westheimer Road, Suite 600, Houston, Texas 77056. 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. The business address of Knapp is 5333 Westheimer Road, Suite 600, Houston, Texas 77056. The business address of McCord is 1201 Louisiana, Houston, Texas 77002. The business address of Whiting is 10800 Boxley Bend Rd., College Station, Texas 77845. The business address of Scully is 777 Post Oak Blvd., Houston, Texas 77056. The business address of Calaway is 1200 Smith, Houston, Texas 77002. Except as indicated above, the information set forth in Item 2 of the Schedule 13D remains unchanged. 18 ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The aggregate amount of funds required to purchase the aggregate of 43,286 Shares purchased by O'Sullivan was $50,416, including brokerage commissions. All funds used to purchase Shares were obtained from personal funds. The aggregate amount of funds required to purchase the aggregate of 160,325 Shares purchased by Knapp was $184,935, including brokerage commissions. All funds used to purchase Shares were obtained from personal funds. The aggregate amount of funds required to purchase the aggregate of 87,075 Shares purchased by McCord was $100,194, including brokerage commissions. All funds used to purchase Shares were obtained from personal funds. The aggregate amount of funds required to purchase the aggregate of 25,000 Shares purchased by Whiting was $28,863, including brokerage commissions. All funds used to purchase Shares were obtained from personal funds. The aggregate amount of funds required to purchase the aggregate of 128,000 Shares purchased by Scully was $153,868, including brokerage commissions. All funds used to purchase Shares were obtained from personal funds. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 of the Schedule 13D is amended by amending and restating subsections (a), (b) and (c) of the Schedule 13D in their entirety to read as follows: (a) As of the date of this Statement, the Reporting Persons beneficially owned in the aggregate 2,524,836 Shares, of which 425,000 Shares are issuable upon exercise of stock options granted by the Company to Messrs. Calaway, Knapp, and McCord (each of whom received options to acquire 5,000 Shares) and to Messrs. Gollin and O'Sullivan (each of whom received options to acquire 205,000 Shares), constituting 10.80% of the outstanding Shares (the percentage of Shares owned being based upon 22,956,987 Shares outstanding on December 20, 2001, as set forth in the Company's Annual Report on Form 10-K for the fiscal year ended September 30, 2001). Each of the TSP Managers possesses shared voting and investment power over, and may be deemed to beneficially own, Shares which TSP beneficially owns. Each of the TSP Managers disclaims beneficial ownership of such Shares for all other purposes. Each of Global L.P., Global Ltd., Global QP, KC LDC, KC Inc., Kleinheinz and Phillips possesses shared voting and investment power over, and may be deemed to beneficially own, Shares which Global beneficially owns. Each of Global L.P., Global Ltd., Global QP, KC LDC, KC Inc., Kleinheinz and Phillips disclaims beneficial ownership of such Shares for all other purposes. 19 None of the TSP Reporting Persons possesses voting or investment power over any Shares which any Global Reporting Person beneficially owns, and each of the TSP Reporting Persons disclaims beneficial ownership of any such Shares. None of the Global Reporting Persons possesses voting or investment power over any Shares which any TSP Reporting Person beneficially owns, and each of the Global Reporting Persons disclaims beneficial ownership of any such Shares. (b) The responses to Items 7-11 on each of pages 2-17 hereof which relate to voting and disposition of Shares with respect to each Reporting Person are incorporated herein by reference. (c) Except as set forth on Exhibit 1, the Reporting Persons have not engaged in any transactions in the Shares during the past sixty days. Except as indicated above, the information set forth in Item 5 of the Schedule 13D remains unchanged. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. The following Exhibits are filed herewith: 1. Acquisition of Shares Effected by Reporting Persons During Past 60 Days. 2. Joint Filing Agreement [The remainder of this page intentionally left blank.] 20 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: January 8, 2002 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 /s/ Charles T. McCord, III ---------------------------------- Charles T. McCord, III /s/ A. John Knapp ---------------------------------- A. John Knapp /s/ John V. Whiting ---------------------------------- John V. Whiting /s/ James D. Calaway ---------------------------------- James D. Calaway /s/ Christopher P. Scully ---------------------------------- Christopher P. Scully 21 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 GLOBAL UNDERVALUED SECURITIES FUND, LTD., a Cayman Islands exempted company By: /s/ Timothy J. Gollin ---------------------------------- Timothy J. Gollin Manager 22 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 J. Kenneth Phillips By: Travis Street Partners, LLC Attorney-in-Fact By: /s/ Timothy J. Gollin ---------------------------------- Timothy J. Gollin Manager 23 EX-99 3 a1-8ex1.txt EXHIBIT 1 Exhibit 1 TRANSACTIONS IN SHARES EFFECTED BY REPORTING PERSONS DURING PAST 60 DAYS
Date of Transaction Number of Price Per Nature of Transaction* (Trade Date) Shares Share** ---------------------- ------------ ------ ------- Purchase of Shares by Knapp 12/21/01 105,325 $ 1.1427 Purchase of Shares by McCord 12/21/01 57,450 $ 1.1427 Purchase of Shares by O'Sullivan 12/21/01 25,000 $ 1.1427 Purchase of Shares by Whiting 12/21/01 3,725 $ 1.1427 Purchase of Shares by Whiting 12/24/01 10,000 $ 1.15 Purchase of Shares by Knapp 12/26/01 35,000 $ 1.1624 Purchase of Shares by McCord 12/26/01 26,225 $ 1.1624 Purchase of Shares by Whiting 12/26/01 11,275 $ 1.1624 Purchase of Shares by Scully 12/27/01 12,000 $ 1.17 Purchase of Shares by Scully 12/28/01 5,000 $ 1.18 Purchase of Shares by Knapp 12/31/01 20,000 $ 1.1948 Purchase of Shares by McCord 12/31/01 3,400 $ 1.1948 Purchase of Shares by O'Sullivan 12/31/01 18,286 $ 1.1948 Purchase of Shares by Scully 12/31/01 83,000 $ 1.1948 Purchase of Shares by Scully 12/31/01 28,000 $ 1.2414
*Except as otherwise indicated, all transactions were effected by ordinary broker's transactions in the over-the-counter market. **Includes broker's commissions. Exh.1-1 EX-99 4 a1-8ex2.txt EXHIBIT 2 Exhibit 2 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities and Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of them of a statement on Schedule 13D (including amendments thereto) with respect to the common stock, with no par value, of ICO, Inc.; and further agree that this Joint Filing Agreement be included as Exhibit 2 of such joint filing. In evidence thereof, the undersigned hereby execute this Agreement this 8th day of January, 2002. 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 /s/ Charles T. McCord, III ---------------------------------- Charles T. McCord, III /s/ A. John Knapp ---------------------------------- A. John Knapp /s/ John V. Whiting ---------------------------------- John V. Whiting /s/ James D. Calaway ---------------------------------- James D. Calaway /s/ Christopher P. Scully ---------------------------------- Christopher P. Scully Exh 2-1 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 GLOBAL UNDERVALUED SECURITIES FUND, LTD., a Cayman Islands exempted company By: /s/ Timothy J. Gollin ---------------------------------- Timothy J. Gollin Manager Exh 2-2 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 J. Kenneth Phillips By: Travis Street Partners, LLC Attorney-in-Fact By: /s/ Timothy J. Gollin ---------------------------------- Timothy J. Gollin Manager Exh 2-3 -----END PRIVACY-ENHANCED MESSAGE-----