-----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, P63TgyZEFc+IkCuy0PHz+8KqmaJGD92fxpuFC9XP6Z96QFZULGesxTH/gjFz763S ZeENpl0Sdf7bgwzOmQnwWA== 0000950142-04-004055.txt : 20041130 0000950142-04-004055.hdr.sgml : 20041130 20041130155459 ACCESSION NUMBER: 0000950142-04-004055 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20041130 DATE AS OF CHANGE: 20041130 GROUP MEMBERS: AVENUE CAPITAL MANAGEMENT II, LLC GROUP MEMBERS: AVENUE CAPITAL PARTNERS II, LLC GROUP MEMBERS: AVENUE CAPITAL PARTNERS III, LLC GROUP MEMBERS: AVENUE INTERNATIONAL, LTD. GROUP MEMBERS: AVENUE INVESTMENTS, LP GROUP MEMBERS: AVENUE PARTNERS, LLC GROUP MEMBERS: AVENUE SPECIAL SITUATIONS FUND II, LP GROUP MEMBERS: AVENUE SPECIAL SITUATIONS FUND III, LP GROUP MEMBERS: GL PARTNERS II, LLC GROUP MEMBERS: GL PARTNERS III, LLC GROUP MEMBERS: MARC LASRY FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LASRY MARC CENTRAL INDEX KEY: 0001259927 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: C/O AVENUE CAPITAL STREET 2: 535 MADISON AVE 15TH CITY: NEW YORK STATE: NY ZIP: 10022 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHWESTERN CORP CENTRAL INDEX KEY: 0000073088 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 460172280 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-36015 FILM NUMBER: 041174684 BUSINESS ADDRESS: STREET 1: 125 S DAKOTA AVENUE STREET 2: SUITE 1100 CITY: SIOUX STATE: SD ZIP: 57104 BUSINESS PHONE: 6059782908 MAIL ADDRESS: STREET 1: 125 S DAKOTA AVENUE STREET 2: SUITE 1100 CITY: SIOUX STATE: SD ZIP: 57104 FORMER COMPANY: FORMER CONFORMED NAME: NORTHWESTERN PUBLIC SERVICE CO DATE OF NAME CHANGE: 19920703 SC 13D/A 1 sc13da2-northwestern.txt AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* NORTHWESTERN CORPORATION (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 668074305 (CUSIP Number) MS. SONIA E. GARDNER AVENUE CAPITAL MANAGEMENT II, LLC 535 MADISON AVENUE 14TH FLOOR NEW YORK, NEW YORK 10022 (212) 850-7519 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) with a copy to: KENNETH M. SCHNEIDER PAUL, WEISS, RIFKIND, WHARTON & GARRISON LLP 1285 AVENUE OF THE AMERICAS NEW YORK, NEW YORK 10019-6064 NOVEMBER 2, 2004 (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 Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [_]. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Continued on following pages Page 1 of 19 pages - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 2 of 19 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: GL Partners II, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER: -0- NUMBER OF UNITS ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER: 87,717 OWNED BY EACH ---------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER: -0- PERSON WITH ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER: 87,717 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 87,717 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.2% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: 00 - -------------------------------------------------------------------------------- - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 3 of 19 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: Avenue Capital Partners II, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER: -0- NUMBER OF UNITS ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER: 87,717 OWNED BY EACH ---------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER: -0- PERSON WITH ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER: 87,717 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 87,717 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.2% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: OO - -------------------------------------------------------------------------------- - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 4 of 19 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: Avenue Special Situations Fund II, LP - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER: -0- NUMBER OF UNITS ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER: 87,717 OWNED BY EACH ---------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER: -0- PERSON WITH ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER: 87,717 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 87,717 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.2% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: PN - -------------------------------------------------------------------------------- - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 5 of 19 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: Avenue Capital Management II, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER: -0- NUMBER OF UNITS ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER: 1,884,636 OWNED BY EACH ---------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER: -0- PERSON WITH ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER: 1,884,636 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 1,884,636 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 5.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IA - -------------------------------------------------------------------------------- - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 6 of 19 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: Avenue Investments, LP - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER: -0- NUMBER OF UNITS ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER: 253,359 OWNED BY EACH ---------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER: -0- PERSON WITH ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER: 253,359 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 253,359 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: PN - -------------------------------------------------------------------------------- - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 7 of 19 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: Avenue Partners, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: New York - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER: -0- NUMBER OF UNITS ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER: 253,359 OWNED BY EACH ---------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER: -0- PERSON WITH ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER: 253,359 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 253,359 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: OO - -------------------------------------------------------------------------------- - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 8 of 19 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: Avenue International, Ltd. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Cayman Islands - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER: -0- NUMBER OF UNITS ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER: 800,740 OWNED BY EACH ---------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER: -0- PERSON WITH ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER: 800,740 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 800,740 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: OO - -------------------------------------------------------------------------------- - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 9 of 19 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: Avenue Special Situations Fund III, LP - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER: -0- NUMBER OF UNITS ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER: 742,820 OWNED BY EACH ---------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER: -0- PERSON WITH ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER: 742,820 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 742,820 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: PN - -------------------------------------------------------------------------------- - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 10 of 19 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: Avenue Capital Partners III, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER: -0- NUMBER OF UNITS ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER: 742,820 OWNED BY EACH ---------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER: -0- PERSON WITH ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER: 742,820 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 742,820 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: OO - -------------------------------------------------------------------------------- - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 11 of 19 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: GL Partners III, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER: -0- NUMBER OF UNITS ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER: 742,820 OWNED BY EACH ---------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER: -0- PERSON WITH ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER: 742,820 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 742,820 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: OO - -------------------------------------------------------------------------------- - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 12 of 19 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: Marc Lasry - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER: -0- NUMBER OF UNITS ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER: 1,884,636 OWNED BY EACH ---------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER: -0- PERSON WITH ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER: 1,884,636 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 1,884,636 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 5.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IN - -------------------------------------------------------------------------------- - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 13 of 19 Pages - ---------------------- ---------------------- Item 1. SECURITY AND ISSUER No material change. Item 2. IDENTITY AND BACKGROUND No material change. Item 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION No material change. Item 4. PURPOSE OF TRANSACTION No material change. Item 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 of the Schedule 13D is amended and restated in its entirety to read as follows: (a) Based upon information set forth in the Company's Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2004, there were 35,500,000 shares of Common Stock issued and outstanding at November 8, 2004. As of the date hereof: - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 14 of 19 Pages - ---------------------- ---------------------- a. Avenue Investments, LP beneficially directly owns 253,359 shares of Common Stock (which includes 190 shares issuable upon the exercise of warrants), constituting 0.7% of the Company's outstanding shares, which shares may be deemed to be beneficially indirectly owned by Avenue Partners, LLC (in its capacity as general partner), Avenue Capital Management II, LLC (in its capacity as investment advisor), and Mr. Lasry as described below; b. Avenue International, Ltd. beneficially directly owns 800,740 shares of Common Stock (which includes 680 shares issuable upon the exercise of warrants), constituting 2.3% of the Company's outstanding shares, which shares may be deemed to be beneficially indirectly owned by Avenue Capital Management II, LLC (in its capacity as investment advisor), and Mr. Lasry as described below; c. Avenue Special Situations Fund II, LP beneficially directly owns 87,717 shares of Common Stock (which includes 463 shares issuable upon the exercise of warrants), constituting approximately 0.2% of the Company's outstanding shares, which shares may be deemed to be beneficially indirectly owned by Avenue Capital Partners II, LLC (in its capacity as general partner), GL Partners II, LLC (in its capacity as managing member of the general partner), Avenue Capital Management II, LLC (in its capacity as investment advisor), and Mr. Lasry as described below; d. Avenue Special Situations Fund III, LP beneficially directly owns 742,820 shares of Common Stock (which includes 735 shares issuable upon the exercise of warrants), constituting 2.1% of the Company's outstanding shares, which shares may be deemed to be beneficially indirectly owned by Avenue Capital Partners III, LLC (in its capacity as general partner), GL Partners III, LLC (in its capacity as managing member of the general partner), Avenue Capital Management II, LLC (in its capacity as investment advisor), and Mr. Lasry as described below. As of the date hereof, Avenue Capital Management II, LLC, as investment advisor to Avenue Investments, LP, Avenue International Ltd., Avenue Special Situations Fund II, LP and Avenue Special Situations Fund III, LP , and Mr. Lasry, in his capacity as principal control person of all of the other Reporting Persons, may each be deemed to own beneficially indirectly 1,884,636 shares of Common Stock (which includes 2,068 shares issuable upon the exercise of warrants), constituting approximately 5.3% of the Company's outstanding shares, which figure includes the shares owned directly by Avenue Investments, LP, Avenue International, Ltd., Avenue Special Situations Fund II, LP, and Avenue Special Situations Fund III, LP, described above. (b) No material change. (c) Since the most recent filing on Schedule 13D, Reporting Persons have sold shares through NASDAQ as follows:
Reporting Person Date No. of Shares Sold Price Per Share Aveune Investments, LP 11/24/04 37,856 $25.71 Avenue Investments, LP 11/26/04 10,355 $25.78 Avenue International, Ltd. 11/24/04 119,633 $25.71 Avenue International, Ltd. 11/26/04 32,724 $25.78 Avenue Special Situations Fund II, LP 11/24/04 13,047 $25.71 Avenue Special Situations Fund II, LP 11/26/04 3,569 $25.78 Avenue Special Situations Fund III, LP 11/24/04 110,964 $25.71 Avenue Special Situations Fund III, LP 11/26/04 30,352 $25.78
Except as set forth in this paragraph (c), to the best knowledge of each of the Reporting Persons, none of the persons named in response to paragraph (a) has effected any transactions in the shares since the most recent filing on Schedule 13D. (d) Not applicable. (e) Not applicable. - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 15 of 19 Pages - ---------------------- ---------------------- Item 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER No material change. Item 7. MATERIAL TO BE FILED AS EXHIBITS Exhibit 1: Joint Filing Agreement, dated November 30, 2004, among Avenue Investments, LP, Avenue Partners, LLC, Avenue International, Ltd., Avenue Special Situations Fund II, LP, Avenue Capital Partners II, LLC, GL Partners II, LLC, Avenue Special Situations Fund III, LP, Avenue Capital Partners III, LLC, GL Partners III, LLC, and Avenue Capital Management II, LLC and Marc Lasry. - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 16 of 19 Pages - ---------------------- ---------------------- SIGNATURES After reasonable inquiry and to the best of my (our) knowledge and belief, I (we) certify that the information set forth in this statement is true, complete and correct. Date: November 30, 2004 AVENUE INVESTMENTS, LP By: Avenue Partners, LLC Its general partner By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member AVENUE PARTNERS, LLC By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member AVENUE INTERNATIONAL, LTD. By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Director AVENUE SPECIAL SITUATIONS FUND II, LP By: Avenue Capital Partners II, LLC Its general partner By: GL Partners II, LLC Its managing member By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 17 of 19 Pages - ---------------------- ---------------------- AVENUE CAPITAL PARTNERS II, LLC By: GL Partners II, LLC, Its managing member By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member GL PARTNERS II, LLC By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member AVENUE SPECIAL SITUATIONS FUND III, LP By: Avenue Capital Partners III, LLC Its general partner By: GL Partners III, LLC Its managing member By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member AVENUE CAPITAL PARTNERS III, LLC By: GL Partners III, LLC, Its managing member By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member GL PARTNERS III, LLC By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 18 of 19 Pages - ---------------------- ---------------------- AVENUE CAPITAL MANAGEMENT II, LLC By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member /s/ Marc Lasry --------------------------- Marc Lasry, an individual - ---------------------- ---------------------- CUSIP NO. 668074305 SCHEDULE 13D Page 19 of 19 Pages - ---------------------- ---------------------- ANNEX A EXECUTIVE OFFICERS AND DIRECTORS OF AVENUE INTERNATIONAL, LTD.
NAME/TITLE/CITIZENSHIP PRINCIPAL OCCUPATION BUSINESS ADDRESS - ---------------------- -------------------- ---------------- Marc Lasry Principal of entities related to Avenue 535 Madison Avenue, 14th Floor Director and President Capital Management II, LLC New York, New York 10022 United States Sonia Gardner Principal of entities related to Avenue 535 Madison Avenue, 14th Floor Director and Secretary Capital Management II, LLC New York, New York 10022 United States Don Seymour Director of dms Management Ltd. dms Management Ltd. Director P.O. Box 31910 SMB Cayman Islands Cayman Financial Centre, Tower 3 Grand Cayman, Cayman Islands Blair Brinkley Director of dms Management Ltd. dms Management Ltd. Director P.O. Box 31910 SMB Canada Cayman Financial Centre, Tower 3 Grand Cayman, Cayman Islands Aldo Ghisletta Director of dms Management Ltd. dms Management Ltd. Director P.O. Box 31910 SMB Switzerland Cayman Financial Centre, Tower 3 Grand Cayman, Cayman Islands Admiral Administration, Ltd. Administrator of Avenue International, P.O. Box 32021 SMB Assistant Secretary Ltd. Anchorage Centre, 2nd Floor George Town Grand Cayman, Cayman Islands British West Indies
Except as otherwise disclosed elsewhere in this Schedule 13D, to the best of the Reporting Persons' knowledge: (a) None of the above persons hold any Common Stock or securities derivative thereof. (b) None of the above persons has any contracts, arrangements, understandings or relationships with respect to the Common Stock or securities derivative thereof. EX-1 2 ex1_sc13da2-northwestern.txt EXHIBIT 1 EXHIBIT 1 --------- JOINT FILING AGREEMENT Avenue Partners, LLC, a New York limited liability company; Avenue Capital Partners II, LLC, GL Partners II, LLC, Avenue Capital Partners III, LLC, GL Partners III, LLC and Avenue Capital Management II, LLC, each a Delaware limited liability company; Avenue Investments, LP, Avenue Special Situations Fund II, LP, and Avenue Special Situations Fund III, LP, each a Delaware limited partnership; Avenue International, Ltd., a Cayman Islands exempted company; and Marc Lasry, an individual, hereby agree to file jointly the statement on Schedule 13D to which this Agreement is attached and any amendments thereto which may be deemed necessary, pursuant to Regulation 13D-G under the Securities Exchange Act of 1934. It is understood and agreed that each of the parties hereto is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the information concerning such party contained therein, but such party is not responsible for the completeness and accuracy of information concerning any other party unless such party knows or has reason to believe such information is inaccurate. It is understood and agreed that a copy of this Agreement shall be attached as an exhibit to the statement on Schedule 13D, and any amendments thereto, filed on behalf of each of the parties hereto. Dated: November 29, 2004 AVENUE INVESTMENTS, LP By: Avenue Partners, LLC Its general partner By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member AVENUE PARTNERS, LLC By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member AVENUE INTERNATIONAL, LTD. By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Director AVENUE SPECIAL SITUATIONS FUND II, LP By: Avenue Capital Partners II, LLC Its general partner By: GL Partners II, LLC Its managing member By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member AVENUE CAPITAL PARTNERS II, LLC By: GL Partners II, LLC, Its managing member By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member GL PARTNERS II, LLC By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member AVENUE SPECIAL SITUATIONS FUND III, LP By: Avenue Capital Partners III, LLC Its general partner By: GL Partners III, LLC Its managing member By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member AVENUE CAPITAL PARTNERS III, LLC By: GL Partners III, LLC, Its managing member By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member GL PARTNERS III, LLC By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member AVENUE CAPITAL MANAGEMENT II, LLC By: /s/ Marc Lasry --------------------------- Name: Marc Lasry Title: Managing Member /s/ Marc Lasry --------------------------- Marc Lasry, an individual -----END PRIVACY-ENHANCED MESSAGE-----