-----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, H8mu67msE6NiuRgOA3GMbZXn3nIIhe/4KDoUUhDtHw4EcaCq+bhw/5CO5UVA5lui i5V8XEa/uvcHjAGtDqcebg== 0000912057-00-006793.txt : 20000215 0000912057-00-006793.hdr.sgml : 20000215 ACCESSION NUMBER: 0000912057-00-006793 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CASELLA WASTE SYSTEMS INC CENTRAL INDEX KEY: 0000911177 STANDARD INDUSTRIAL CLASSIFICATION: REFUSE SYSTEMS [4953] IRS NUMBER: 030338873 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-52063 FILM NUMBER: 543730 BUSINESS ADDRESS: STREET 1: 25 GREENS HILL LANE P O BOX 866 CITY: RUTLAND STATE: VT ZIP: 05701 BUSINESS PHONE: 8027750325 MAIL ADDRESS: STREET 1: 25 GREENE HILL ROAD CITY: RUTLAND STATE: VT ZIP: 05702 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CASELLA DOUGLAS R CENTRAL INDEX KEY: 0001055353 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: CASELLA WASTE SYSTEMS INC STREET 2: 25 GREENS HILL LN CITY: RUTLAND STATE: VT ZIP: 05701 BUSINESS PHONE: 6175266500 MAIL ADDRESS: STREET 1: CASELLA WASTE SYSTEMS INC STREET 2: 25 GREENS HILL LN CITY: RUTLAND STATE: VT ZIP: 05701 SC 13G/A 1 SCHEDULE 13G-A SECURITIES AND EXCHANGE COMMISSION Washington, C.C. 20549 SCHEDULE 13G/A (Rule13a-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 2)* Casella Waste Systems, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Class A Common Stock, par value $.01 per share - ------------------------------------------------------------------------------- (Title of Class of Securities) 14744810 - ------------------------------------------------------------------------------- (CUSIP Number) Check the appropriate box to designate the rule pursuant to which the Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [x] Rule 13d-1(d) *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 in 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). Page 1 of 5 - ----------------------- ---------------------------- CUSIP No. 14744810 13G Page 2 of 5 Pages - ----------------------- ---------------------------- - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Douglas R. Casella - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] Inapplicable - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------------------------ 5 SOLE VOTING POWER 1,264,650 shares NUMBER OF --------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 1,600 shares OWNED BY --------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 1,264,650 shares PERSON --------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER 1,600 shares - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,266,250 shares (Consists of the following: (a) 577,050 shares of directly held Class A Common Stock; (b) 1,600 shares of indirectly held Class A Common Stock (which the reporting person disclaims beneficial ownership of); (c) 694,100 shares of Class B Common Stock; (d) 180,000 shares which Mr. Casella has the right to acquire within 60 days of December 31, 1999 upon the exercise of options; and (e) 13,500 shares which Mr. Casella has the right to acquire within 60 days of December 31, 1999 upon the exercise of warrants.) - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Inapplicable [ ] - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.5% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 5 Item 1(a) Name of Issuer: --------------- Casella Waste Systems, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 25 Greens Hill Lane Rutland, Vermont 05701 Item 2(a) Name of Person Filing: --------------------- Douglas R. Casella Item 2(b) Address of Principal Business Office or, if None, Residence: ------------------------------------------------ Douglas R. Casella c/o Casella Waste Systems, Inc. 25 Greens Hill Lane Rutland, Vermont 05701 Item 2(c) Citizenship: ----------- United States of America Item 2(d) Title of Class of Securities: ---------------------------- Class A Common Stock, $.01 par value per share Item 2(e) CUSIP Number: ------------ 14744810 Item 3 If this Statement is Filed Pursuant to Rule 13(d)-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: -------------------------------------------------------- Inapplicable Item 4 Ownership*: --------- (a) Amount Beneficially owned, 1,266,250 This amount includes 1,600 shares held by Mr. Harry R. Ryan III as trustee for Mr. Casella's two children, each a beneficiary of a trust - ---------------------------- * As of December 31, 1998 Page 3 of 5 holding 800 shares. Mr. Casella does not have voting power of such shares and disclaims beneficial ownership thereto. In addition, such amount includes 494,100 shares of Class B Common Stock, 180,000 shares of Class A Common Stock which Mr. Casella has the right to acquire within 60 days of December 31, 1999 upon the exercise of options and 13,500 shares of Class A Common Stock which Mr. Casella has the right to acquire within 60 days of December 31, 1999 upon the exercise of warrants. (b) Percent of class: 5.5% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,264,650 (ii) Shared power to vote or to direct the vote: 1,600 (iii) Sole power to dispose or to direct the disposition of: 1,264,650 (iv) Shared power to dispose or to direct the disposition of: 1,600 Item 5 Ownership of Five Percent or Less of a Class: -------------------------------------------- Inapplicable Item 6 Ownership of More than Five Percent on Behalf of Another Person: --------------------------------------------------------------- Mr. Harry R. Ryan III has the power to direct the receipt of dividends from, or the proceeds from the sale of, the 1,600 shares subject to the trusts referred to above in Item 4(a), of which Mr. Ryan is the trustee. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: --------------------------------------------------------------- Inapplicable Item 8 Identification and Classification of Members of the Group: ----------------------------------------------------------- Inapplicable Page 4 of 5 Item 9 Notice of Dissolution of Group: ------------------------------- Inapplicable Item 10 Certification: ------------- Inapplicable SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 14, 2000 ------------------------- Date /s/ Douglas R. Casella ------------------------- Douglas R. 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