-----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, U4j18+DLH6N+CFBvPSSjBvnM45usltEpov/NyiIHrsRnJTSTjMqEG9jphzyzfRU0 wDYrq79ZQQW9hcMKza+KFw== 0000912057-02-006155.txt : 20020414 0000912057-02-006155.hdr.sgml : 20020414 ACCESSION NUMBER: 0000912057-02-006155 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 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: 1934 Act SEC FILE NUMBER: 005-52063 FILM NUMBER: 02547556 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 JOHN W CENTRAL INDEX KEY: 0001055352 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 a2070475zsc13ga.txt SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 --------------------- SCHEDULE 13G/A (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 4) CASELLA WASTE SYSTEMS, INC. --------------------------- (Name of Issuer) CLASS A COMMON STOCK, PAR VALUE $.01 PER SHARE ---------------------------------------------- (Title of Class of Securities) 1474481044 ------------------ (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [ X ] Rule 13d-1(d) CUISIP No. 147448104 13G Page 2 of 6 Pages
- ------- -------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) John W. 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 United States of America - ---------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 1,357,368 SHARES ----- -------------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 27,000 EACH ----- -------------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 1,357,368 WITH ----- -------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 27,000 - ------------------------- ----- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,384,368 shares (Consists of the following: (a) 544,768 shares of Class A Common Stock; (b) 494,100 shares of Class A Common Stock which Mr. Casella has the right to acquire within 60 days of December 31, 2001 upon the conversion of Class B Common Stock; (c) 305,000 shares of Class A Common Stock which Mr. Casella has the right to acquire within 60 days of December 31, 2001 upon the exercise of options; (d) 13,500 shares of Class A Common Stock which Mr. Casella has the right to acquire within 60 days of December 31, 2001 upon the exercise of warrants; and (e) 27,000 shares of Class A Common Stock held in irrevocable trusts for the benefit of Mr. Casella's children). - ------- -------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- -------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.9% - ------- -------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------- -------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT
CUISIP No. 147448104 13G Page 3 of 6 Pages 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: John W. Casella ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: John W. 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, par value $.01 per share ITEM 2(e). CUSIP NUMBER: 147448104 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Inapplicable ITEM 4. OWNERSHIP.* Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount Beneficially owned: 1,384,368 Consists of the following: (a) 544,768 shares of Class A Common Stock; (b) 494,100 shares of Class A Common Stock which Mr. - ----------------------------- * As of December 31, 2001 CUISIP No. 147448104 13G Page 4 of 6 Pages Casella has the right to acquire within 60 days of December 31, 2001 upon the conversion of Class B Common Stock; (c) 305,000 shares of Class A Common Stock which Mr. Casella has the right to acquire within 60 days of December 31, 2001 upon the exercise of options; (d) 13,500 shares of Class A Common Stock which Mr. Casella has the right to acquire within 60 days of December 31, 2001 upon the exercise of warrants; and (e) 27,000 shares of Class A Common Stock held in irrevocable trusts for the benefit of Mr. Casella's children. Mr. Casella does not have voting or investment power of such trust shares and disclaims beneficial ownership thereto. (b) Percent of class: 5.9% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,357,368 (ii) Shared power to vote or to direct the vote: 27,000 (iii) Sole power to dispose or to direct the disposition of: 1,357,368 (iv) Shared power to dispose or to direct the disposition of: 27,000 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. The trustee of the irrevocable trusts referred to in Item 4(a) above has the power to direct the receipt of dividends from, or the proceeds from the sale of, the 27,000 shares of Class A Common Stock subject to such trusts. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. Inapplicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Inapplicable CUISIP No. 147448104 13G Page 5 of 6 Pages ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Inapplicable ITEM 10. CERTIFICATIONS. Inapplicable - CUISIP No. 147448104 13G Page 6 of 6 Pages 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. /S/ JOHN W. CASELLA -------------------------------- John W. Casella FEBRUARY 6, 2002 -------------------------------- Date -----END PRIVACY-ENHANCED MESSAGE-----