-----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, OpyT5Ai4vnzdbPTcnnKhJwgjNTpEvM/BYstLvFMKotJiePeXSbLL4y9vGNj9HHGD lJ0UkGelPA/FAwualsRV4Q== 0000950135-00-005530.txt : 20001227 0000950135-00-005530.hdr.sgml : 20001227 ACCESSION NUMBER: 0000950135-00-005530 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20001226 GROUP MEMBERS: BERKSHIRE FUND V L P GROUP MEMBERS: BERKSHIRE INVESTORS LLC 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 13D/A SEC ACT: SEC FILE NUMBER: 005-52063 FILM NUMBER: 795386 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: BERKSHIRE FUND V L P CENTRAL INDEX KEY: 0001069736 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ONE BOSTON PLACE CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 6172270050 SC 13D/A 1 b37746a2sc13da.txt CASELLA WASTE SYSTEMS, INC. 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (RULE 13D-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13D-1(A) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(a) (AMENDMENT NO.2) CASELLA WASTE SYSTEMS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share - -------------------------------------------------------------------------------- (Title of Class of Securities) 14744810 - -------------------------------------------------------------------------------- (CUSIP Number) Edward Lafferty With a copy to: Berkshire Partners LLC David C. Chapin, Esq. One Boston Place Ropes & Gray 33rd Floor One International Place Boston, Massachusetts 02108 Boston, Massachusetts 02110 (617) 316-6027 (617) 951-7371 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 21, 2000 - -------------------------------------------------------------------------------- (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 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 Rule 13d-7 for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 8 Pages) 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 disclosures provided in a prior cover page. 8417336.2 2 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). 8417336.2 3 - ------------------- ------------------ CUSIP NO. 14744810 SCHEDULE 13D Page 2 of 6 Pages - ------------------- ------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Berkshire Fund V, Limited Partnership - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 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 Massachusetts - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER NUMBER OF 3,905,580 SHARES ----------------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER OWNED BY EACH ----------------------------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON 3,905,580 WITH ----------------------------------------------------------------- 10. SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,905,580 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ------------------------------------------------------------------------- ------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16.86% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- 8417336.2 4 - ------------------- ----------------- CUSIP NO. 14744810 SCHEDULE 13D Page 3 of 6 Pages - ------------------- ----------------- - ------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Berkshire Investors LLC - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 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 Massachusetts - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER NUMBER OF 390,522 SHARES ------------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER OWNED BY EACH ------------------------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON 390,522 WITH ------------------------------------------------------------- 10. SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 390,522 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ------------------------------------------------------------------------- ------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.69% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- 8417336.2 5 Unless set forth below, all previously reported Items are unchanged. 6 Item 5. INTEREST IN SECURITIES OF THE ISSUER. (a) By virtue of the relationships described herein, the Reporting Persons may be deemed to constitute a "group" within the meaning of Rule 13d-5 under the Exchange Act. As a member of a group, each Reporting Person may be deemed to share voting and dispositive power with respect to, and therefore beneficially own, the shares beneficially owned by members of the group as a whole. As of the date hereof, the Reporting Persons collectively own an aggregate of 4,296,102 shares, or approximately 18.55% of the outstanding shares based on 23,164,673 shares outstanding as of December 13, 2000 as reported by the Issuer on its quarterly report on Form 10-Q filed with the Commission on December 13, 2000. The filing of this Statement shall not be construed as an admission that the Reporting Persons beneficially own those shares held by any other members of the group. The Berkshire Principals are also the managing members of Berkshire Investors. (b) Fund V has sole voting power with respect to 3,905,580 shares of Common Stock and has sole dispositive power with respect to 3,905,580 shares of Common Stock. Fund V is the direct beneficial owner of the 3,905,580 shares of Common Stock over which it has voting and dispositive power. As the sole general partner of Fund V, Fifth Berkshire may be deemed to beneficially own 3,905,580 shares of Common Stock held by Fund V. The filing of this statement shall not be construed as an admission that Fifth Berkshire is, for the purpose of Section 13(d) of the Exchange Act, the beneficial owner of such shares held by Fund V. Berkshire Investors has sole voting power with respect to 390,522 shares of Common Stock and has sole dispositive power with respect to 390,522 shares of Common Stock. Berkshire Investors is the direct beneficial owner of the 390,522 shares of Common Stock over which it has voting and dispositive power. By virtue of their positions as managing members of Fifth Berkshire and Berkshire Investors, the Berkshire Principals may be deemed to possess indirect beneficial ownership of the shares of Common Stock beneficially owned by Fund V and Berkshire Investors. However, none of the Berkshire Principals, acting alone, has voting or investment power with respect to the shares beneficially owned by Fund V or Berkshire Investors, and, as a result, each Berkshire Principal disclaims beneficial ownership of such shares of Common Stock. (c) Annex A attached hereto and incorporated herein by reference sets forth all of the transactions in shares of Common Stock entered into by the Reporting Persons during the past 60 days, including (i) the identity of the Reporting Person involved, (ii) the date of the transaction, (iii) the number of shares of Common Stock involved, (iv) the price per share, and (v) where and how the transaction was effected. 8417336.2 7 SIGNATURES 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. Dated: December 22, 2000 BERKSHIRE FUND V, LIMITED PARTNERSHIP By: Fifth Berkshire Associates LLC, its General Partner By: /s/ D. Randall Peeler ----------------------------- Name: D. Randall Peeler Title: Managing Director BERKSHIRE INVESTORS, LLC By: /s/ D. Randall Peeler ----------------------------- Name: D. Randall Peeler Title: Managing Director 8417336.2 8 ANNEX A
Reporting Date of Number Price Per Where and how Person Transaction of Shares Share Transaction Effected - ----------------------------------------------------------------------------------- Berkshire 12/08/00 127,273 $3 15/16 Open Market Transaction Fund V, L.P. by its Broker-Dealer Berkshire 12/08/00 12,727 $3 15/16 Open Market Transaction Investors, LLC by its Broker-Dealer Berkshire Open Market Transaction Fund V, L.P. 12/20/00 174,727 $5.457 by its Broker-Dealer Berkshire Open Market Transaction Investors, LLC 12/20/00 17,473 $5.457 by its Broker-Dealer Berkshire Open Market Transaction Fund V, L.P. 12/21/00 115,545 $5.429 by its Broker-Dealer Berkshire Open Market Transaction Investors, LLC 12/21/00 11,555 $5.429 by its Broker-Dealer
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