0000950170-23-046756.txt : 20230906 0000950170-23-046756.hdr.sgml : 20230906 20230906163335 ACCESSION NUMBER: 0000950170-23-046756 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230828 FILED AS OF DATE: 20230906 DATE AS OF CHANGE: 20230906 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Spielvogel Scott CENTRAL INDEX KEY: 0001400216 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38579 FILM NUMBER: 231239631 MAIL ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 45 ROCKEFELLER PLAZA, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ORCP GP Professionals, LLC CENTRAL INDEX KEY: 0001987737 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38579 FILM NUMBER: 231239632 BUSINESS ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 45 ROCKEFELLER PLAZA, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10111 BUSINESS PHONE: 212-605-6091 MAIL ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 45 ROCKEFELLER PLAZA, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: One Rock Capital Partners III, LP CENTRAL INDEX KEY: 0001807141 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38579 FILM NUMBER: 231239634 BUSINESS ADDRESS: STREET 1: ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 45 ROCKEFELLER PLAZA, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10111 BUSINESS PHONE: 2126056000 MAIL ADDRESS: STREET 1: ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 45 ROCKEFELLER PLAZA, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10111 FORMER NAME: FORMER CONFORMED NAME: One Rock Capital III, LP DATE OF NAME CHANGE: 20200318 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Birch Equity Holdings, LP CENTRAL INDEX KEY: 0001987637 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38579 FILM NUMBER: 231239636 BUSINESS ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 45 ROCKEFELLER PLAZA, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10111 BUSINESS PHONE: 212-605-6091 MAIL ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 45 ROCKEFELLER PLAZA, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Birch-OR Equity Holdings, LLC CENTRAL INDEX KEY: 0001990826 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38579 FILM NUMBER: 231239637 BUSINESS ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 30 ROCKEFELLER PLAZA, 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10112 BUSINESS PHONE: 212-605-6091 MAIL ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 30 ROCKEFELLER PLAZA, 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Birch Equity Holdings GP, LLC CENTRAL INDEX KEY: 0001987738 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38579 FILM NUMBER: 231239635 BUSINESS ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 45 ROCKEFELLER PLAZA, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10111 BUSINESS PHONE: 212-605-6091 MAIL ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 45 ROCKEFELLER PLAZA, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lee Tony W CENTRAL INDEX KEY: 0001988010 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38579 FILM NUMBER: 231239630 MAIL ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 45 ROCKEFELLER PLAZA, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: One Rock Capital Partners III GP, LP CENTRAL INDEX KEY: 0001990751 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38579 FILM NUMBER: 231239633 BUSINESS ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 30 ROCKEFELLER PLAZA, 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10112 BUSINESS PHONE: 212-605-6091 MAIL ADDRESS: STREET 1: C/O ONE ROCK CAPITAL PARTNERS, LLC STREET 2: 30 ROCKEFELLER PLAZA, 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10112 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BrightView Holdings, Inc. CENTRAL INDEX KEY: 0001734713 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE SERVICES [0700] IRS NUMBER: 464190788 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 980 JOLLY ROAD STREET 2: SUITE 300 CITY: BLUE BELL STATE: PA ZIP: 19422 BUSINESS PHONE: (484) 567-7204 MAIL ADDRESS: STREET 1: 980 JOLLY ROAD STREET 2: SUITE 300 CITY: BLUE BELL STATE: PA ZIP: 19422 3 1 ownership.xml 3 X0206 3 2023-08-28 0 0001734713 BrightView Holdings, Inc. BV 0001990826 Birch-OR Equity Holdings, LLC C/O ONE ROCK CAPITAL PARTNERS, LLC 45 ROCKEFELLER PLAZA, 39TH FLOOR NEW YORK NY 10111 true false true false 0001987637 Birch Equity Holdings, LP 45 ROCKEFELLER PLAZA, 39TH FLOOR NEW YORK NY 10111 true false true false 0001987738 Birch Equity Holdings GP, LLC 45 ROCKEFELLER PLAZA, 39TH FLOOR NEW YORK NY 10111 true false true false 0001807141 One Rock Capital Partners III, LP 45 ROCKEFELLER PLAZA, 39TH FLOOR NEW YORK NY 10111 true false true false 0001990751 One Rock Capital Partners III GP, LP 45 ROCKEFELLER PLAZA, 39TH FLOOR NEW YORK NY 10111 true false true false 0001987737 ORCP GP Professionals, LLC 45 ROCKEFELLER PLAZA, 39TH FLOOR NEW YORK NY 10111 true false true false 0001400216 Spielvogel Scott 45 ROCKEFELLER PLAZA, 39TH FLOOR NEW YORK NY 10111 true false true false 0001988010 Lee Tony W 45 ROCKEFELLER PLAZA, 39TH FLOOR NEW YORK NY 10111 true false true false Series A Convertible Preferred Stock 9.44 Common Stock 52966100 I See Footnote The Series A Convertible Preferred Stock (the "Series A Preferred Stock") has no expiration date and is convertible, in whole or in part, at the option of the holders upon the later of (i) the expiration of the applicable waiting period under the Hart Scott Rodino Antitrust Improvements Act of 1976, as amended and (ii) the twentieth (20th) calendar day following the mailing of a definitive Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 to the holders of Common Stock into shares of Common Stock, subject to certain anti-dilution adjustments and provisions as set forth in the certificate of designations designating the Series A Preferred Stock. The amounts reported herein includes (i) 35,385,380 shares of Common Stock issuable upon conversion of 334,038 shares of Series A Preferred Stock held of record by Birch-OR Equity Holdings, LLC and (ii) 17,580,720 shares of Common Stock issuable upon conversion of 165,962 shares of Series A Preferred Stock held of record by Birch Equity Holdings, LP (together with Birch-OR Equity Holdings, LLC, the "Investors"). ORCP GP Professionals, LLC is the sole member of Birch Equity Holdings GP LLC, which is the general partner of Birch Equity Holdings, LP. ORCP GP Professionals, LLC is also the general partner of One Rock Capital Partners III GP, LP, which is the general partner of One Rock Capital Partners III, LP, which has the right to appoint a majority of the members of the board of managers of Birch-OR Equity Holdings, LLC. Mr. Spielvogel and Mr. Lee are the managing members of ORCP GP Professionals, LLC and have or share voting and investment discretion with respect to the securities held of record by the Investors. As a result of these relationships, each of the entities and individuals named herein may be deemed to have or share beneficial ownership of the securities held directly by the Investors. Each such person disclaims any such beneficial ownership of the securities owned by Birch-OR Equity Holdings, LLC and Birch Equity Holdings, LP, except to the extent of their pecuniary interest therein. BIRCH-OR EQUITY HOLDINGS, LLC, By: /s/ Tony W. Lee, Secretary and Treasurer 2023-09-06 BIRCH EQUITY HOLDINGS, LP, By: Birch Equity Holdings GP LLC, its general partner, By: ORCP GP Professionals, LLC, its sole member, By: /s/ Tony W. Lee, Managing Member 2023-09-06 BIRCH EQUITY HOLDINGS GP LLC, By: ORCP GP Professionals, LLC, its sole member, By: /s/ Tony W. Lee, Managing Member 2023-09-06 ONE ROCK CAPITAL PARTNERS III, LP, By: One Rock Capital Partners III GP, LP, its general partner, By: ORCP GP Professionals, LLC, its general partner, By: /s/ Tony W. Lee, Managing Member 2023-09-06 ONE ROCK CAPITAL PARTNERS III GP, LP, By: ORCP GP Professionals, LLC, its general partner, By: /s/ Tony W. Lee, Managing Member 2023-09-06 ORCP GP PROFESSIONALS, LLC, By: /s/ Tony W. Lee, Managing Member 2023-09-06 /s/ R. Scott Spielvogel 2023-09-06 /s/ Tony W. Lee 2023-09-06