-----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, M8JzYNDs/dfmjhPU+/qAB5LjdZKn9X0/bPeccwof/0zyTKQV72i6z0+w/ISNRGA2 pa8GdxpC/idZUSLfxllJDw== 0000899243-02-000159.txt : 20020414 0000899243-02-000159.hdr.sgml : 20020414 ACCESSION NUMBER: 0000899243-02-000159 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20020205 GROUP MEMBERS: HARRY J. PHILLIPS, JR. GROUP MEMBERS: PHILLIPS INVESTMENTS, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN ECOLOGY CORP CENTRAL INDEX KEY: 0000742126 STANDARD INDUSTRIAL CLASSIFICATION: REFUSE SYSTEMS [4953] IRS NUMBER: 953889638 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-35732 FILM NUMBER: 02526926 BUSINESS ADDRESS: STREET 1: 805 W IDAHO STREET 2: STE 200 CITY: BOSIE STATE: ID ZIP: 83702 BUSINESS PHONE: 2083318400 MAIL ADDRESS: STREET 1: 805 W IDAHO STREET 2: STE 200 CITY: BOISE STATE: ID ZIP: 83702 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ECOL PARTNERS II LTD CENTRAL INDEX KEY: 0000911587 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: THREE RIVERWAY STREET 2: SUITE 170 CITY: HOUSTON STATE: TX ZIP: 77056 SC 13G/A 1 dsc13ga.txt AMENDMENT #2 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Information to be included in Statements filed pursuant To Rule 13d-1(b),(c), and (d) and Amendments thereto filed pursuant to Rule 13d-2(b) Under the Securities Exchange Act of 1934 (Amendment No. 2)* American Ecology Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 025533-10-0 --------------------------------------------------------- (CUSIP Number) December 31, 2001 --------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) 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.) (continued on following pages) SCHEDULE 13G/A - -------------------------- ------------------------- CUSIP No. 025533-10-0 Page 2 of 8 Pages ----------- --- --- - -------------------------- ------------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ecol Partners II, Ltd. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Texas - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 939,906 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY -0- ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 939,906 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 -0- - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 939,906 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 6.8% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. SCHEDULE 13G/A - ----------------------------- ----------------------- CUSIP No. 025533-10-0 Page 3 of 8 Pages ------------------- --- ---- - ----------------------------- ----------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 1 Phillips Investments, Inc. - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] 2 (b) [_] ------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 Texas - -------------------------------------------------------------------------------- SOLE VOTING POWER NUMBER OF 5 SHARES 2,352 ---------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 939,906 ---------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 2,352 PERSON ---------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 939,906 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 942,258 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] 10 - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT ROW (9) 11 6.9% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. SCHEDULE 13G/A - ----------------------------- ----------------------- CUSIP No. 025533-10-0 Page 4 of 8 Pages ------------------- --- ---- - ----------------------------- ----------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 1 Harry J. Phillips, Jr. - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] 2 (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 USA - -------------------------------------------------------------------------------- SOLE VOTING POWER NUMBER OF 5 SHARES 702,798 ---------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 942,258 ---------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 702,798 PERSON ---------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 942,258 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,645,056 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] 10 - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT ROW (9) 11 11.9% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. This Amendment No. 2 on Schedule 13G/A is being jointly filed by Ecol Partners II, Ltd., Phillips Investments, Inc. and Harry J. Phillips, Jr. Attached as Exhibit A hereto is a copy of the Agreement Regarding Joint Filing of Statement on Schedule 13D or 13G among Ecol Partners II, Ltd., Phillips Investments, Inc. and Harry J. Phillips, Jr. Item 1(a). Name of Issuer: American Ecology Corporation Item 1(b). Address of Issuer's Principal Executive Offices 805 W. Idaho, Suite 200, Boise, ID 83702-8916. Item 2(a). Name of Person Filing This schedule is being jointly filed by Ecol Partners II, Ltd., Phillips Investments, Inc., and Harry J. Phillips, Jr. Item 2(b). Address of Principal Business Office or, if None, Residence The address for each of Ecol Partners II, Ltd., Phillips Investments, Inc. and Harry J. Phillips, Jr. is: 917 Franklin, Suite 510, Houston, Texas 77002. Item 2(c). Citizenship Ecol Partners II, Ltd.: Texas Phillips Investments, Inc.: Texas Harry J. Phillips, Jr.: USA Item 2(d). Title of Class of Securities Common Stock Item 2(e). CUSIP No. 025533-10-0 Item 3. If this Statement Is Filed Pursuant to Rules 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing Is a: N/A Item 4. Ownership Ecol Partners II, Ltd. (a) Amount beneficially owned: 939,906 (b) Percent of class: 6.8% (c) Number of shares as to which such person has (i) sole power to vote or to direct the vote: 939,906 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition: 939,906 (iv) shared power to dispose or to direct the disposition: 0 Phillips Investments, Inc. (a) Amount beneficially owned: 942,258 (b) Percent of class: 6.9% (c) Number of shares as to which such person has Page 5 of 8 (i) sole power to vote or to direct the vote: 2,352 (ii) shared power to vote or to direct the vote: 939,906 (iii) sole power to dispose or to direct the disposition: 2,352 (iv) shared power to dispose or to direct the disposition: 939,906 Harry J. Phillips, Jr. (a) Amount beneficially owned: 1,645,056 (b) Percent of class: 11.9% (c) Number of shares as to which such person has (i) sole power to vote or to direct the vote: 702,798* (ii) shared power to vote or to direct the vote: 942,258 (iii) sole power to dispose or to direct the disposition: 702,798* (iv) shared power to dispose or to direct the disposition: 942,258 * Mr. Phillips owns 48,403.90 shares of the Issuer's Series D Preferred Stock, which, according to and as of the date of the Issuer's Proxy Statement for its 2001 Annual Meeting of Stockholders, may be converted into 702,798 shares of common stock of the Issuer. Item 5. Ownership of Five Percent or Less of a Class N/A Item 6. Ownership of More Than Five Percent on Behalf of Another Person N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company N/A Item 8. Identification and Classification of Members of the Group N/A Item 9. Notice of Dissolution of Group N/A Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 6 of 8 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. Date: January 31, 2002 ECOL PARTNERS II, LTD. By: Phillips Investments, Inc., its General Partner By: /s/ Harry J. Phillips, Jr. ---------------------------- Harry J. Phillips, Jr. President PHILLIPS INVESTMENTS, INC. By: /s/ Harry J. Phillips, Jr. -------------------------- Harry J. Phillips, Jr. President /s/ Harry J. Phillips, Jr. ---------------------------- Harry J. Phillips, Jr. Page 7 of 8 EX-99.A 3 dex99a.txt AGREEMENT REGUARDING JOINT FILING OF STATEMENT EXHIBIT A AGREEMENT REGARDING JOINT FILING OF STATEMENT ON SCHEDULE 13D OR 13G The undersigned agree to file jointly with the Securities and Exchange Commission (the "SEC") any and all statements on Schedule 13D or Schedule 13G (and any amendments or supplements thereto) required under section 13(d) of the Securities Exchange Act of 1934, as amended, in connection with purchases by the undersigned of securities of American Ecology Corporation, and any other issuer, until such time as the undersigned file with the SEC a statement terminating this Agreement Regarding Joint Filing of Statement on Schedule 13D or 13G. For that purpose, the undersigned hereby constitute and appoint Phillips Investments, Inc., a Texas corporation, as their true and lawful agent and attorney-in-fact, with full power and authority for and on behalf of the undersigned to prepare or cause to be prepared, sign, file with the SEC and furnish to any other person all certificates, instruments, agreements and documents necessary to comply with section 13(d) and section 16(a) of the Securities Exchange Act of 1934, as amended, in connection with said purchases, and to do and perform every act necessary and proper to be done incident to the exercise of the foregoing power, as fully as the undersigned might or could do if personally present, until such time as the undersigned file with the SEC a statement terminating this Agreement Regarding Joint Filing of Statement on Schedule 13D or 13G. Date: January 31, 2002 ECOL PARTNERS II, LTD. By: Phillips Investments, Inc., its General Partner By: /s/ Harry J. Phillips, Jr. ---------------------------- Harry J. Phillips, Jr. President PHILLIPS INVESTMENTS, INC. By: /s/ Harry J. Phillips, Jr. -------------------------- Harry J. Phillips, Jr. President /s/ Harry J. Phillips, Jr. -------------------------- Harry J. Phillips, Jr. Page 8 of 8 -----END PRIVACY-ENHANCED MESSAGE-----