-----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, RNxmlBKtFngkmpAgu8pCrLq3pEQoitJHJCT+rYydLIeNxM4R7L+W2RtXaQSIainx Ob1RvTml3WFc3x6s9ld75w== 0000950168-99-001756.txt : 20020715 0000950168-99-001756.hdr.sgml : 19990610 ACCESSION NUMBER: 0000950168-99-001756 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990609 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ODWALLA INC CENTRAL INDEX KEY: 0000892058 STANDARD INDUSTRIAL CLASSIFICATION: CANNED, FRUITS, VEG & PRESERVES, JAMS & JELLIES [2033] IRS NUMBER: 770096788 STATE OF INCORPORATION: CA FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49349 FILM NUMBER: 99643109 BUSINESS ADDRESS: STREET 1: 120 STONE PINE ROAD STREET 2: DRAWER O CITY: HALF MOON BAY STATE: CA ZIP: 94019 BUSINESS PHONE: 4157261888 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CATTERTON-SIMON PARTNERS III LP CENTRAL INDEX KEY: 0001024303 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 067462224 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 9 GREEN OFFICE PARK STREET 2: THIRD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036294901 MAIL ADDRESS: STREET 1: 9 GREENWICH OFFICE PARK STREET 2: THIRD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 SC 13G 1 ODWALLA, INC./CATTERTON-SIMON PARTNERS III, L.P. United States Securities and Exchange Commission Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 ODWALLA, INC. ------------- (Name of Issuer) Common Stock, no par value -------------------------- (Title of Class of Securities) 676111107 --------- (CUSIP Number) May 29, 1999 ------------ (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)
CUSIP NO. 676111107 13G PAGE 1 OF 1 1. NAME OF REPORTING PERSON: Catterton-Simon Partners III, L.P. IRS IDENTIFICATION NUMBER OF ABOVE PERSON: 067462224 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)[ ] (b)[X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 1,075,000 6. SHARED VOTING POWER 0 7. SOLE DISPOSITIVE POWER 1,075,000 8. SHARED DISPOSITIVE POWER 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 1,075,000 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.52% 12. TYPE OF REPORTING PERSON PN
2 SCHEDULE 13G ITEM 1(A). NAME OF ISSUER Odwalla, Inc. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 120 Stone Pine Rd. Half Moon Bay, CA 94019 ITEM 2(A). NAME OF PERSON FILING Catterton-Simon Partners III, L.P. ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE 9 Greenwich Office Park Third Floor Greenwich, CT 06830 ITEM 2(C). CITIZENSHIP California ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock, no par value ITEM 2(E). CUSIP NUMBER 676111107 ITEM 3. Not applicable. ITEM 4. OWNERSHIP - ------------------------------ -------------- ---------- -------------- --------------- --------------- -------------- SHARED POWER TO DISPOSE SOLE POWER TO OR TO DIRECT AMOUNT SOLE POWER SHARED POWER DISPOSE OR TO THE BENEFICIALLY PERCENT TO DIRECT TO DIRECT THE DIRECT THE DISPOSITION REPORTING PERSON OWNED OF CLASS THE VOTE VOTE DISPOSITION OF OF - ------------------------------ -------------- ---------- -------------- --------------- --------------- -------------- - ------------------------------ -------------- ---------- -------------- --------------- --------------- -------------- Catterton-Simon Partners III, L.P. 1,075,000 17.52% 1,075,000 0 1,075,000 0 - ------------------------------ -------------- ---------- -------------- --------------- --------------- --------------
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement has been filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. ITEM 6: OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not applicable. 3 ITEM 7: IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED BY THE PARENT HOLDING COMPANY Not applicable. ITEM 8: IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9: NOTICE OF DISSOLUTION OF GROUP Not applicable. 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 been held in connection with or as a participant in any transaction having that purpose or effect. 4 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. DATE May 28, 1999 CATTERTON-SIMON PARTNERS III, L.P. By: Catterton-Simon Managing Partner III, L.L.C., its General Partner By: /s/ CRAIG SAKIN ------------------------------- Name: Craig Sakin Title: Authorized Person 5 -----END PRIVACY-ENHANCED MESSAGE-----