-----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, HqwBs2UUXDPBK4xZA/9tRjHxMLu6HQnJECbBpuhllh1kcyPmbErPCz9FfI7c4Xjm lab+epJraOrfK7uLRfLFmw== 0000950103-00-000238.txt : 20000217 0000950103-00-000238.hdr.sgml : 20000217 ACCESSION NUMBER: 0000950103-00-000238 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000216 FILED AS OF DATE: 20000216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CHOICE ONE COMMUNICATIONS INC CENTRAL INDEX KEY: 0001091953 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 161550742 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-29279 FILM NUMBER: 547423 BUSINESS ADDRESS: STREET 1: 100 CHESTNUT ST STREET 2: SUITE 700 CITY: ROCHESTER STATE: NY ZIP: 14604 BUSINESS PHONE: 7165302619 MAIL ADDRESS: STREET 1: 100 CHESTNUT ST STREET 2: SUITE 700 CITY: ROCHESTER STATE: NY ZIP: 14604 COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] DIRECTOR IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127614000 MAIL ADDRESS: STREET 1: 1585 BROADWAY STREET 2: 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 3 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3 OMB APROVAL OMB NUMBER: 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response........0.5 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* MSDW CAPITAL PARTNERS IV, INC. - ----------------------------------------------------------------------------- (Last) (First) (Middle) 1221 AVENUE OF THE AMERICAS - ----------------------------------------------------------------------------- (Street) NEW YORK NEW YORK 10020 - ----------------------------------------------------------------------------- (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 02/16/2000 - ----------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - ----------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol CHOICE ONE COMMUNICATIONS INC. (CWON) - ----------------------------------------------------------------------------- 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner --- --- Officer (give title below) X Other (specify below) --- --- Party to a transaction agreement (1) - ---------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) N/A - ----------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person - ---- Form filed by More than One Reporting Person - ---- Table I Non-Derivative Securities Beneficially Owned
1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect (Instr. 4) Beneficially Owned Form: Direct Beneficial Ownership (Instr. 4) (D) or Indirect (Instr. 5) (I)(Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, par value $0.01 per share 649,557 (2) I By Partnerships
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5(b)(v). (Over) SEC 1473 (7-96) Table II Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative 2. Date Exercisable 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature Security (Instr. 4) and Expiration Securities Underlying sion or ship of In- Date (Month/Day/ Year) Derivative Security Exercise Form of direct ------------------------- (Instr. 4) Price of Deriv- Bene- Date Expira- ------------------------- Derivative ative ficial Exer- tion Title Amount Security Security: Owner- cisable Date or Direct ship Number (D) or (Instr. of Indirect 5) Shares (I) (Instr. 5) - -----------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) The Reporting Person is a party to a Transaction Agreement dated as of July 8, 1998, as amended, among certain investors in the issuer (relating to a voting agreement for election of directors), and the Reporting Person disclaims beneficial ownership of any of the securities owned by any other party to such agreement. (2) The Reporting Person is the Managing Member of MSDW Capital Partners IV, LLC, which is the General Partner of two private equity funds which directly holds shares of the issuer: Morgan Stanley Dean Witter Capital Partners IV, L.P. and Morgan Stanley Dean Witter Capital Investors IV, L.P. (the "MSDWCP Funds"). The MSDWCP Funds and other entities affiliated with the Reporting Person currently own an aggregate of approximately 34.65% of the Issuer's equity securities. The Reporting Person disclaims any beneficial ownership of any of the securities owned by the entities affiliated with the Reporting Person except to the extent of any pecuniary interests therein of the Reporting Person. Morgan Stanley Dean Witter & Co. is the ultimate parent company of the Reporting Person. - ------------------------------- ------------------------ **Signature of Reporting Person Date **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 SEC 1473 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----