Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under
the Securities Exchange Act of 1934
(Amendment No. 3)*
US
ECOLOGY, INC.
(Name of Issuer)
Common
Stock, par value $0.01 per share
(Title of Class of Securities)
91734M103
(CUSIP Number)
May
4, 2020
(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)
☒ Rule 13d-1(c)
☐ Rule 13d-1(d)
* | 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 the disclosures provided in a prior cover page. |
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).
CUSIP: 91734M103
Page: Page 2 of 21
1 |
NAMES OF REPORTING PERSONS JFL-NRC-SES Partners, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON OO |
(1) | JFL-NRC-SES Partners, LLC (“JFL Partners”) may be deemed to be controlled by its sole members, JFL-NRC Partners, LLC (“JFL-NRC”) and JFL-SES Partners, LLC (“JFL-SES”).
JFL-SES is controlled by JFL-SES Holdings, LLC (“JFL-SES Holdings”), which is controlled by its member JFL-SES (JA) Holdings, LLC (“JFL-SES (JA)”), which is controlled by its sole member JFL-SES Int. (JA) Holdings, LLC (“JFL-SES Int.”), which is controlled by its member JFL AIV Investors III-JA, L.P. (“JFL AIV JA”).
JFL-NRC is controlled by its member JFL-NRC (JA) Holdings, LLC (“JFL-NRC (JA)”), which is controlled by its sole member JFL-NRC Int. (JA) Holdings, LLC (“JFL-NRC Int.”), which is controlled by its member JFL AIV JA.
JFL AIV JA is controlled by its general partner, JFL GP Investors III, LLC (“Ultimate GP III”). Ultimate GP III is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 3 of 21
1 |
NAMES OF REPORTING PERSONS JFL-NRC Partners, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON OO |
(1) |
JFL-NRC-SES Partners, LLC (“JFL Partners”) may be deemed to be controlled by its sole members, JFL-NRC Partners, LLC (“JFL-NRC”) and JFL-SES Partners, LLC (“JFL-SES”). JFL-NRC has a 65% pecuniary interest in shares held by JFL Partners and JFL-SES has a 35% pecuniary interest in shares held by JFL Partners.
JFL-SES is controlled by JFL-SES Holdings, LLC (“JFL-SES Holdings”), which is controlled by its member JFL-SES (JA) Holdings, LLC (“JFL-SES (JA)”), which is controlled by its sole member JFL-SES Int. (JA) Holdings, LLC (“JFL-SES Int.”), which is controlled by its member JFL AIV Investors III-JA, L.P. (“JFL AIV JA”).
JFL-NRC is controlled by its member JFL-NRC (JA) Holdings, LLC (“JFL-NRC (JA)”), which is controlled by its sole member JFL-NRC Int. (JA) Holdings, LLC (“JFL-NRC Int.”), which is controlled by its member JFL AIV JA.
JFL AIV JA is controlled by its general partner, JFL GP Investors III, LLC (“Ultimate GP III”). Ultimate GP III is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 4 of 21
1 |
NAMES OF REPORTING PERSONS JFL-NRC (JA) Holdings, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON OO |
(1) |
JFL-NRC-SES Partners, LLC (“JFL Partners”) may be deemed to be controlled by its sole members, JFL-NRC Partners, LLC (“JFL-NRC”) and JFL-SES Partners, LLC (“JFL-SES”). JFL-NRC has a 65% pecuniary interest in shares held by JFL Partners and JFL-SES has a 35% pecuniary interest in shares held by JFL Partners.
JFL-SES is controlled by JFL-SES Holdings, LLC (“JFL-SES Holdings”), which is controlled by its member JFL-SES (JA) Holdings, LLC (“JFL-SES (JA)”), which is controlled by its sole member JFL-SES Int. (JA) Holdings, LLC (“JFL-SES Int.”), which is controlled by its member JFL AIV Investors III-JA, L.P. (“JFL AIV JA”).
JFL-NRC is controlled by its member JFL-NRC (JA) Holdings, LLC (“JFL-NRC (JA)”), which is controlled by its sole member JFL-NRC Int. (JA) Holdings, LLC (“JFL-NRC Int.”), which is controlled by its member JFL AIV JA.
JFL AIV JA is controlled by its general partner, JFL GP Investors III, LLC (“Ultimate GP III”). Ultimate GP III is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 5 of 21
1 |
NAMES OF REPORTING PERSONS JFL-NRC Int. (JA) Holdings, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON OO |
(1) |
JFL-NRC-SES Partners, LLC (“JFL Partners”) may be deemed to be controlled by its sole members, JFL-NRC Partners, LLC (“JFL-NRC”) and JFL-SES Partners, LLC (“JFL-SES”). JFL-NRC has a 65% pecuniary interest in shares held by JFL Partners and JFL-SES has a 35% pecuniary interest in shares held by JFL Partners.
JFL-SES is controlled by JFL-SES Holdings, LLC (“JFL-SES Holdings”), which is controlled by its member JFL-SES (JA) Holdings, LLC (“JFL-SES (JA)”), which is controlled by its sole member JFL-SES Int. (JA) Holdings, LLC (“JFL-SES Int.”), which is controlled by its member JFL AIV Investors III-JA, L.P. (“JFL AIV JA”).
JFL-NRC is controlled by its member JFL-NRC (JA) Holdings, LLC (“JFL-NRC (JA)”), which is controlled by its sole member JFL-NRC Int. (JA) Holdings, LLC (“JFL-NRC Int.”), which is controlled by its member JFL AIV JA.
JFL AIV JA is controlled by its general partner, JFL GP Investors III, LLC (“Ultimate GP III”). Ultimate GP III is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 6 of 21
1 |
NAMES OF REPORTING PERSONS JFL-SES Partners, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON OO |
(1) |
JFL-NRC-SES Partners, LLC (“JFL Partners”) may be deemed to be controlled by its sole members, JFL-NRC Partners, LLC (“JFL-NRC”) and JFL-SES Partners, LLC (“JFL-SES”). JFL-NRC has a 65% pecuniary interest in shares held by JFL Partners and JFL-SES has a 35% pecuniary interest in shares held by JFL Partners.
JFL-SES is controlled by JFL-SES Holdings, LLC (“JFL-SES Holdings”), which is controlled by its member JFL-SES (JA) Holdings, LLC (“JFL-SES (JA)”), which is controlled by its sole member JFL-SES Int. (JA) Holdings, LLC (“JFL-SES Int.”), which is controlled by its member JFL AIV Investors III-JA, L.P. (“JFL AIV JA”).
JFL-NRC is controlled by its member JFL-NRC (JA) Holdings, LLC (“JFL-NRC (JA)”), which is controlled by its sole member JFL-NRC Int. (JA) Holdings, LLC (“JFL-NRC Int.”), which is controlled by its member JFL AIV JA.
JFL AIV JA is controlled by its general partner, JFL GP Investors III, LLC (“Ultimate GP III”). Ultimate GP III is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 7 of 21
1 |
NAMES OF REPORTING PERSONS JFL-SES Holdings, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON OO |
(1) |
JFL-NRC-SES Partners, LLC (“JFL Partners”) may be deemed to be controlled by its sole members, JFL-NRC Partners, LLC (“JFL-NRC”) and JFL-SES Partners, LLC (“JFL-SES”). JFL-NRC has a 65% pecuniary interest in shares held by JFL Partners and JFL-SES has a 35% pecuniary interest in shares held by JFL Partners.
JFL-SES is controlled by JFL-SES Holdings, LLC (“JFL-SES Holdings”), which is controlled by its member JFL-SES (JA) Holdings, LLC (“JFL-SES (JA)”), which is controlled by its sole member JFL-SES Int. (JA) Holdings, LLC (“JFL-SES Int.”), which is controlled by its member JFL AIV Investors III-JA, L.P. (“JFL AIV JA”).
JFL-NRC is controlled by its member JFL-NRC (JA) Holdings, LLC (“JFL-NRC (JA)”), which is controlled by its sole member JFL-NRC Int. (JA) Holdings, LLC (“JFL-NRC Int.”), which is controlled by its member JFL AIV JA.
JFL AIV JA is controlled by its general partner, JFL GP Investors III, LLC (“Ultimate GP III”). Ultimate GP III is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 8 of 21
1 |
NAMES OF REPORTING PERSONS JFL-SES (JA) Holdings, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON OO |
(1) |
JFL-NRC-SES Partners, LLC (“JFL Partners”) may be deemed to be controlled by its sole members, JFL-NRC Partners, LLC (“JFL-NRC”) and JFL-SES Partners, LLC (“JFL-SES”). JFL-NRC has a 65% pecuniary interest in shares held by JFL Partners and JFL-SES has a 35% pecuniary interest in shares held by JFL Partners.
JFL-SES is controlled by JFL-SES Holdings, LLC (“JFL-SES Holdings”), which is controlled by its member JFL-SES (JA) Holdings, LLC (“JFL-SES (JA)”), which is controlled by its sole member JFL-SES Int. (JA) Holdings, LLC (“JFL-SES Int.”), which is controlled by its member JFL AIV Investors III-JA, L.P. (“JFL AIV JA”).
JFL-NRC is controlled by its member JFL-NRC (JA) Holdings, LLC (“JFL-NRC (JA)”), which is controlled by its sole member JFL-NRC Int. (JA) Holdings, LLC (“JFL-NRC Int.”), which is controlled by its member JFL AIV JA.
JFL AIV JA is controlled by its general partner, JFL GP Investors III, LLC (“Ultimate GP III”). Ultimate GP III is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 9 of 21
1 |
NAMES OF REPORTING PERSONS JFL-SES Int. (JA) Holdings, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON OO |
(1) |
JFL-NRC-SES Partners, LLC (“JFL Partners”) may be deemed to be controlled by its sole members, JFL-NRC Partners, LLC (“JFL-NRC”) and JFL-SES Partners, LLC (“JFL-SES”). JFL-NRC has a 65% pecuniary interest in shares held by JFL Partners and JFL-SES has a 35% pecuniary interest in shares held by JFL Partners.
JFL-SES is controlled by JFL-SES Holdings, LLC (“JFL-SES Holdings”), which is controlled by its member JFL-SES (JA) Holdings, LLC (“JFL-SES (JA)”), which is controlled by its sole member JFL-SES Int. (JA) Holdings, LLC (“JFL-SES Int.”), which is controlled by its member JFL AIV Investors III-JA, L.P. (“JFL AIV JA”).
JFL-NRC is controlled by its member JFL-NRC (JA) Holdings, LLC (“JFL-NRC (JA)”), which is controlled by its sole member JFL-NRC Int. (JA) Holdings, LLC (“JFL-NRC Int.”), which is controlled by its member JFL AIV JA.
JFL AIV JA is controlled by its general partner, JFL GP Investors III, LLC (“Ultimate GP III”). Ultimate GP III is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 10 of 21
1 |
NAMES OF REPORTING PERSONS JFL AIV Investors III-JA, L.P |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON PN |
(1) |
JFL-NRC-SES Partners, LLC (“JFL Partners”) may be deemed to be controlled by its sole members, JFL-NRC Partners, LLC (“JFL-NRC”) and JFL-SES Partners, LLC (“JFL-SES”).
JFL-SES is controlled by JFL-SES Holdings, LLC (“JFL-SES Holdings”), which is controlled by its member JFL-SES (JA) Holdings, LLC (“JFL-SES (JA)”), which is controlled by its sole member JFL-SES Int. (JA) Holdings, LLC (“JFL-SES Int.”), which is controlled by its member JFL AIV Investors III-JA, L.P. (“JFL AIV JA”).
JFL-NRC is controlled by its member JFL-NRC (JA) Holdings, LLC (“JFL-NRC (JA)”), which is controlled by its sole member JFL-NRC Int. (JA) Holdings, LLC (“JFL-NRC Int.”), which is controlled by its member JFL AIV JA.
JFL AIV JA is controlled by its general partner, JFL GP Investors III, LLC (“Ultimate GP III”). Ultimate GP III is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 11 of 21
1 |
NAMES OF REPORTING PERSONS JFL-NRCG Holdings III, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON OO |
(1) | JFL-NRCG Holdings III, LLC (“JFL-NRCG III”) may be deemed to be controlled by its managing member, JFL-NRCG Annex Fund, LP (“Annex Fund”). Annex Fund is controlled by its general partner, JFL GP Investors III, LLC (“Ultimate GP III”). Ultimate GP III is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 12 of 21
1 |
NAMES OF REPORTING PERSONS JFL-NRCG Annex Fund, L.P. |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON PN |
(1) | JFL-NRCG Holdings III, LLC (“JFL-NRCG III”) may be deemed to be controlled by its managing member, JFL-NRCG Annex Fund, LP (“Annex Fund”). Annex Fund is controlled by its general partner, JFL GP Investors III, LLC (“Ultimate GP III”). Ultimate GP III is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 13 of 21
1 |
NAMES OF REPORTING PERSONS JFL GP Investors III, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 31,866 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 31,866 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 31,866 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) * |
12 |
TYPE OF REPORTING PERSON OO |
(1) | These securities of US Ecology, Inc. (the “Issuer”) are directly held by Ultimate GP III, which represents a change in the form of ownership of these shares received by Ultimate GP III in a pro-rata in-kind distribution of Common Stock for no consideration. |
* | Represents less than 1%. |
CUSIP: 91734M103
Page: Page 14 of 21
1 |
NAMES OF REPORTING PERSONS JFL-NRCG Holdings IV, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON OO |
(1) | JFL-NRCG Holdings IV, LLC (“JFL-NRCG IV”) may be deemed to be controlled by its managing member, JFL Equity Investors IV, LP (“JFL Equity Investors IV”). JFL Equity Investors IV is controlled by its general partner, JFL GP Investors IV (“Ultimate GP IV”). Ultimate GP IV is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 15 of 21
1 |
NAMES OF REPORTING PERSONS JFL Equity Investors IV, LP |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 0 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 0 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% |
12 |
TYPE OF REPORTING PERSON OO |
(1) | JFL-NRCG Holdings IV, LLC (“JFL-NRCG IV”) may be deemed to be controlled by its managing member, JFL Equity Investors IV, LP (“JFL Equity Investors IV”). JFL Equity Investors IV is controlled by its general partner, JFL GP Investors IV (“Ultimate GP IV”). Ultimate GP IV is controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. |
CUSIP: 91734M103
Page: Page 16 of 21
1 |
NAMES OF REPORTING PERSONS JFL GP Investors IV, LLC |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ |
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 5,161 |
6 |
SHARED VOTING POWER 0 | |
7 |
SOLE DISPOSITIVE POWER 5,161 | |
8 |
SHARED DISPOSITIVE POWER 0 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,161 (1) |
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐ |
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) * |
12 |
TYPE OF REPORTING PERSON OO |
(1) | These securities of US Ecology, Inc. (the “Issuer”) are directly held by Ultimate GP IV, which represents a change in the form of ownership of these shares received by Ultimate GP IV in a pro-rata in –kind distribution of Common Stock for no consideration. |
* | Represents less than 1%. |
CUSIP: 91734M103
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Item 1(a). Name of Issuer: US Ecology, Inc. (the “Issuer”)
Item 1(b). Address of Issuer’s Principal Executive Officers: 101 S. Capitol Blvd., Suite 1000, Boise, Idaho 83702.
Item 2(a). Name of Person Filing:
JFL-NRC-SES
Partners, LLC (“JFL Partners”)
JFL-NRC Partners, LLC (“JFL-NRC”)
JFL-NRC (JA) Holdings, LLC (“JFL-NRC (JA)”)
JFL-NRC Int. (JA) Holdings, LLC (“JFL-NRC Int.”)
JFL-SES Partners, LLC (“JFL-SES”)
JFL-SES Holdings, LLC (“JFL-SES Holdings”)
JFL-SES (JA) Holdings, LLC (“JFL-SES (JA)”)
JFL-SES Int. (JA) Holdings, LLC (“JFL-SES Int.”)
JFL AIV Investors III-JA, L.P. (“JFL AIV JA”)
JFL GP Investors III, LLC (“Ultimate GP III”)
JFL-NRCG Holdings III, LLC (“JFL-NRCG III”)
JFL-NRCG Annex Fund, L.P. (“Annex Fund”)
JFL-NRCG Holdings IV, LLC (“JFL-NRCG IV”)
JFL Equity Investors IV, LP (“JFL Equity Investors IV”)
JFL GP Investors IV, LLC (“Ultimate GP IV”)
*Each a “Reporting Person,” and collectively, the “Reporting Persons”).
Item 2(b). Address or Principal Business Office or, if None, Residence:
The principal business office for all persons filing is:
110 East 59th Street, 27th Floor, New York, NY 10022
Item 2(c). Citizenship: See Item 4 of each cover page.
Item 2(d). Title of Class of Securities: Common Stock, par value $0.01 per share (the “Shares”).
Item 2(e). CUSIP No.: 91734M103.
Item 3. If this Statement is Filed Pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), Check Whether the Person Filing is a: Not applicable.
Item 4. Ownership.
Amount beneficially owned: See Item 9 of each cover page.
Percent of class: See Item 11 of each cover page.
Number of shares as to which the person has:
(i) | Sole power to vote or to direct the vote: See Item 5 of each cover page. | |
(ii) | Shared power to vote or to direct the vote: See Item 6 of each cover page. | |
(iii) | Sole power to dispose or to direct the disposition of: See Item 7 of each cover page. | |
(iv) | Shared power to dispose or to direct the disposition of: See Item 8 of each cover page. |
The ownership percentages are calculated based upon 31,503,073 shares of the Issuer’s Common Stock outstanding as of May 5, 2020.
JFL Partners may be deemed to be controlled by its sole members, JFL-NRC and JFL-SES. JFL-SES is controlled by JFL-SES Holdings, which is controlled by its member JFL-SES (JA), which is controlled by its sole member JFL-SES Int., which is controlled by its member JFL AIV JA. JFL-NRC is controlled by its member JFL-NRC (JA), which is controlled by its sole membe r JFL-NRC Int., which is controlled by its member JFL AIV JA. JFL AIV JA is controlled by its general partner, Ultimate GP III.
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JFL-NRCG III may be deemed to be controlled by its managing member, Annex Fund, LP. Annex Fund is controlled by its general partner, Ultimate GP III.
JFL-NRCG IV may be deemed to be controlled by its managing member, JFL Equity Investors IV. JFL Equity Investors IV is controlled by its general partner, Ultimate GP IV.
Ultimate GP III and Ultimate GP IV are controlled by its managers Messrs. John F. Lehman, Louis N. Mintz, Stephen L. Brooks, and C. Alexander Harman. Decision-making authority requires at a minimum 3 of 4 managers.
Neither the filing of this Schedule 13G nor any of its contents shall be deemed to constitute an admission that any Reporting Person or other person named herein is, for the purposes of sections 13(d) or 13(g) of the Act or for any other purpose, the beneficial owner of any securities covered by this statement.
Certain Reporting Persons are party to that certain Registration Rights Agreement with the Issuer containing customary registration rights.
Item 5. Ownership of 5 Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date hereof each of the Reporting Persons has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following ☒.
Each of the Reporting Persons ceased to be a beneficial owner of more than 5 percent of the shares of Common Stock of the Issuer. Consequently, this Amendment No. 3 constitutes an exit filing with respect to each of the Reporting Persons.
Item 6. Ownership of More than 5 Percent on Behalf of Another Person.
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
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. Certifications.
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, other than activities solely in connection with a nomination under §240.14a-11.
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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: May 12, 2020 | JFL-NRC-SES Partners, LLC | |
By: | /s/ David Rattner | |
Name: | David Rattner | |
Title: | Secretary | |
Dated: May 12, 2020 | JFL-NRC Partners, LLC | |
By: | /s/ David Rattner | |
Name: | David Rattner | |
Title: | Secretary | |
Dated: May 12, 2020 | JFL-NRC (JA) Holdings, LLC | |
By: | /s/ David Rattner | |
Name: | David Rattner | |
Title: | Secretary | |
Dated: May 12, 2020 | JFL-NRC Int. (JA) Holdings, LLC | |
By: | /s/ David Rattner | |
Name: | David Rattner | |
Title: | Secretary | |
Dated: May 12, 2020 | JFL-SES Partners, LLC | |
By: | /s/ David Rattner | |
Name: | David Rattner | |
Title: | Secretary | |
Dated: May 12, 2020 | JFL-SES Holdings, LLC | |
By: | /s/ David Rattner | |
Name: | David Rattner | |
Title: | Secretary | |
Dated: May 12, 2020 | JFL-SES (JA) Holdings, LLC | |
By: | /s/ David Rattner | |
Name: | David Rattner | |
Title: | Secretary | |
Dated: May 12, 2020 | JFL-SES Int. (JA) Holdings, LLC | |
By: | /s/ David Rattner | |
Name: | David Rattner | |
Title: | Secretary |
CUSIP: 91734M103
Page: Page 20 of 21
Dated: May 12, 2020 | JFL AIV Investors III-JA, L.P. | |
By: JFL GP Investors III, LLC | ||
Its: General Partner | ||
By: | /s/ David Rattner, attorney-in-fact | |
Name: | David Rattner | |
Dated: May 12, 2020 | JFL GP Investors III, LLC | |
By: | /s/ David Rattner, attorney-in-fact | |
Name: | David Rattner | |
Dated: May 12, 2020 | JFL GP Investors IV, LLC | |
By: | /s/ David Rattner, attorney-in-fact | |
Name: | David Rattner | |
Dated: May 12, 2020 | JFL Equity Investors IV, L.P. | |
By: JFL GP Investors IV, LLC | ||
Its: General Partner | ||
By: | /s/ David Rattner, attorney-in-fact | |
Name: | David Rattner | |
Dated: May 12, 2020 | JFL-NRCG Holdings III, LLC | |
By: | /s/ David Rattner | |
Name: | David Rattner | |
Title: | Secretary | |
Dated: May 12, 2020 | JFL-NRCG Holdings IV, LLC | |
By: | /s/ David Rattner | |
Name: | David Rattner | |
Title: | Secretary | |
Dated: May 12, 2020 | JFL-NRCG Annex Fund, LP | |
By: JFL GP Investors III, LLC | ||
Its: General Partner | ||
By: | /s/ David Rattner, attorney-in-fact | |
Name: | David Rattner |
CUSIP: 91734M103
Page: Page 21 of 21
EXHIBIT INDEX