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.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
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- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 3)*
Cott Corporation
- --------------------------------------------------------------------------------
(NAME OF ISSUER)
Common Stock
- --------------------------------------------------------------------------------
(TITLE OF CLASS OF SECURITIES)
22163N 10 6
- --------------------------------------------------------------------------------
(CUSIP NUMBER)
David P. Kreisler, Esq.
Weil, Gotshal & Manges LLP
100 Federal Street
Boston, Massachusetts 02110
(617) 772-8300
- --------------------------------------------------------------------------------
(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO
RECEIVE NOTICES AND COMMUNICATIONS)
May 19, 2004
- --------------------------------------------------------------------------------
(DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box. [ ]
NOTE: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See ss.240.13d-7 for other
parties to whom copies are to be sent.
*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
disclosures provided in a prior cover page.
The information required on 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 No. 22163N 10 6 13D Page 2 of 12
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS H. LEE EQUITY FUND IV, L.P.
I.R.S. IDENTIFICATION NO. 04-3399873
OF ABOVE PERSON (ENTITIES ONLY):
- ------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
- ------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
- ------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
- ------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
- ------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
- ------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: -0-
- ------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
- ------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 1%
- ------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: PN
- ------------------- -------------------------------------------------- -------------------------------------------------------------
2
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 22163N 10 6 13D Page 3 of 12
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS H. LEE FOREIGN FUND IV, L.P.
I.R.S. IDENTIFICATION NO. 04-3417188
OF ABOVE PERSON (ENTITIES ONLY):
- ------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
- ------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
- ------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
- ------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
- ------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
- ------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: -0-
- ------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
- ------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 1%
- ------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: PN
- ------------------- -------------------------------------------------- -------------------------------------------------------------
3
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 22163N 10 6 13D Page 4 of 12
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS H. LEE FOREIGN FUND IV-B, L.P.
I.R.S. IDENTIFICATION NO. 04-3471267
OF ABOVE PERSON (ENTITIES ONLY):
- ------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
- ------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
- ------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
- ------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
- ------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
- ------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: -0-
- ------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
- ------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 1%
- ------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: PN
- ------------------- -------------------------------------------------- -------------------------------------------------------------
4
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 22163N 10 6 13D Page 5 of 12
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON: THL EQUITY ADVISORS IV, LLC
I.R.S. IDENTIFICATION NO. 04-3399871
OF ABOVE PERSON (ENTITIES ONLY):
- ------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
- ------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
- ------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
- ------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: MASSACHUSETTS
- ------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
- ------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: -0-
- ------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
- ------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 1%
- ------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: OO
- ------------------- -------------------------------------------------- -------------------------------------------------------------
5
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 22163N 10 6 13D Page 6 of 12
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
- ------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS H. LEE CHARITABLE INVESTMENT LIMITED PARTNERSHIP
I.R.S. IDENTIFICATION NO. 04-3422937
OF ABOVE PERSON (ENTITIES ONLY):
- ------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
- ------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
- ------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
- ------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: MASSACHUSETTS
- ------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
- ------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: -0-
- ------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
- ------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 1%
- ------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: PN
- ------------------- -------------------------------------------------- -------------------------------------------------------------
6
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 22163N 10 6 13D Page 7 of 12
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
- ------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: THL COINVESTORS III-B, LLC
I.R.S. IDENTIFICATION NO. 04-3361521
OF ABOVE PERSON (ENTITIES ONLY):
- ------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
- ------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
- ------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
- ------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: MASSACHUSETTS
- ------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 56,200
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 56,200
- ------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 56,200
- ------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
- ------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 1%
- ------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: OO
- ------------------- -------------------------------------------------- -------------------------------------------------------------
7
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 22163N 10 6 13D Page 8 of 12
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
- ------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: THL COINVESTORS III-A, LLC
I.R.S. IDENTIFICATION NO. 04-3361519
OF ABOVE PERSON (ENTITIES ONLY):
- ------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
- ------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: WC
- ------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
- ------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
- ------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
- ------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: -0-
- ------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
- ------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 1%
- ------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: OO
- ------------------- -------------------------------------------------- -------------------------------------------------------------
8
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 22163N 10 6 13D Page 9 of 12
- ------------------------------ --------------------------------------- ------------ ------------------------------------------------
- ------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS H. LEE
I.R.S. IDENTIFICATION N
O.
OF ABOVE PERSON (ENTITIES ONLY):
- ------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
- ------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
- ------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
- ------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
- ------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 56,200
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 56,200
- ------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 56,200
- ------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
- ------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 1%
- ------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
- ------------------- -------------------------------------------------- -------------------------------------------------------------
9
SCHEDULE 13D
------------
This Amendment No. 3 to Schedule 13D supplements the information set
forth in the Schedule 13D, as amended by Amendment No. 2, filed jointly on
behalf of the following persons on February 18, 2004: (1) Thomas H. Lee Equity
Fund IV, L.P., a Delaware limited partnership, (2) Thomas H. Lee Foreign Fund
IV, L.P., a Delaware limited partnership, (3) Thomas H. Lee Foreign Fund IV-B,
L.P., a Delaware limited partnership, (4) THL Equity Advisors IV, LLC, a
Massachusetts limited liability company, (5) THL Coinvestors III-A, LLC, a
Massachusetts limited liability company, (6) THL Coinvestors III-B, LLC, a
Massachusetts limited liability company, (7) Thomas H. Lee Charitable Investment
Limited Partnership, a Massachusetts limited partnership, (8) Thomas H. Lee, a
United States citizen (9) PaineWebber Capital, Inc., a Delaware corporation,
(10) PW Partners 1997, L.P., a Delaware limited partnership, (11) PW Partners
1997, Inc., a Delaware corporation, (12) Granite LB Limited, a Canadian
corporation, (13) Granite 95 Holdings, Inc. (formerly Stollark Investment Ltd.),
a Canadian corporation, (14) 151797 Canada Inc., a Canadian corporation, and
(15) 151793 Canada Inc., a Canadian corporation.
Except as specifically amended by this Schedule 13D/A, the original
Schedule 13D, as amended by Amendment No. 3, remains in full force and effect.
Item 1. Security and Issuer.
The class of equity security to which this statement relates is
Common Stock, no par value per share (the "Common Shares") of Cott Corporation,
a Canadian corporation (the "Issuer"). The principal executive offices of the
Issuer are located at 207 Queen's Quay West, Suite 340, Toronto, Ontario, M5J
1A7.
Item 2. Identity and Background.
(a) - (c) and (f)
This Schedule 13D is being filed jointly on behalf of the following
persons (collectively, the "Reporting Persons"): (1) Thomas H. Lee Equity Fund
IV, L.P., a Delaware limited partnership ("Equity Fund"), (2) Thomas H. Lee
Foreign Fund IV, L.P., a Delaware limited partnership ("Foreign Fund"), (3)
Thomas H. Lee Foreign Fund IV-B, L.P., a Delaware limited partnership ("Foreign
Fund B"), (4) THL Equity Advisors IV, LLC, a Massachusetts limited liability
company ("Advisors"), (5) THL Coinvestors III-A, LLC, a Massachusetts limited
liability company ("Coinvestors A"), (6) THL Coinvestors III-B, LLC, a
Massachusetts limited liability company ("Coinvestors B"), (7) Thomas H. Lee
Charitable Investment Limited Partnership, a Massachusetts limited partnership
("Charitable Investment"), and (8) Thomas H. Lee, a United States citizen
The address of each Reporting Persons is c/o Thomas H. Lee Company,
100 Federal Street, Boston, Massachusetts 02110.
10
Each of Equity Fund, Foreign Fund, Foreign Fund B, Coinvestors A,
Coinvestors B and Charitable Investment is principally engaged in the business
of investment in securities. Advisors is principally engaged in the business of
serving as general partner of Equity Fund, Foreign Fund and Foreign Fund B.
Thomas H. Lee is the general partner of Charitable Investment, the Managing
Member of Coinvestors A and Coinvestors B, the general director of the Managing
Member of Advisors and is principally engaged in the business of investment in
securities.
Item 4. Interest in Securities of the Issuer.
Items 5(a) and (b) are hereby amended and replaced in their entirety with the
following:
By virtue of the Subscription Agreement, the Share and Option
Purchase Agreement, the Stockholders' Agreement, the Letter Agreement and the
relationships among the Reporting Persons described herein, the Reporting
Persons may constitute a "group" within the meaning of Rule 13d-5(b) under the
Exchange Act. As a member of a group, each Reporting Person may be deemed to
beneficially own the Common Shares beneficially owned by the members of the
group as a whole. As of May 19, 2004, the Reporting Persons beneficially owned
in the aggregate 56,200 Common Shares, representing less than 1% of the shares
of Common Stock of the Issuer outstanding as of October 31, 2004 (the
"Outstanding Shares"). Each of the Reporting Persons expressly disclaims
beneficial ownership of the Common Shares held by any other members of such
group except Thomas H. Lee does not disclaim beneficial ownership of the Common
Shares held by Coinvestors B to the extent of its pecuniary interest therein.
Thomas H. Lee, as Managing Member of Coinvestors B, may be deemed to
share voting and dispositive power with respect to 56,200 of Common Shares
beneficially owned by such entity, which represents less than 1% of the
Outstanding Shares. The filing of this Amendment No. 3 to Schedule 13D by Thomas
H. Lee shall not be construed as an admission that Thomas H. Lee is, for the
purpose of Section 13(d) of the Exchange Act, the beneficial owner of the Common
Shares held by such entity.
11
Signatures
----------
After reasonable inquiry and to the best knowledge and belief of each
of the undersigned, such person certifies that the information set forth in this
Amendment No. 3 to Schedule 13D with respect to such person is true, complete
and correct.
IN WITNESS WHEREOF, each of the undersigned has executed this
instrument as of this 10th day of February 2005.
THOMAS H. LEE EQUITY FUND IV, L.P.
By: THL Equity Advisors IV, LLC, its General
Partner
By: /s/ C. Hunter Boll
----------------------------------------------------
Name: C. Hunter Boll
Title: Managing Director
THL EQUITY ADVISORS IV, LLC
By: /s/ C. Hunter Boll
----------------------------------------------------
Name: C. Hunter Boll
Title: Managing Director
Thomas H. Lee Foreign Fund IV, L.P., Thomas H. Lee
Foreign Fund IV-B, L.P., Thomas H. Lee Charitable
Investment Limited Partnership, Thomas H. Lee, THL-
Coinvestors III-A, LLC and THL-Coinvestors III-B, LLC.
By: C. Hunter Boll, Attorney-in-fact for the
above-named parties
/s/ C. Hunter Boll
-------------------------------------------------------
C. Hunter Boll, Attorney-in-fact
12