<PAGE>
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
------------
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
13d-1(a) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(a)
(AMENDMENT NO. 1)(1)
Aftermarket Technology Corp.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $.01 per share
- --------------------------------------------------------------------------------
(Title of Class of Securities)
008318 10 7
- --------------------------------------------------------------------------------
(CUSIP Number)
Joseph Salamunovich, 1 Oak Hill Center, Suite 400, Westmont, IL 60559
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
January 25, 1999
- --------------------------------------------------------------------------------
(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 Rule 13d-1(e), 13d-1(f) or 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 Rule 13d-7(b)
for other parties to whom copies are to be sent.
(Continued on following pages)
(Page 1 of 32 Pages)
- --------------------
(1) 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).
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 2 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aurora Equity Partners L.P.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 6,971,061
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,956,475
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 6,971,061
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 0
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,927,536
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / /
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
49.1%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 3 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aurora Overseas Equity Partners I, L.P.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 1,112,917
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,956,475
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 1,112,917
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 0
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,069,392
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / /
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
20.1%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 4 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aurora Capital Partners L.P.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
N/A
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 6,971,061
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,956,475
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 6,971,061
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 0
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,927,536
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / /
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
49.1%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 5 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aurora Overseas Capital Partners L.P.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
N/A
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 1,112,917
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,956,475
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 1,112,917
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 0
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,069,392
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / /
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
20.1%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP No. 008318 10 7 13D Page 6 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aurora Advisors, Inc.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
N/A
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 6,971,061
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,956,475
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 6,971,061
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 0
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,927,536
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / /
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
49.1%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP No. 008318 10 7 13D Page 7 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aurora Overseas Advisors, Ltd.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
N/A
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 1,112,917
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,956,475
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 1,112,917
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 0
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,069,392
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / /
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
20.1%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP No. 008318 10 7 13D Page 8 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Richard R. Crowell
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
N/A
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 11,040,453
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 69,998
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 8,083,978
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,040,453
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / /
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
54.6%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP No. 008318 10 7 13D Page 9 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Gerald L. Parsky
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
N/A
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 11,040,453
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 137,676
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 8,083,978
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,040,453
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / /
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
54.6%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP No. 008318 10 7 13D Page 10 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Richard K. Roeder
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
N/A
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 11,040,453
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 39,434
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 8,083,978
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,040,453
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / /
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
54.6%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP No. 008318 10 7 13D Page 11 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Trustees of General Electric Pension Trust
I.R.S. #14-6015763
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
N/A
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,038,152
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 2,038,152
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,038,152
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / /
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.1%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
EP
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP No. 008318 10 7 13D Page 12 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
General Electric Investment Corporation, as Investment Manager
to GEPT (as defined below)
I.R.S. #22-2152310
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
N/A
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,038,152
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 2,038,152
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,038,152
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / /
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.1%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IA
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP No. 008318 10 7 13D Page 13 of 32 Pages
- ----------------------------- -----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
General Electric Company
I.R.S. #14-0689340
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
N/A
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) / /
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
-----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY Disclaimed (See 11 below)
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
-----------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH Disclaimed (See 11 below)
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Beneficial ownership of all shares disclaimed by General Electric Company
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* /X/
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
N/A
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 14 of 32 Pages
- ----------------------------- -----------------------------
Item 1. SECURITY AND ISSUER.
This statement relates to the Common Stock, $.01 par value (the
"Common Stock"), of Aftermarket Technology Corp., a Delaware corporation (the
"Issuer"). The principal executive offices of the Issuer are located at 1 Oak
Hill Center, Suite 400, Westmont, IL 60559.
Item 2. IDENTITY AND BACKGROUND.
This Schedule 13D is being filed by Aurora Equity Partners L.P., a
Delaware limited partnership ("AEP"), Aurora Overseas Equity Partners I,
L.P., a Cayman Islands exempted limited partnership ("AOEP"), Aurora Capital
Partners L.P., a Delaware limited partnership ("ACP"), Aurora Overseas
Capital Partners L.P., a Cayman Islands exempted limited partnership
("AOCP"), Aurora Advisors, Inc., a Delaware corporation ("AAI"), Aurora
Overseas Advisors, Ltd., a Cayman Islands exempted company ("AOAL"), Richard
R. Crowell, a United States citizen ("Crowell"), Gerald L. Parsky, a United
States citizen ("Parsky"), Richard K. Roeder, a United States citizen
("Roeder"), the Trustees of General Electric Pension Trust, a New York common
law trust ("GEPT"), its investment manager, General Electric Investment
Corporation, a Delaware corporation and a wholly owned subsidiary of General
Electric Company ("GEIC"), and General Electric Company, a New York
corporation ("GE"). AEP, AOEP, ACP, AOCP, AAI, AOAL, Crowell, Roeder,
Parsky, GEPT, GEIC and GE are collectively referred to herein as the
"Reporting Persons." Each Reporting Person disclaims responsibility for the
completeness and accuracy of the information contained in this Schedule 13D
concerning the other Reporting Persons.
The principal business of AEP and AOEP is that of a private investment
partnership. The general partner of AEP is ACP, whose general partner is AAI.
The general partner of AOEP is AOCP, whose general partner is AOAL. AEP and
AOEP are hereinafter referred to as the "Aurora Partnerships."
Crowell, Parsky and Roeder are the sole stockholders and directors
of AAI and AOAL and are limited partners of ACP and AOCP and may be deemed to
beneficially share ownership of the Common Stock of the Issuer beneficially
owned by AEP and AOEP. Each of such individual's primary occupation is as a
managing director of ACP. For information with respect to the identity and
principal occupation of each executive officer of AAI, see Schedule A
attached hereto and incorporated by reference herein. AOAL has no executive
officers.
The principal business of GEPT is as a pension trust organized for
the benefit of certain employees of General Electric Company. With limited
exceptions, GEPT has irrevocably agreed to vote all shares held by it in such
manner as the Aurora Partnerships shall determine, to such extent as its
fiduciary duties under the Employee Retirement Income Security Act of 1974
shall allow. This provision terminates upon the transfer of such shares.
GEIC is a registered investment advisor and acts as investment manager to
GEPT and thus shares in GEPT's voting and dispositive power. GEIC is a
wholly owned subsidiary of GE and GE reports whenever GEIC reports, although
it disclaims beneficial ownership of any and all shares held by GEPT. GEPT,
GEIC and GE are hereinafter referred to as the "GE Entities."
Certain stockholders of the Issuer, including GEPT, have granted to
the Aurora Partnerships an irrevocable proxy pursuant to which the Aurora
Partnerships can vote the shares subject to the proxy in such manner as the
Aurora Partnerships shall determine in their respective sole and absolute
discretion. See Item 6 ("Stockholders Agreement") for additional information
concerning the terms of the irrevocable proxy.
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 15 of 32 Pages
- ----------------------------- -----------------------------
The principal business and office address of AEP, ACP and AAI is
1800 Century Park East, Suite 1000, Los Angeles, CA 90067. The principal
business and office address of AOEP, AOCP and AOAL is West Wind Building,
P.O. Box 1111, Georgetown, Grand Cayman, Cayman Islands, B.W.I. The
principal business and office address of Messrs. Crowell, Parsky and Roeder
is Aurora Capital Partners L.P., 1800 Century Park East, Suite 1000, Los
Angeles, CA 90067. The principal business and office address of GEPT is c/o
General Electric Investment Corporation, 3003 Summer Street, Stamford, CT
06905, Attn: Michael Pastore, Esq., the principal business and office address
of GEIC is 3003 Summer Street, Stamford, CT 06905, Attn: Michael Pastore,
Esq., and the principal business and office address of GE is 3135 Easton
Turnpike, Fairfield, CT 06431.
See Schedule B attached hereto and incorporated by reference herein for
information with respect to the identity and principal occupation of each (i)
executive officer and director of GE (ii) Trustee of GEPT and (iii) executive
officer and director of GEIC.
Except as set forth below, during the last five years, neither any
Reporting Person nor, to the best knowledge of each Reporting Person, any
person identified in Schedules A or B has (i) been convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or (ii)
been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction and as a result of such a proceeding was or is subject
to a judgement, decree or final order enjoining future violations of, or
prohibiting or mandating activities subject to, federal or state securities
laws or finding any violation with respect to such laws.
HER MAJESTY'S INSPECTORATE OF POLLUTION V. IGE MEDICAL SYSTEMS LIMITED
(St. Albans Magistrates Court, St. Albans, Hersfordshire, England, Case No.
04/00320181).
In April, 1994, General Electric Medical System's U.K. subsidiary, IGE
Medical Systems Limited ("IGEMS") discovered the loss of a radioactive barium
source at the Radlett, England, facility. The lost source, used to calibrate
nuclear camera detectors, emits a very low level of radiation. IGEMS
immediately reported the loss as required by the U.K. Radioactive Substances
Act. An ensuing investigation, conducted in cooperation with government
authorities, failed to locate the source. On July 21, 1994, Her Majesty's
Inspectorate of Pollution ("HMIP") charged IGEMS with violating the
Radioactive Substances Act by failing to comply with a condition of
registration. The Act provides that a registrant like IGEMS, which "does not
comply with a limitation or condition subject to which (it) is so registered
... shall be guilty of (a criminal) offense." Condition 7 of IGEMS'
registration states that it "shall so far as is reasonably practicable
prevent ... loss of any registered source."
At the beginning of trial on February 24, 1995, IGEMS entered a guilty
plea and agreed to pay a fine of L5,000 and assessed costs of L5,754. The
prosecutor's presentation focused primarily on the 1991 change in internal
IGEMS procedures and, in particular, the source logging procedure. The
prosecutor complimented IGEMS' investigation and efforts to locate the source
and advised the court that IGEMS had no previous violations of the
Radioactive Substances Act. He also told the court that the Radlett plant had
been highlighted as an exemplary facility to HMIP inspectors as part of their
training. In mitigation, IGEMS emphasized the significant infrastructure and
expense undertaken by IGEMS to provide security for radiation sources and the
significant effort and expense incurred in attempting to locate the missing
source.
All Reporting Persons and, to the best knowledge of each Reporting
Person, all persons identified in Schedules A or B are United States
citizens, except that Paolo Fresco, Director of GE, is a citizen of Italy,
Claudio X. Gonzalez, Director of GE, is a citizen of Mexico,
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 16 of 32 Pages
- ----------------------------- -----------------------------
Andrea Jung, Director of GE, is a citizen of Canada, and G. S. Malm, Senior
Vice President of GE, is a citizen of Sweden.
Item 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
As of December 20, 1998, AEP owned 6,651,808 shares of Common Stock
and AOEP owned 1,061,870 shares of Common Stock. As more fully described in
Item 5(c) hereof, from December 21, 1998 to January 29, 1999, AEP utilized an
aggregate of $2,518,759.85 of its working capital to purchase an aggregate of
319,253 shares of Common Stock. From December 21, 1998 to January 29, 1999,
AOEP utilized an aggregate of $402,655.90 of its working capital to purchase an
aggregate of 51,047 shares of Common Stock. The working capital was provided by
capital contributions to AEP and AOEP from their respective general and limited
partners. On December 21, 1998 Parsky utilzed an aggregate of $325,835 of his
personal funds to purchase an aggregate of 50,000 shares of Common Stock. On
December 21, 1998, Roeder utilized an aggregare of $162,917.50 of his
personal funds to purchase an aggregate of 25,000 shares of Common Stock.
Item 4. PURPOSE OF TRANSACTION.
AEP and AOEP have commenced a program through Morgan Stanley Dean
Witter for the purchase of up to 2.2 million shares of the Company's common
stock (the "Purchase Program"). The shares of Common Stock purchased by AEP,
AOEP, Parsky and Roeder through the Purchase Program have been acquired for
investment purposes. The Reporting Persons intend to review on a continuing
basis their investment in the Issuer. The Reporting Persons may decide to
increase or decrease their investment in the Issuer depending upon the price
and availability of the Issuer's securities, subsequent developments
affecting the Issuer, the Issuer's business and prospects, other investment
and business opportunities available to the Reporting Persons, general stock
market and economic conditions, tax considerations and other factors.
Other than as described above, none of the Reporting Persons has
any plans or proposals that relate to or would result in any of the actions
described in subparagraphs (a) through (j) of Item 4 of Schedule 13D
(although they reserve the right to develop such plans).
Item 5. INTEREST IN SECURITIES OF THE ISSUER.
(a) and (b) As of January 29, 1999, AEP, ACP and AAI may be deemed to
beneficially own 9,927,536 shares of Common Stock, representing approximately
49.1% of the total outstanding shares of Common Stock (based on the number of
shares of the Issuer's Common Stock outstanding as of October 31, 1998, as
reported in the Issuer's Form 10Q). AEP, ACP and AAI have sole voting and
dispositive power with respect to 6,971,061 shares of Common Stock and shared
voting power with respect to 2,956,475 shares of Common Stock.
As of the same date, AOEP, AOCP and AOAL may be deemed to beneficially
own 4,069,392 shares of Common Stock, representing approximately 20.1% of the
total outstanding shares of Common Stock. AOEP, AOCP and AOAL have sole voting
and dispositive power with respect to 1,112,917 shares of Common Stock and
shared voting power with respect to 2,956,475 shares of Common Stock.
Of the 2,956,475 shares for which AEP, AOEP, ACP, AOCP, AAI and AOAL
have shared voting power, 2,038,152 shares are owned by GEPT and 918,323 shares
are subject to an irrevocable proxy granted to AEP and AOEP by certain holders
of Common Stock, including Crowell, Parsky and Roeder, certain other limited
partners of AEP and certain affiliates of a limited partner of AOEP. The proxy
terminates upon the transfer of such shares.
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 17 of 32 Pages
- ----------------------------- -----------------------------
As of the same date, Messrs. Crowell, Parsky and Roeder may be deemed
to each beneficially own 11,040,453 shares of Common Stock, representing
approximately 54.6% of the total outstanding shares of Common Stock. Messrs.
Crowell, Parsky and Roeder have shared voting power with respect to 11,040,453
shares of Common Stock and shared dispositive power with respect to 8,083,978
shares of Common Stock, and sole dispositive power with respect to 69,998,
137,676 and 39,434 shares of Common Stock, respectively. Of the 11,040,453
shares for which Crowell, Parsky and Roeder have shared voting power, 6,971,061
shares are owned by AEP, 1,112,917 shares are owned by AOEP, 2,038,152 shares
are owned by GEPT and 918,323 shares are subject to an irrevocable proxy granted
to AEP and AOEP by certain holders of Common Stock, including Crowell, Parsky
and Roeder, certain other limited partners of AEP and certain affiliates of a
limited partner of AOEP. The proxy terminates upon the transfer of such shares.
Of the 8,083,978 shares for which Crowell, Parsky and Roeder have shared
dispositive power, 6,971,061 shares are owned by AEP and 1,112,917 shares are
owned by AOEP.
As of the same date, Mr. Frederick J. Elsea, III, Chief Financial
Officer of AAI and ACP, may be deemed to beneficially own 20,160 shares of
Common Stock, representing approximately 0.1% of the total outstanding shares
of Common Stock. Mr. Elsea has sole voting and dispositive power with respect
to the 20,160 shares of Common Stock.
As of the same date, GEPT and GEIC may be deemed to beneficially own
2,038,152 shares of Common Stock, representing approximately 10.1% of the total
outstanding shares of Common Stock. GEPT and GEIC have shared voting and
dispositive power with respect to 2,038,152 shares of Common Stock. GE
disclaims beneficial ownership of any and all shares held by GEPT.
(c) Pursuant to the Purchase Program, AEP acquired a total of 319,253
shares of Common Stock through open market purchases as follows:
<TABLE>
<CAPTION>
NO. OF SHARES DATE ACQUIRED
------------- -------------
<S> <C>
64,673 Dec. 21, 1998
4,312 Dec. 23, 1998
2,156 Dec. 28, 1998
25,869 Dec. 29, 1998
4,312 Dec. 30, 1998
4,312 Jan. 04, 1999
12,935 Jan. 08, 1999
9,485 Jan. 11, 1999
49,450 Jan. 13, 1999
20,468 Jan. 14, 1999
21,500 Jan. 15, 1999
10,750 Jan. 19, 1999
24,080 Jan. 21, 1999
23,220 Jan. 22, 1999
30,537 Jan. 25, 1999
11,194 Jan. 29, 1999
</TABLE>
Pursuant to the Purchase Program, AOEP acquired a total of 51,047
shares of Common Stock through open market purchases as follows:
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 18 of 32 Pages
- ----------------------------- -----------------------------
<TABLE>
<CAPTION>
NO. OF SHARES DATE ACQUIRED
------------- -------------
<S> <C>
10,327 Dec. 21, 1998
688 Dec. 23, 1998
344 Dec. 28, 1998
4,131 Dec. 29. 1998
688 Dec. 30, 1998
688 Jan. 04, 1999
2,065 Jan. 08, 1999
1,515 Jan. 11, 1999
8,050 Jan. 13, 1999
3,332 Jan. 14, 1999
3,500 Jan. 15, 1999
1,750 Jan. 19, 1999
3,920 Jan. 21, 1999
3,780 Jan. 22, 1999
4,463 Jan. 25, 1999
1,806 Jan. 29, 1999
</TABLE>
Pursuant to the Purchase Program, Roeder acquired 25,000 shares of
Common Stock through an open market purchase on December 21, 1998.
Pursuant to that Purchase Program, Parsky acquired 50,000 shares of
Common Stock through an open market purchase on December 21, 1998.
(d) The right to receive distributions, and proceeds from the sale of
the 6,971,061 and 1,112,917 shares of Common Stock held of record by AEP and
AOEP, respectively, is governed by their respective limited partnership
agreements, and such distributions or proceeds may be made with respect to the
general and limited partnership interests in AEP and AOEP.
(e) Not applicable.
Item 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER.
Stockholders Agreement. AEP, AOEP, GEPT and Messrs. Crowell, Parsky
and Roeder are parties to that certain Stockholders Agreement, dated August 2,
1994, among Aftermarket Technology Holdings Corp. (the predecessor-in-interest
to the Issuer), and certain of its stockholders, optionholders and warrant
holders (as amended to date, the "Stockholders Agreement"). Under the
Stockholders Agreement, certain stockholders of the Issuer, including GEPT, have
granted to the Aurora Partnerships an irrevocable proxy pursuant to which the
Aurora Partnerships can vote the shares subject to the proxy in such manner as
the Aurora Partnerships shall determine in their respective sole and absolute
discretion. The aggregate number of shares subject to such irrevocable proxy is
approximately 918,323 shares, or 4.5% of the total outstanding shares of Common
Stock. Each proxy terminates upon the earlier to occur of the transfer of the
subject shares or July 31, 2004. In addition, the parties to the Stockholders
Agreement have agreed to provide the Issuer with written notice prior to any
proposed transfer of their shares of Common Stock.
The Stockholders Agreement also provides that if, after the Aurora
Partnerships distribute their shares of Common Stock to their limited
partners, any such limited partner holds 10% or more of the outstanding
Common Stock, such limited partner (the "Demand Holder") will have the right
to require the Issuer to use its best efforts to file a registration
statement under
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 19 of 32 Pages
- ----------------------------- -----------------------------
the Securities Act of 1933, as amended (the "Securities Act"), covering the
resale of the Demand Holder's shares in an underwritten offering. If
following such offering the Demand Holder still holds 10% or more of the
outstanding Common Stock, the Demand Holder will have one additional "demand"
registration right.
The Issuer will bear all expenses incident to any registration
effected pursuant to the Stockholders Agreement, including the fees and
expenses of a single counsel retained by the selling stockholders; however,
each selling stockholder will be responsible for the underwriting discounts
and commissions and transfer taxes in connection with shares sold by such
stockholder. Each selling stockholder and the underwriters through whom
shares are sold on behalf of a selling stockholder will be entitled to
customary indemnification from the Issuer against certain liabilities,
including liabilities under the Securities Act.
In connection with a December 1996 private placement to GEPT, the
Issuer granted a "demand" registration right to GEPT. Such registration right
covers the 955,794 shares issued in the private placement as well as 300,000
shares of Common Stock owned by GEPT prior to the private placement. Pursuant to
this registration right, GEPT may, subject to certain limitations, require the
Issuer to use its best efforts to file a registration statement under the
Securities Act covering the resale of such shares of Common Stock. In addition,
GEPT was granted a "piggyback" registration right to include such shares on a
pro rata basis in any registration effected for the account of any person
exercising a contractual "demand" registration right granted by the Issuer in
the future. All fees, costs and expenses of such registration (other than
underwriting discounts and commissions) will be borne by the Issuer. GEPT and
any underwriters through whom shares are sold on behalf of GEPT will be entitled
to customary indemnification from the Issuer against certain liabilities,
including liabilities under the Securities Act. GEPT's registration rights may
not be exercised until after December 20, 1999.
The foregoing summary of the Stockholders Agreement is qualified in
its entirety by reference to the Stockholders Agreement, a copy of which is
included as an exhibit hereto and incorporated herein by reference.
Management Services Agreement. The Issuer also pays to ACP a base
annual management fee of approximately $540,000 for advisory and consulting
services pursuant to a written management services agreement (the "Management
Services Agreement"). ACP is also entitled to reimbursements from the Issuer
for all of its reasonable out-of-pocket costs and expenses incurred in
connection with the performance of its obligations under the Management
Services Agreement. The base annual management fee is subject to increase,
at the discretion of the disinterested members of the Issuer's Board of
Directors, by up to an aggregate of $250,000 in the event the Issuer
consummates one or more significant corporate transactions. The base annual
management fee has not been increased as a result of any of the Issuer's
acquisitions. The base annual management fee is also subject to increase for
specified cost of living increases pursuant to which the base annual
management fee was most recently increased in July 1997 from $530,000. If
the Issuer's EBITDA in any year exceeds management's budgeted EBITDA by 15.0%
or more for that year, ACP will be entitled to receive an additional
management fee equal to one half of its base annual management fee for such
year. Because the Issuer's EBITDA did not exceed management's budgeted
EBITDA by 15.0% in 1998, ACP did not receive this additional management fee
in 1998. In the event the Issuer consummates any significant acquisitions or
dispositions, ACP will be entitled to receive a closing fee from the Issuer
equal to 2.0% of the first $75.0 million of the acquisition consideration
(including debt assumed and current assets retained) and 1.0% of acquisition
consideration (including debt assumed and current assets retained) in excess
of $75.0 million.
Notwithstanding the foregoing, no payment will be made to ACP
pursuant to the Management Services Agreement at any time that certain events
of default shall have occurred
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 20 of 32 Pages
- ----------------------------- -----------------------------
and be then continuing under any of the Indentures governing the Issuer's 12%
Senior Subordinated Notes due 2004 or the Issuer's bank credit facility. The
Management Services Agreement also provides that the Issuer shall provide ACP
and its directors, employees, partners and affiliates with customary
indemnification against all actions not involving gross negligence or willful
misconduct.
The base annual management fee payable to ACP will be reduced as
the collective beneficial ownership of Common Stock by the Aurora
Partnerships declines below 50% as follows: for any period during which the
collective beneficial ownership of the Aurora Partnerships is less than 50%
but at least 40%, the base annual management fee payable for the period will
be 80% of the original base annual management fee (as such original base
annual management fee may previously have been adjusted due to discretionary
increases by the Board of Directors or cost of living increases as described
above, the "Original Fee"); for any period during which the Aurora
Partnerships' collective beneficial ownership is less than 40% but at least
30%, the base annual management fee payable for the period will be 60% of the
Original Fee; and for any period during which the collective beneficial
ownership of the Aurora Partnerships is less than 30% but at least 20%, the
base annual management fee payable for the period will be 40% of the Original
Fee. If the Aurora Partnerships' collective beneficial ownership declines
below 20%, the Management Services Agreement will terminate. Effective May
1, 1998, the Management Services Agreement was assigned by ACP to Aurora
Management Partners LLC, a Delaware limited liability company.
Item 7. MATERIAL TO BE FILED AS EXHIBITS.
(a) Stockholders Agreement, dated as of August 2, 1994, among
Aftermarket Technology Holdings Corp. (the
predecessor-in-interest to the Issuer), and certain of its
stockholders, optionholders and warrant holders (the Stockholders
Agreement) (previously filed as Exhibit 10.1 to the Issuer's
Registration Statement on Form S-4 filed on November 30, 1994,
Commission File No. 33-86838, and incorporated herein by this
reference)
(b) Amendment No. 1 to the Stockholders Agreement, dated as of June
24, 1996 (previously filed as Exhibit 10.38 to Amendment No. 2 to
the Issuer's Registration Statement on Form S-1 filed on November
6, 1996, Commission File No. 333-5597, and incorporated herein by
this reference)
(c) Amendment No. 2 to the Stockholders Agreement, dated as of
October 24, 1996 (previously filed as Exhibit 10.39 to Amendment
No. 2 to the Issuer's Registration Statement on Form S-1 filed
on November 6, 1996, Commission File No. 333-5597, and
incorporated herein by this reference)
(d) Amendment No. 3 to Stockholders Agreement, dated as of December
4, 1996 (previously filed as Exhibit 10.4 to the Issuer's Annual
Report on Form 10-K for the year ended December 31, 1996 and
incorporated herein by this reference)
(e) Amendment No. 4 to Stockholders Agreement, dated as of December
16, 1996 (previously filed as Exhibit 10.5 to the Issuer's Annual
Report on Form 10-K for the year ended December 31, 1996 and
incorporated herein by this reference)
(f) Amended and Restated Management Services Agreement, dated as of
November 18, 1996, by and among the Issuer, the Issuer's
subsidiaries, and Aurora Capital Partners L.P. (previously filed
as Exhibit 10.4 to
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 21 of 32 Pages
- ----------------------------- -----------------------------
Amendment No. 4 to the Issuer's Registration Statement on
Form S-1 filed on October 25, 1996, Commission File
No. 333-5597, and incorporated herein by this reference)
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 22 of 32 Pages
- ----------------------------- -----------------------------
SIGNATURE
After reasonable inquiry and to the best of their knowledge and
belief, each of the undersigned certifies that the information set forth in this
statement is true, complete and correct.
AURORA EQUITY PARTNERS L.P.
By: Aurora Capital Partners L.P.,
its general partner
By: Aurora Advisors, Inc.,
its general partner
By: /s/ RICHARD K. ROEDER March 1, 1999
--------------------------------------
Richard K. Roeder, Vice President
AURORA OVERSEAS EQUITY
PARTNERS I, L.P.
By: Aurora Overseas Capital Partners L.P.,
its general partner
By: Aurora Overseas Advisors, Ltd.,
its general partner
By: /s/ RICHARD K. ROEDER March 1, 1999
--------------------------------------
Richard K. Roeder, Director
AURORA CAPITAL PARTNERS L.P.
By: Aurora Advisors, Inc.,
its general partner
By: /s/ RICHARD K. ROEDER March 1, 1999
--------------------------------------
Richard K. Roeder, Vice President
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 23 of 32 Pages
- ----------------------------- -----------------------------
AURORA OVERSEAS CAPITAL
PARTNERS L.P.
By: Aurora Overseas Advisors, Ltd.,
its general partner
By: /s/ RICHARD K. ROEDER March 1, 1999
--------------------------------------
Richard K. Roeder, Director
AURORA ADVISORS, INC.
By: /s/ RICHARD K. ROEDER March 1, 1999
--------------------------------------
Richard K. Roeder, Vice President
AURORA OVERSEAS ADVISORS, LTD.
By: /s/ RICHARD K. ROEDER March 1, 1999
--------------------------------------
Richard K. Roeder, Director
/s/ RICHARD R. CROWELL March 1, 1999
- -----------------------------------------
RICHARD R. CROWELL
/s/ RICHARD K. ROEDER March 1, 1999
- -----------------------------------------
RICHARD K. ROEDER
/s/ GERALD L. PARSKY March 1, 1999
- -----------------------------------------
GERALD L. PARSKY
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 24 of 32 Pages
- ----------------------------- -----------------------------
GENERAL ELECTRIC PENSION TRUST
By: General Electric Investment Corporation,
its Investment Manager
/s/ MICHAEL M. PASTORE March 1, 1999
---------------------------------------
Michael M. Pastore, Vice President
GENERAL ELECTRIC INVESTMENT CORPORATION
By: /s/ MICHAEL M. PASTORE March 1, 1999
---------------------------------------
Michael M. Pastore, Vice President
GENERAL ELECTRIC COMPANY
By: /s/ JOHN H. MYERS March 1, 1999
---------------------------------------
John H. Myers, Vice President
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 25 of 32 Pages
- ----------------------------- -----------------------------
SCHEDULE A
AURORA ADVISORS, INC. EXECUTIVE OFFICERS
The business address of each of the persons listed below is Aurora Capital
Partners L.P., 1800 Century Park East, Suite 1000, Los Angeles, California
90067.
<TABLE>
<CAPTION>
OFFICERS POSITIONS
<S> <C>
Gerald L. Parsky Chairman of the Board and managing director of ACP
Richard K. Roeder Vice President and Assistant Secretary and
managing director of ACP
Richard R. Crowell Vice President and Secretary and
managing director of ACP
Frederick J. Elsea, III Chief Financial Officer and Chief Financial Officer of ACP
</TABLE>
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 26 of 32 Pages
- ----------------------------- -----------------------------
SCHEDULE B
GENERAL ELECTRIC COMPANY EXECUTIVE OFFICERS
The business address of each of the persons listed below is 3135 Easton
Turnpike, Fairfield, Connecticut 06431.
The names and principal occupations of the Officers of General Electric
Company are as follows:
<TABLE>
<CAPTION>
OFFICERS POSITION(S)
<S> <C>
J.F. Welch, Jr. Chairman of the Board and Chief Executive Officer
P.D. Ameen Vice President and Comptroller
J.R. Bunt Vice President and Treasurer
D.L. Calhoun Senior Vice President - GE Lighting
W.J. Conaty Senior Vice President - Human Resources
D.M. Cote Senior Vice President - GE Appliances
D.D. Dammerman Vice Chairman of the Board and Executive
Officer, Chairman and Chief Executive Officer,
General Electric Capital Services, Inc.
L.S. Edelheit Senior Vice President - Corporate Research and Development
B.W. Heineman, Jr. Senior Vice President - General Counsel and Secretary
J.R. Immelt Senior Vice President - GE Medical Systems
G.S. Malm Senior Vice President - Asia
W.J. McNerney, Jr. Senior Vice President - GE Aircraft Engines
E.F. Murphy Vice Chairman of the Board and Executive Officer
R.L. Nardelli Senior Vice President - GE Power Systems
R.W. Nelson Vice President - Corporate Financial Planning and Analysis
J.D. Opie Vice Chairman of the Board and Executive Officer
G.M. Reiner Senior Vice President - Chief Information Officer
J.G. Rice Vice President - GE Transportation Systems
G.L. Rogers Senior Vice President - GE Plastics
K.S. Sherin Senior Vice President-Finance and
Chief Financial Officer
L.G. Trotter Senior Vice President - GE Industrial Systems
</TABLE>
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 27 of 32 Pages
- ----------------------------- -----------------------------
CITIZENSHIP
(other than United States)
<TABLE>
<S> <C>
G.S. Malm Sweden
</TABLE>
The names, business addresses and principal occupations of Directors of
General Electric Company are as follows:
<TABLE>
<S> <C> <C>
J.I. Cash, Jr. Professor of Business Administration- Harvard Business School
Graduate School of Business Baker Library 187
Administration, Harvard University Soldiers Field
Boston, MA 02163
S.S. Cathcart Retired Chairman, Illinois Tool Works 222 Wisconsin Avenue
Suite 103
Lake Forest, Il 60045
D.D. Dammerman Vice Chairman of the Board and Executive General Electric Company
Officer, General Electric Company; 3135 Easton Turnpike
Chairman and Chief Executive Officer, Fairfield, CT 06431
General Electric Capital Services, Inc.
P. Fresco Chairman of the Board, Fiat SpA Fiat SpA
via Nizza 250
10126 Torino, Italy
C.X. Gonzalez Chairman of the Board and Chief Kimberly-Clark de Mexico
Executive Officer, Kimberly-Clark S.A. de C.V.
de Mexico, S.A. de C.V. Jose Luis Lagrange 103
Tercero Piso
Colonia Los Morales
Mexico, D.F. 11510, Mexico
Andrea Jung President and Chief Operating Officer, Avon Products, Inc.
Avon Products, Inc. 1345 Avenue of the Americas
New York, NY 10105
G.G. Michelson Former Member of the Board of Directors, Federated Department Stores
Federated Department Stores 151 West 34th Street
New York, NY 10001
E.F. Murphy Vice Chairman of the Board and General Electric Company
Executive Officer, General Electric 3135 Easton Turnpike
Company Fairfield, CT 06431
</TABLE>
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 28 of 32 Pages
- ----------------------------- -----------------------------
<TABLE>
<S> <C> <C>
S. Nunn Partner, King & Spalding King & Spalding
191 Peachtree Street, N.E.
Atlanta, Georgia 30303
J.D. Opie Vice Chairman of the Board and General Electric Company
Executive Officer, General Electric 3135 Easton Turnpike
Company Fairfield, CT 06431
R.S. Penske Chairman of the Board and President, Penske Corporation
Penske Corporation 13400 Outer Drive, West
Detroit, MI 48239-4001
F.H.T. Rhodes President Emeritus, Cornell University Cornell University
3104 Snee Building
Ithaca, NY 14853
A.C. Sigler Retired Chairman of the Board and CEO Champion International Corporation
and former Director, Champion 1 Champion Plaza
International Corporation Stamford, CT 06921
D.A. Warner III Chairman of the Board, President, and J.P. Morgan & Co., Inc.
Chief Executive Officer, J.P. Morgan & Morgan Guaranty Trust Co.
& Co. Incorporated and Morgan Guaranty 60 Wall Street
Trust Company New York, NY 10260
J.F. Welch, Jr. Chairman of the Board and Chief General Electric Company
Executive Officer, General Electric 3135 Easton Turnpike
Company Fairfield, CT 06431
</TABLE>
CITIZENSHIP
(other than United States)
<TABLE>
<S> <C>
C.X. Gonzalez Mexico
P. Fresco Italy
Andrea Jung Canada
</TABLE>
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 29 of 32 Pages
- ----------------------------- -----------------------------
GENERAL ELECTRIC PENSION TRUST
The business address of each of the persons listed below is 3003 Summer
Street, P.O. Box 7900, Stamford, Connecticut 06904.
The names and principal occupations of each of the Trustees of the
General Electric Pension Trust are as follows:
<TABLE>
<S> <C>
Eugene K. Bolton Executive Vice President of GEIC and GEIM
Michael J. Cosgrove Executive Vice President of GEIC and GEIM
John H. Myers Vice President of General Electric Company,
Chairman of the Board and President of GEIC
and GEIM
Ralph R. Layman Executive Vice President of GEIC and GEIM
Alan M. Lewis Executive Vice President, General Counsel
and Secretary of GEIC and GEIM
Robert A. MacDougall Executive Vice President of GEIC and GEIM
Thomas J. Szkutak Executive Vice President-Finance and
Administration of GEIC and Executive Vice
President-Chief Financial Officer of GEIM
Donald W. Torey Executive Vice President of GEIC and GEIM
</TABLE>
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 30 of 32 Pages
- ----------------------------- -----------------------------
GENERAL ELECTRIC INVESTMENT CORPORATION
The business address of each of the persons listed below is 3003 Summer
Street, P.O. Box 7900, Stamford, Connecticut 06904.
The names and principal occupations of the Officers of General Electric
Investment Corporation are as follows:
<TABLE>
<S> <C>
John H. Myers Chairman of the Board and President
Eugene K. Bolton Executive Vice President
Michael J. Cosgrove Executive Vice President
Ralph R. Layman Executive Vice President
Alan M. Lewis Executive Vice President, General Counsel
and Secretary
Robert A. MacDougall Executive Vice President
Geoffrey R. Norman Executive Vice President
Thomas J. Szkutak Executive Vice President - Chief Financial
Officer
Donald W. Torey Executive Vice President
Peter J. Hathaway Senior Vice President - Equity Portfolios
Elaine G. Harris Senior Vice President - Equity Portfolios
Paul C. Reinhardt Senior Vice President - Equity Portfolios
Christopher W. Smith Senior Vice President - Equity Investments
David B. Carlson Senior Vice President - Equity Portfolios
Christopher D. Brown Senior Vice President - Equity Portfolios
Richard L. Sanderson Senior Vice President - Equity Research
Robert R. Kaelin Senior Vice President - Municipal Bonds
Philip A. Riordan Senior Vice President - Real Estate
Judith A. Studer Senior Vice President - International Equity Portfolios
Brian Hopkinson Senior Vice President - International Equity Portfolios
Michael J. Caufield Senior Vice President - Municipal Bonds
James M. Mara Senior Vice President - International Private Equities
Makoto F. Sumino Vice President - International Equity Portfolios
Daniel J. Barker Vice President - International Equity Portfolios
Michael J. Solecki Vice President - International Equity Portfolios
Daizo Motoyoshi Vice President - International Equity Portfolios
Damian J. Maroun Vice President - Equity Trading
</TABLE>
<PAGE>
- ----------------------------- -----------------------------
CUSIP No. 008318 10 7 13D Page 31 of 32 Pages
- ----------------------------- -----------------------------
<TABLE>
<S> <C>
Gerald L. Igou Vice President - Equity Investments
Tara K. Holbrook Vice President - Equity Investments
Ralph E. Whitman Vice President - Equity Investments
Jane E. Hackney Vice President - Equity Investments
Mark A. Mitchell Vice President - Equity Investments
John H. Schaetzl Vice President - Domestic Equities
Anthony J. Sirabella Vice President - Information Technology
Jeffrey A. Groh Vice President - Operations
William R. Wright Vice President - Fixed Income
David J. Beck Vice President - Fixed Income
Robert W. Aufiero Vice President - Fixed Income
Kathleen S. Brooks Vice President - Fixed Income
William M. Healey Vice President - Fixed Income
T. Brent Jones Vice President - Fixed Income
Stella V. Lou Vice President - Municipal Bonds
Michael A. Sullivan Vice President - Municipal Bonds
Susan M. Courtney Vice President - Municipal Bonds
David W. Wiederecht Vice President - Private Equities
Wolfe H. Bragin Vice President - Private Equities
Andreas T. Hildebrand Vice President - Private Equities
Patrick J. McNeela Vice President - Private Equities
Anthony J. Mariani Vice President - Private Equities
B. Bradford Barrett Vice President - Real Estate
Robert P. Gigliotti Vice President - Real Estate
Preston R. Sargent Vice President - Real Estate
Jeanne M. LaPorta Vice President - Associate General Counsel
and Assistant Secretary
Michael M. Pastore Vice President - Associate General Counsel
and Assistant Secretary
Scott A. Silberstein Vice President - Associate General Counsel
and Assistant Secretary
</TABLE>
<PAGE>
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CUSIP No. 008318 10 7 13D Page 32 of 32 Pages
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<TABLE>
<S> <C>
Matthew J. Simpson Vice President - Associate General Counsel
and Assistant Secretary
Marc R. Bryant Vice President - Associate General Counsel
and Assistant Secretary
Michael J. Strone Vice President - Associate General Counsel
and Assistant Secretary
Robert J. Zalucki Vice President-Tax Counsel
</TABLE>
The names and principal occupations of the Directors of GEIC are as
follows:
<TABLE>
<S> <C>
Eugene K. Bolton Executive Vice President of GEIC and GEIM
and Trustee of GEPT
Michael J. Cosgrove Executive Vice President of GEIC and GEIM
and Trustee of GEPT
John H. Myers Vice President of General Electric Company,
Chairman of the Board and President of GEIC
and GEIM and Trustee of GEPT
Ralph R. Layman Executive Vice President of GEIC and GEIM
and Trustee of GEPT
Alan M. Lewis Executive Vice President, General Counsel
and Secretary of GEIC and GEIM and Trustee of
GEPT
Robert A. MacDougall Executive Vice President of GEIC and GEIM
and Trustee of GEPT
Geoffrey R. Norman Executive Vice President of GEIC and GEIM
Thomas J. Szkutak Executive Vice President-Finance and
Administration of GEIC and Executive Vice
President-Chief Financial Officer of GEIM
and Trustee of GEPT
Donald W. Torey Executive Vice President of GEIC and GEIM
and Trustee of GEPT
</TABLE>
