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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(AMENDMENT NO. 9)
UNDER THE SECURITIES EXCHANGE ACT OF 1934
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-
1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)
----------------
JUNO LIGHTING, INC.
(NAME OF ISSUER)
----------------
COMMON STOCK, $.001 PAR VALUE PER SHARE
(TITLE OF CLASS OF SECURITIES)
----------------
482047 20 6
(CUSIP NUMBER OF CLASS OF SECURITIES)
----------------
KEVIN BAKER
VICE PRESIDENT AND SECRETARY
FREMONT INVESTORS I, L.L.C.
FREMONT INVESTORS I CS, L.L.C.
50 FREMONT STREET; SUITE 3700
SAN FRANCISCO, CALIFORNIA 94105
(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO
RECEIVE NOTICES AND COMMUNICATIONS)
WITH A COPY TO:
KENTON J. KING
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP
FOUR EMBARCADERO CENTER, SUITE 3800
SAN FRANCISCO, CALIFORNIA 94111
(415) 984-6400
OCTOBER 19, 2000
(DATE OF EVENT WHICH REQUIRES FILING OF STATEMENT ON SCHEDULE 13D)
If the filing person has previously filed a statement on Schedule
13G to report the acquisition which is the subject of this Schedule 13D,
and is filing this statement because of Rule 13d-1(b)(3) or (4), check the
following box: [ ]
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CUSIP No. 482047 20 6 13D Page 2 of 13 Pages
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1 NAMES OF REPORTING PERSONS: FREMONT INVESTORS I, L.L.C.
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS:
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP.
(a) |X| (b) |_|
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
OO
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) |_|
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6 CITIZENSHIP OR PLACE OF ORGANIZATION:
STATE OF DELAWARE
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7 SOLE VOTING POWER
NUMBER OF
SHARES --------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 4,423,010
EACH --------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH --------------------------------------
10 SHARED DISPOSITIVE POWER
4,423,010
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,423,010
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
|_|
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
64.4%
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14 TYPE OF REPORTING PERSON
OO
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CUSIP No. 482047 20 6 13D Page 3 of 13 Pages
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1 NAMES OF REPORTING PERSONS: FREMONT PARTNERS, L.P.
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS:
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP.
(a) |X| (b) |_|
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3 SEC USE ONLY
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4 SOURCE OF FUNDS:
OO
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) |_|
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6 CITIZENSHIP OR PLACE OF ORGANIZATION:
STATE OF DELAWARE
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7 SOLE VOTING POWER
NUMBER OF -----------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY 4,821,376
OWNED BY -----------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON -----------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
4,821,376
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,821,376
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
|_|
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
70.2%
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14 TYPE OF REPORTING PERSON
PN
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CUSIP No. 482047 20 6 13D Page 4 of 13 Pages
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1 NAMES OF REPORTING PERSONS: FP ADVISORS, L.L.C.
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS:
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP.
(a) |X| (b) |_|
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
OO
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) |_|
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6 CITIZENSHIP OR PLACE OF ORGANIZATION:
STATE OF DELAWARE
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7 SOLE VOTING POWER
NUMBER OF ------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY 4,821,376
OWNED BY ------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON ------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
4,821,376
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,821,376
------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
|_|
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
70.2%
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14 TYPE OF REPORTING PERSON
OO
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CUSIP No. 482047 20 6 13D Page 5 of 13 Pages
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1 NAMES OF REPORTING PERSONS: FREMONT GROUP, L.L.C.
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS:
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP.
(a) |X| (b) |_|
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
OO
------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) |_|
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6 CITIZENSHIP OR PLACE OF ORGANIZATION:
STATE OF DELAWARE
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7 SOLE VOTING POWER
NUMBER OF -----------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY 5,016,475
OWNED BY -----------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON -----------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
5,016,475
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,016,475
------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
|_|
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
73.0%
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14 TYPE OF REPORTING PERSON
OO
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CUSIP No. 482047 20 6 13D Page 6 of 13 Pages
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1 NAMES OF REPORTING PERSONS: FREMONT INVESTORS, INC.
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS:
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP.
(a) |X| (b) |_|
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3 SEC USE ONLY
------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) |_|
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6 CITIZENSHIP OR PLACE OF ORGANIZATION:
STATE OF NEVADA
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7 SOLE VOTING POWER
NUMBER OF -----------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY 5,016,475
OWNED BY -----------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON -----------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
5,016,475
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,016,475
------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
|_|
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
73.0%
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14 TYPE OF REPORTING PERSON
CO
CUSIP No. 482047 20 6 13D Page 7 of 13 Pages
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1 NAMES OF REPORTING PERSONS: FREMONT INVESTORS I CS, L.L.C.
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS:
------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP.
(a) |X| (b) |_|
------------------------------------------------------------------------------
3 SEC USE ONLY
------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) |_|
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6 CITIZENSHIP OR PLACE OF ORGANIZATION:
STATE OF DELAWARE
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7 SOLE VOTING POWER
NUMBER OF ------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY 398,366
OWNED BY ------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON ------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
398,366
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
398,366
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
|_|
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
5.8%
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14 TYPE OF REPORTING PERSON
OO
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CUSIP No. 482047 20 6 13D Page 8 of 13 Pages
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1 NAMES OF REPORTING PERSONS: FREMONT PARTNERS, L.L.C.
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS:
------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP.
(a) |X| (b) |_|
------------------------------------------------------------------------------
3 SEC USE ONLY
------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) |_|
------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION:
STATE OF DELAWARE
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7 SOLE VOTING POWER
NUMBER OF ------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY 195,098
OWNED BY ------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON ------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
195,098
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
195,098
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
|_|
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
2.8%
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14 TYPE OF REPORTING PERSON
OO
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The item numbers and responses thereto below are in accordance with
the requirements of Schedule 13D.
Item 1. Security and Issuer.
This amendment (this "Statement") amends and supplements the
amended and restated statement on Schedule 13D filed by Fremont Investors
I, L.L.C., Fremont Partners, L.P., FP Advisors, L.L.C., Fremont Group,
L.L.C., Fremont Investors, Inc., Fremont Investors I CS, L.L.C. and Fremont
Partners, L.L.C. (the "Reporting Persons") on October 9, 2000. This
Statement relates to the Common Stock (the "Common Stock") of Juno
Lighting, Inc., a Delaware corporation (the "Company"). The Series A
Convertible Preferred Stock of the Company (the "Preferred Stock") is
convertible into Common Stock. The address of the Company's principal
executive offices is 1300 South Wolf Road, Des Plaines, Illinois 60017.
Item 3. Source and Amount of Funds or Other Consideration.
On October 10, 2000, October 17, 2000, October 19, 2000 and October
20, 2000, Fremont Partners, L.L.C. acquired 15,000, 4,000, 70,000 and
17,500 shares of Common Stock (the "Acquired Shares") at a weighted average
price of $5.71 per share, or $607,875 in the aggregate, plus applicable
brokerage fees. Such acquisition was effected in four open market
purchases. The consideration was obtained from the operating capital of
Fremont Partners, L.L.C.
Item 4. Purpose of the Transaction.
All of the shares of Common Stock and Preferred Stock acquired by
the Reporting Persons have been acquired for general investment purposes.
Each of the Reporting Persons reserves the right to change their investment
intent. Subject to market conditions the Reporting Persons may acquire or
dispose of shares of the Company from time to time in future open-market,
privately negotiated or other transactions.
It is anticipated that the Board of Directors of the Company will
act as soon as practicable to fill the existing vacancies on the Board of
Directors with outside directors who are unaffiliated with any of the
Reporting Persons. Except as set forth above, the Reporting Persons do not
have any plans or proposals which would relate to or result in any of the
transactions described in subparagraphs (a) through (j) of Item 4 on
Schedule 13D.
Item 5. Interest in Securities of the Issuer.
(a) As of October 23, 2000, Fremont Investors I, L.L.C. owned
1,051,590 shares of Preferred Stock, which are convertible into 4,423,010
shares of Common Stock or 64.4% of the Common Stock.
As of October 23, 2000, Fremont Partners, L.P. and FP Advisors,
L.L.C. may be deemed to beneficially own (i) the 1,051,590 shares of
Preferred Stock owned by Fremont Investors I, L.L.C. and (ii) the 398,366
shares of Common Stock owned by Fremont Investors I CS, L.L.C. Such shares
are convertible into and/or represent a total of 4,821,376 shares of Common
Stock, or 70.2% of the Common Stock.
As of October 23, 2000, Fremont Group, L.L.C. and Fremont
Investors, Inc. may be deemed to beneficially own (i) the 1,051,590 shares
of Preferred Stock owned by Fremont Investors I, L.L.C., (ii) the 398,366
shares of Common Stock owned by Fremont Investors I CS, L.L.C., (iii) the
380 shares of Preferred Stock owned by Fremont Partners, L.L.C. and (iv)
the 193,500 shares of Common Stock owned by Fremont Partners, L.L.C. Such
shares are convertible into and/or represent a total of 5,016,475 shares of
Common Stock, or 73.0% of the Common Stock.
Upon conversion of the Preferred Stock into Common Stock, the
voting power represented by the Common Stock would be equivalent to that of
the Preferred Stock immediately prior to conversion. Pursuant to the terms
of the Certificate of Incorporation of the Company, and as set forth in
more detail therein, for the first five years after the issuance of the
Preferred Stock, the number of shares of Common Stock into which the
Preferred Stock is convertible will increase as a result of dividends
payable by an increase in the Stated Amount. This will result in an
increase in the voting power represented by the underlying Common Stock.
After the first five years, dividends on the Preferred Stock may be paid in
cash.
Each of (i) Fremont Partners, L.P., as the managing member of
Fremont Investors I, L.L.C., (ii) FP Advisors, L.L.C., as the general
partner of Fremont Partners, L.P., (iii) Fremont Group, L.L.C., as the
managing member of FP Advisors, L.L.C., and (iv) Fremont Investors, Inc.,
as the manager of Fremont Group, L.L.C., may be deemed to beneficially own
the Preferred Stock, and the shares of Common Stock underlying such
Preferred Stock, owned directly by Fremont Investors I, L.L.C.
Each of (i) Fremont Partners, L.P., as the managing member of
Fremont Investors I CS L.L.C., (ii) FP Advisors, L.L.C., as the general
partner of Fremont Partners, L.P., (iii) Fremont Group, L.L.C., as the
managing member of FP Advisors, L.L.C., and (iv) Fremont Investors, Inc.,
as the manager of Fremont Group, L.L.C., may be deemed to beneficially own
the 398,366 shares of Common Stock owned directly by Fremont Investors I
CS, L.L.C.
Fremont Group, L.L.C., as the managing member of Fremont Partners,
L.L.C., and Fremont Investors, Inc., as the manager of Fremont Group,
L.L.C., may be deemed to beneficially own the 380 shares of Preferred Stock
and the 193,500 shares of Common Stock owned directly by Fremont Partners,
L.L.C.
(b) Fremont Investors I, L.L.C. currently exercises the power to
vote or direct the disposition of 1,051,590 shares of Preferred Stock, and
the underlying Common Stock. Each of Fremont Partners, L.P., FP Advisors,
L.L.C., Fremont Group, L.L.C. and Fremont Investors, Inc. currently
exercises shared power to vote or direct the vote and shared power to
dispose or to direct the disposition of 1,051,590 shares of Preferred Stock
owned by Fremont Investors I, L.L.C., and the underlying Common Stock. In
addition, each of Fremont Partners, L.P. FP Advisors, L.L.C., Fremont
Group, L.L.C. and Fremont Investors, Inc. currently exercises shared power
to vote or direct the vote and shared power to dispose or to direct the
disposition of 398,366 shares of Common Stock owned by Fremont Investors I
CS, L.L.C. Fremont Group, L.L.C. and Fremont Investors, Inc. also currently
exercise shared power to vote or direct the vote and shared power to
dispose or to direct the disposition of an additional 380 shares of the
Preferred Stock (for a total of 1,051,970 shares of Preferred Stock), the
underlying Common Stock, and the 193,500 shares of Common Stock owned
directly by Fremont Partners, L.L.C.
Each of the Reporting Persons, as part of a "group" pursuant to
Rule 13d-5(b)(1), may be deemed to beneficially own 5,016,475 shares of
Common Stock on an as-converted basis, or 73.0% of the Common Stock.
(c) Except as reported in Item 3 or this Item 5, none of the
Reporting Persons has effected any transactions in the Preferred Stock or
Common Stock during the past 60 days.
(d) - (e) Inapplicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer
Pursuant and subject to certain agreements among them, Fremont
Investors I CS, L.L.C., Fremont Group, L.L.C. and members of Fremont
Investors I, L.L.C. have the right to acquire Acquired Shares, and up to
87,000 shares of Common Stock previously acquired by Fremont Partners,
L.L.C., from Fremont Partners, L.L.C. at Fremont Partners, L.L.C.'s
original cost.
Item 7. Material to be Filed as Exhibits.
The following documents are being filed as exhibits to this
Statement and are each incorporated by reference herein.
(1) Joint Filing Agreement, dated as of October 23, 2000, by and
between Fremont Investors I, L.L.C., Fremont Partners, L.P.,
FP Advisors, L.L.C., Fremont Group, L.L.C., Fremont
Investors, Inc., Fremont Investors I CS, L.L.C. and Fremont
Partners, L.L.C.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
Dated: October 23, 2000
FREMONT INVESTORS I, L.L.C.
FREMONT INVESTORS I CS, L.L.C.
FREMONT PARTNERS, L.P.
FP ADVISORS, L.L.C.,
FREMONT GROUP, L.L.C.,
FREMONT INVESTORS, INC.,
FREMONT PARTNERS, L.L.C.
By: /s/ Robert Jaunich
-----------------------------------
Name: Robert Jaunich
Executive Officer or Executive
Officer of a partner, member or
manager of each Reporting Person
EXHIBIT INDEX
Exhibit
Number Exhibit
(1) Joint Filing Agreement, dated as of October 23, 2000, by and
among Fremont Investors I, L.L.C., Fremont Partners, L.P.,
FP Advisors, L.L.C., Fremont Group, L.L.C., Fremont
Investors, Inc., Fremont Investors I CS, L.L.C. and Fremont
Partners, L.L.C.
