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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. 13)*
GLACIER WATER SERVICES, INC.
.............................................................................
(Name of Issuer)
COMMON STOCK
.............................................................................
(Title of Class of Securities)
376395109
.............................................................................
(CUSIP Number)
DAVID J. SHLADOVSKY, C/O KAYNE ANDERSON CAPITAL ADVISORS, L.P.
1800 AVENUE OF THE STARS, SECOND FLOOR, LOS ANGELES, CA 90067 (310) 556-2721
.............................................................................
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
12/19/2000
.............................................................................
(Date of Event which Requires Piling of this Statement)
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
schedule because of Rule 13d-l(b) (3) or (4), check the following box [ ].
Check the following box if a fee is being paid with the statement [ ]. (A fee is
not required only if the reporting person: (1) has a previous statement on file
reporting beneficial ownership of more than five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class.)
(See Rule 13d-7.)
NOTE: Six copies of this statement, including all exhibits, should be filed with
the Commission. See Rule 13d-l(a) 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).
PAGE 1 OF 9
<PAGE> 2
CUSIP NO. 376395109 SCHEDULE 13D PAGE 2 OF 9 PAGES
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(A) KAYNE ANDERSON CAPITAL ADVISORS, L.P. - 95-4486379
(B) RICHARD A. KAYNE - ###-##-####
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
(A) IS A CALIFORNIA LIMITED PARTNERSHIP
(B) IS A U.S. CITIZEN
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
(A) 0
NUMBER OF (B) 253,866
SHARES ---------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY (A) 1,026,218
EACH REPORTING (B) 1,026,218
PERSON WITH ---------------------------------------------------------
9 SOLE DISPOSITIVE POWER
(A) 0
(B) 253,866
---------------------------------------------------------
10 SHARED DISPOSITIVE POWER
(A) 1,026,218
(B) 1,026,218
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
(A) 1,026,218
(B) 1,280,084
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
(A) 36.13%
(B) 45.07%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
(A) IA
(B) IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 2 OF 9
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CUSIP NO. 376395109 SCHEDULE 13D PAGE 3 OF 9 PAGES
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ARBCO Associates, L.P. - 95-3214739
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
A CALIFORNIA LIMITED PARTNERSHIP
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES ----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
EACH REPORTING 337,248
PERSON WITH ----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
337,248
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
337,248
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11.87%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 3 OF 9
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CUSIP NO. 376395109 SCHEDULE 13D PAGE 4 OF 9 PAGES
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
KAYNE, ANDERSON NON-TRADITIONAL INVESTMENTS, L.P. - 95-4198602
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
A CALIFORNIA LIMITED PARTNERSHIP
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES ----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
EACH REPORTING 208,740
PERSON WITH ----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
208,740
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
208,740
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.35%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 4 OF 9
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CUSIP NO. 376395109 SCHEDULE 13D PAGE 5 OF 9 PAGES
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
KAYNE ANDERSON DIVERSIFIED CAPITAL PARTNERS, L.P. - 95-4111006
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
A CALIFORNIA LIMITED PARTNERSHIP
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES --------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
EACH REPORTING 309,958
PERSON WITH --------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------------
10 SHARED DISPOSITIVE POWER
277,005
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
277,005
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.75%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 5 OF 9
<PAGE> 6
United States
Securities and Exchange Commission
SCHEDULE 13D
AMENDMENT NO. 13
*********************
ITEM 1. SECURITY AND ISSUER
Common Stock, with $0.01 Par Value.
Glacier Water Services, Inc.
2261 Cosmos Court
Carlsbad, CA 92009
ITEM 2. IDENTITY AND BACKGROUND
a. KAYNE ANDERSON INVESTMENT MANAGEMENT, INC.
Kayne Anderson Investment Management, Inc. (KAIM), a Nevada
corporation, serves as general partner of Kayne Anderson Capital
Advisors, L.P. (KACA), a California limited partnership. KACA is an
investment adviser registered under the Investment Advisers Act. It
serves as general partner of and investment adviser to various
investment funds, including the following holders of the issuer's
Common Stock: ARBCO Associates, L.P., Kayne, Anderson Non-Traditional
Investments, L.P., Kayne Anderson Diversified Capital Partners, L.P.
and Kayne Anderson Capital Partners, L.P., each of which is a
California limited partnership. KACA also serves as investment adviser
to other clients, some of which hold the issuer's Common Stock. The
principal business address of KAIM, KACA and the investment limited
partnerships is 1800 Avenue of the Stars, Second Floor, Los Angeles,
California 90067.
During the past five years, none of KAIM, KACA, or the four investment
limited partnerships has been convicted in a criminal proceeding nor
has any of them been a party to a civil proceeding of a judicial or
administrative body or the subject of any judgments, decrees or final
orders from the regulatory bodies.
b. RICHARD A. KAYNE
Mr. Kayne, a U.S. citizen, is President, Chief Executive Officer and
Director of KAIM He also serves as Management Committee Co-Chair and
Chief Executive Officer of Kayne Anderson Rudnick Investment
Management, LLC, a California limited liability company (KARIM), and
President and Director of KA Associates, Inc., a Nevada corporation
(KA). KARIM is a registered investment adviser. KA is a registered
broker/dealer. The principal business address of KARIM and KA is 1800
Avenue of the Stars, Second Floor, Los Angeles, CA 90067.
Mr. Kayne is the controlling shareholder (or member) of KAIM, KARIM
and KA.
Mr. Kayne is Chairman of Glacier Water Services, Inc.
During the past five years, none of Mr. Kayne, KARIM or KA has been
convicted in a criminal proceeding (excluding traffic violations or
similar misdemeanors), nor has any of them been a party to a civil
proceeding of a judicial or administrative body or the subject of any
judgments, decrees or final orders from the regulatory bodies.
PAGE 6 OF 9
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c. The following persons (in addition to Mr. Kayne) are officers and/or
directors of one or more of KAIM, KA and KARIM. Each such person is a
U.S. citizen whose address is 1800 Avenue of the Stars, Second Floor,
Los Angeles, California 90067. During the past five years, none of such
persons has been convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors), nor has any of them been a party
to a civil proceeding of a judicial or administrative body or the
subject of any judgments, decrees or final orders from the regulatory
bodies.
JOHN E. ANDERSON. Chairman of Topa Equities, Ltd., a diversified
investment company located at 1800 Avenue of the Stars, Suite 1400,
Los Angeles, California 90067. Mr. Anderson is also Director of KAIM
and KA.
ALLAN M. RUDNICK. Management Committee Co-Chair, President and
Chief Investment Officer of KARIM.
HOWARD M. ZELIKOW. Vice President and Director of KAIM
ROBERT V. SINNOTT. Vice President of KAIM and
Director of Glacier Water Services, Inc.
RALPH E. WALTER. Chief Operating Officer and Treasurer of KAIM
JERRY R. WELCH. Vice President of KAIM and
Chairman/CEO of Glacier Water Services, Inc.
DAVID J. SHLADOVSKY. General Counsel and Secretary of KAIM and KA.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Investment partnership and other managed account funds were derived by a
combination of cash and security contributions by limited partners or the
managed account holder, as applicable.
ITEM 4. PURPOSE OF TRANSACTION
The shares of the issuer were purchased for investment purposes. Richard A.
Kayne, KACA, and KARIM, on behalf of themselves and their managed accounts, will
consider making further sales or purchases of the shares.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
a. KACA and Richard A. Kayne report beneficial ownership of 1,026,218 and
1,280,084 shares, representing 36.13% and 45.07% of the shares outstanding,
respectively.
b. KACA has shared voting and dispositive power (with Richard A. Kayne) over
its 1,026,218 shares. Richard A. Kayne has sole voting and dispositive power
over 253,866 shares and shared voting and dispositive power (with KACA, KAIM or
KARIM) over 1,026,218 shares.
The shares over which Mr. Kayne has sole voting and dispositive power are
held by him directly or by accounts for which he serves as trustee or custodian.
The shares over which Mr. Kayne and KACA have shared voting and dispositive
power are held by accounts for which KACA serves as investment adviser (and, in
some cases, as general partner). The shares over which Mr. Kayne and KARIM have
shared voting and dispositive power are held by accounts for which KARIM serves
as investment adviser.
KACA disclaims beneficial ownership of the shares reported, except those
shares attributable to it by virtue of its general partner interests in certain
limited partnerships holding such shares. Mr. Kayne disclaims beneficial
ownership of the shares reported, except those shares held by him or
attributable to him by virtue of his limited partner interests in such limited
partnerships and by virtue of his indirect interest in the interest of KACA in
such limited partnerships.
PAGE 7 OF 9
<PAGE> 8
c. Transactions of the shares were made as follows:
<TABLE>
<CAPTION>
Date Type # of shares Price Where/how transaction effected
-------- ---- ----------- ------- ------------------------------
<S> <C> <C> <C> <C>
12/01/00 Sell 5,700 $9.80 AMEX
12/07/00 * 1,475 $9.63 *
12/18/00 Buy 10,000 $8.58 AMEX
12/19/00 Buy 113,900 $8.52 AMEX
</TABLE>
*1,475 shares of Glacier Water Services common stock were transferred out of a
managed account.
d. Not applicable
e. Not applicable
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO
SECURITIES OF THE ISSUER.
Not applicable
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
Exhibit I Joint Filing Agreement among Richard A. Kayne and KACA.
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.
December 29, 2000
---------------------------------------------------
Date
/s/ Richard A. Kayne
----------------------------------------------------
Richard A. Kayne
KAYNE ANDERSON CAPITAL ADVISORS, L.P.
By: Kayne Anderson Investment Management, Inc.
By: /s/ David J. Shladovsky
-------------------------------------------
David J. Shladovsky, Secretary
PAGE 8 OF 9
<PAGE> 9
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(f)(1)
---------------------------------------------------
This agreement is made pursuant to Rule 13d-1(f)(1) under the Securities
Exchange Act of 1934 (the "Act") by and between the parties listed below, each
referred to herein as a "Joint Filer." The Joint Filers agree that a statement
of beneficial ownership as required by Section 13(d) of the Act and the Rules
thereunder may be filed on each of their behalf on Schedule 13D or Schedule 13G,
as appropriate, and that said joint filing may thereafter be amended by further
joint filings. The Joint Filers state that they each satisfy the requirements
for making a joint filing under Rule 13d-1.
/s/ Richard A. Kayne
-------------------------------------------
Richard A. Kayne
/s/ David J. Shladovsky
-------------------------------------------
Kayne Anderson Capital Advisors, L.P., by
David J. Shladovsky, Secretary of
Kayne Anderson Investment Management, Inc.,
general partner
PAGE 9 OF 9
