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UNITED STATES
SECURITIES & EXCHANGE COMMISSION
WASHINGTON D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 6)*
BROTHERS GOURMET COFFEES, INC.
-----------------------------
(Name of Issuer)
COMMON STOCK, $.0001 PAR VALUE
------------------------------
(Title of Class of Securities)
114822 10 9
------------
(CUSIP Number)
NOT APPLICABLE
-----------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
/ / Rule 13d-1(b)
/ / Rule 13d-1(c)
/X/ Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities,
and for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
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CUSIP No. 114822 10 9 13G Page 2 of 10
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
J.H. WHITNEY & CO., A NEW YORK LIMITED PARTNERSHIP (IRS IDENTIFICATION
NO. 13-1534455), THE GENERAL PARTNERS OF WHICH ARE MICHAEL C. BROOKS,
PETER M. CASTLEMAN, JEFFREY R. JAY, WILLIAM LAVERACK, JR., DANIEL J.
O'BRIEN, MICHAEL R. STONE AND WHITNEY GENERAL PARTNER, L.L.C.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b)/X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
A NEW YORK LIMITED PARTNERSHIP. ALL INDIVIDUAL GENERAL PARTNERS ARE
UNITED STATES CITIZENS. WHITNEY GENERAL PARTNER, L.L.C. IS A DELAWARE
LIMITED LIABILITY COMPANY.
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
10,362.5 shares of Common Stock
Number of (issuable upon exercise of warrants)
Shares ---------------------------------------------------------
Beneficially 6 SHARED VOTING POWER
Owned By
Each - 0 -
Reporting ---------------------------------------------------------
Person 7 SOLE DISPOSITIVE POWER
With
10,362.5 shares of Common Stock
(issuable upon exercise of warrants)
---------------------------------------------------------
8 SHARED DISPOSITIVE POWER
- 0 -
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,362.5 shares of Common Stock (issuable upon exercise of warrants)
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
/X/
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.1%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
2
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CUSIP No. 114822 10 9 13G Page 3 of 10
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
WHITNEY 1990 EQUITY FUND, L.P., A DELAWARE LIMITED PARTNERSHIP (IRS
IDENTIFICATION NO. 06-1305466), THE GENERAL PARTNERS OF WHICH ARE
MICHAEL C. BROOKS, PETER M. CASTLEMAN, JEFFREY R. JAY, WILLIAM
LAVERACK, JR., DANIEL J. O'BRIEN AND MICHAEL R. STONE.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
A DELAWARE LIMITED PARTNERSHIP. ALL GENERAL PARTNERS ARE UNITED STATES
CITIZENS.
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
41,450.5 shares of Common Stock
Number of (issuable upon exercise of warrants)
Shares ---------------------------------------------------------
Beneficially 6 SHARED VOTING POWER
Owned By
Each - 0 -
Reporting ---------------------------------------------------------
Person 7 SOLE DISPOSITIVE POWER
With
41,450.5 shares of Common Stock
(issuable upon exercise of warrants)
---------------------------------------------------------
8 SHARED DISPOSITIVE POWER
- 0 -
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
41,450.5 shares of Common Stock (issuable upon exercise of warrants)
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
/X/
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.3%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
3
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CUSIP No. 114822 10 9 13G Page 4 of 10
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
WHITNEY SUBORDINATED DEBT FUND, L.P., A DELAWARE LIMITED PARTNERSHIP
(IRS NO. 13- 3526570), THE GENERAL PARTNERS OF WHICH ARE MICHAEL C.
BROOKS, PETER M. CASTLEMAN, JAMES H. FORDYCE, JEFFREY R. JAY, WILLIAM
LAVERACK, JR., DANIEL J. O'BRIEN AND MICHAEL R. STONE.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
A DELAWARE LIMITED PARTNERSHIP. ALL GENERAL PARTNERS ARE UNITED STATES
CITIZENS.
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
1,031,421 shares of Common Stock
Number of (issuable upon exercise of warrants)
Shares ---------------------------------------------------------
Beneficially 6 SHARED VOTING POWER
Owned By
Each - 0 -
Reporting ---------------------------------------------------------
Person 7 SOLE DISPOSITIVE POWER
With
1,031,421 shares of Common Stock
(issuable upon exercise of warrants)
---------------------------------------------------------
8 SHARED DISPOSITIVE POWER
- 0 -
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,031,421 shares of Common Stock (issuable upon exercise of warrants)
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
/X/
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.8%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
4
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ITEM 1(a). NAME OF ISSUER:
Brothers Gourmet Coffees, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
One Boca Place
2255 Glades Road
Suite 100E
Boca Raton, FL 33433
ITEM 2(a) NAME OF PERSON FILING:
(i) J. H. Whitney & Co. is a New York limited partnership. The
names and business addresses of the general partners of J.
H. Whitney & Co. are as follows: Michael C. Brooks, Peter M.
Castleman, Jeffrey R. Jay, William Laverack, Jr., Daniel J.
O'Brien, Michael R. Stone and Whitney General Partner,
L.L.C., the business address of each of whom is 177 Broad
Street, Stamford, CT 06901.
(ii) Whitney 1990 Equity Fund, L.P. is a Delaware limited
partnership. The names and business addresses of the general
partners of Whitney 1990 Equity Fund, L.P. are as follows:
Michael C. Brooks, Peter M. Castleman, Jeffrey R. Jay,
William Laverack, Jr., Daniel J. O'Brien and Michael R.
Stone, the business address of each of whom is 177 Broad
Street, Stamford, CT 06901.
(iii) Whitney Subordinated Debt Fund, L.P. is a Delaware limited
partnership. The names and business addresses of the general
partners of Whitney Subordinated Debt Fund, L.P. are as
follows: Michael C. Brooks, Peter M. Castleman, James H.
Fordyce, Jeffrey R. Jay, William Laverack, Jr., Daniel J.
O'Brien and Michael R. Stone, the business address of each
of whom is 177 Broad Street, Stamford, CT 06901.
ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE:
(i) J. H. Whitney & Co.
177 Broad Street
Stamford, CT 06901
(ii) Whitney 1990 Equity Fund, L.P.
177 Broad Street
Stamford, CT 06901
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(iii) Whitney Subordinated Debt Fund, L.P.
177 Broad Street
Stamford, CT 06901
ITEM 2(c) CITIZENSHIP:
(i) J. H. Whitney & Co. is a New York limited partnership. All
of its individual general partners are citizens of the
United States. Whitney General Partner, L.L.C. is a Delaware
limited liability company.
(ii) Whitney 1990 Equity Fund, L.P. is a Delaware limited
partnership. All of its general partners are citizens of the
United States.
(iii) Whitney Subordinated Debt Fund, L.P. is a Delaware limited
partnership. All of its general partners are citizens of the
United States.
ITEM 2(d) TITLE OF CLASS OF SECURITIES:
Common Stock
ITEM 2(e) CUSIP NUMBER:
114822 10 9
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR
13d-2(b), CHECK WHETHER THE PERSON FILING IS A:
(a) / / Broker or Dealer registered under Section 15 of the Act
(b) / / Bank as defined in section 3(a)(6) of the Act
(c) / / Insurance Company as defined in section 3(a)(19) of the Act
(d) / / Investment Company registered under section 8 of the
Investment Company Act
(e) / / Investment Adviser registered under section 203 of the
Investment Advisers Act of 1940
(f) / / Employee Benefit Plan, Pension Fund which is subject to
the provisions of the Employee Retirement Income Security
Act of 1974 or Endowment Fund;
see Section 240.13d-1(b)(1)(ii)(F)
(g) / / Parent Holding Company, in accordance with
Section 240.13d-1(b)(ii)(G) (Note: See Item 7)
(h) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(H)
6
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ITEM 4. OWNERSHIP.
The following information is provided as of December 31, 1999:
(a) Amount Beneficially Owned:
(i) J.H. Whitney & Co. is the beneficial owner of 10,362.5
shares;(1)
(ii) Whitney 1990 Equity Fund, L.P. is the beneficial owner
of 41,450.5 shares; and(1)
(iii) Whitney Subordinated Debt Fund, L.P. is the beneficial
owner of 1,031,421 shares.(1)
(b) Percent of Class:
(i) 0.1% for J. H. Whitney & Co.;
(ii) 0.3% for Whitney 1990 Equity Fund, L.P.; and
(iii) 7.8% for Whitney Subordinated Debt Fund, L.P.
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
10,362.5 shares for J. H. Whitney & Co.;
41,450.5 shares for Whitney 1990 Equity Fund, L.P.; and
1,031,421 shares for Whitney Subordinated Debt
Fund, L.P.
(ii) shared power to vote or to direct the vote:
0 shares for J. H. Whitney & Co.;
0 shares for Whitney 1990 Equity Fund, L.P.; and
0 shares for Whitney Subordinated Debt Fund, L.P.
- --------
(1) The figure for the amount beneficially owned by each of J. H. Whitney &
Co., Whitney 1990 Equity Fund, L.P., and Whitney Subordinated Debt Fund,
L.P. represents shares of Common Stock issuable upon the exercise of
warrants held by such partnership (10,362.5 shares, 41,450.5 shares and
1,031,421 shares, respectively). J.H. Whitney & Co., Whitney 1990 Equity
Fund, L.P. and Whitney Subordinated Debt Fund, L.P. disclaim the existence
of a group with respect to the Common Stock of the issuer, and each
disclaims beneficial ownership of the shares of Common Stock owned by the
others.
7
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(iii) sole power to dispose or to direct the disposition of:
10,362.5 shares for J. H. Whitney & Co.;
41,450.5 shares for Whitney 1990 Equity Fund, L.P.; and
1,031,421 shares for Whitney Subordinated Debt
Fund, L.P.
(iv) shared power to dispose or to direct the disposition
of:
0 shares for J. H. Whitney & Co.;
0 shares for Whitney 1990 Equity Fund, L.P.; and
0 shares for Whitney Subordinated Debt Fund, L.P.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON
No other person has the right to receive or the power to direct the
receipt of dividends from, or proceeds from the sale of, the
securities owned by J. H. Whitney & Co., Whitney 1990 Equity Fund,
L.P. and Whitney Subordinated Debt Fund, L.P.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED
THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY
Not applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not applicable.
ITEM 10. CERTIFICATION
Not applicable.
8
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SIGNATURE
After reasonable inquiry and to the best of its knowledge and belief, each
of J. H. Whitney & Co., Whitney 1990 Equity Fund, L.P. and Whitney Subordinated
Debt Fund, L.P. hereby certifies that the information set forth in this
statement is true, complete and correct.
Date: February 14, 2000
J.H. WHITNEY & CO.
By: /s/ Daniel J. O'Brien
-----------------------------------------
Daniel J. O'Brien
General Partner
WHITNEY 1990 EQUITY FUND, L.P.
By: /s/ Daniel J. O'Brien
-----------------------------------------
Daniel J. O'Brien
General Partner
WHITNEY SUBORDINATED DEBT FUND, L.P.
By: /s/ Daniel J. O'Brien
-----------------------------------------
Daniel J. O'Brien
General Partner
9
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Exhibit A
JOINT FILING AGREEMENT
In accordance with Rule 13d-1 under the Securities Exchange Act, as
amended, the undersigned hereby agree to the joint filing on behalf of each of
them on a statement on Schedule 13G (including amendments thereto) with respect
to the Common Stock, $0.0001 par value per share, of Brothers Gourmet Coffees,
Inc. and that this Agreement be included as an Exhibit to such joint filing.
IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this
14th day of February, 2000.
J.H. WHITNEY & CO.
By: /s/ Daniel J. O'Brien
-----------------------------------------
Daniel J. O'Brien
General Partner
WHITNEY 1990 EQUITY FUND, L.P.
By: /s/ Daniel J. O'Brien
-----------------------------------------
Daniel J. O'Brien
General Partner
WHITNEY SUBORDINATED DEBT FUND, L.P.
By: /s/ Daniel J. O'Brien
-----------------------------------------
Daniel J. O'Brien
General Partner
10
