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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. )*
NuCo2 Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
629428103
(CUSIP Number)
May 4, 1999
(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)
/x/ Rule 13d-1(c)
/ / 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).
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED
IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY
VALID OMB CONTROL NUMBER.
SEC 1745 (3-98) Page 1 of 10 pages
<PAGE> 2
SCHEDULE 13G
ISSUER: NUCO2 INC. CUSIP NO.: 629428103
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Chase Capital Investments, L.P.
13-4108945
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
(b)
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3. SEC Use
Only
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4. Citizenship or Place of Delaware
Organization
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Number of 5. Sole Voting 1,187,025.10 (see Schedule Item 4
Shares Power incorporated herein by reference)
Beneficially -------------------------------------------------------------
Owned by Each 6. Shared Voting Not applicable.
Reporting Power
Person With: -------------------------------------------------------------
7. Sole 1,187,025.10 (see Schedule Item 4
Dispositive incorporated herein by reference)
Power
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8. Shared Not applicable.
Dispositive
Power
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9. Aggregate Amount Beneficially 1,187,025.10 (see Schedule Item 4
Owned by Each incorporated herein by reference)
Reporting Person
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10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
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11. Percent of Class Represented by 16.3%
Amount in Row (9)
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12. Type of Reporting Person (See Instructions)
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Partnership
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SEC 1745 (3-98) Page 2 of 10 pages
<PAGE> 3
SCHEDULE 13G
ISSUER: NUCO2 INC. CUSIP NO.: 629428103
Preliminary Note:
ITEM 1.
(a) NAME OF ISSUER:
NuCo2 Inc.
(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
2800 S.E. Market Place
Stuart, Florida 34997
ITEM 2.
(a) NAME OF PERSON FILING:
Chase Capital Investments, L.P.
Supplemental information relating to the ownership and control
of the person filing this statement is included in Exhibit
2(a) attached hereto.
(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
1221 Avenue of the Americas
New York, New York 10020
(c) CITIZENSHIP:
Delaware
(d) TITLE OF CLASS OF SECURITIES (OF ISSUER):
Common Stock
(e) CUSIP NUMBER:
629428103
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240. 13d-1(b)
or 240. 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS a:
Not applicable.
ITEM 4. OWNERSHIP
(a) AMOUNT BENEFICIALLY OWNED:
1,187,025.10, composed of (a) immediately exercisable warrants
for 651,042 shares; (b) options to purchase 6,000 shares
(one-third of which are exercisable commencing October 20,
2000, one-third of which are exercisable commencing October
20, 2001, and one-third of which are exercisable commencing
October 20, 2002), which options are held by Richard Waters, a
director of the Issuer, who is contractually obligated to
exercise the options at the request of, and to transfer any
shares issued under the options to, the Reporting Person; and
(c) convertible preferred stock, which is immediately
convertible into 529,983.10 shares.
SEC 1745 (3-98) Page 3 of 10 pages
<PAGE> 4
SCHEDULE 13G
ISSUER: NUCO2 INC. CUSIP NO.: 629428103
(b) PERCENT OF CLASS:
16.3% based on 7,274,682 shares outstanding as reported by
NuCo2 Inc.'s Form 10-Q for the quarterly period ended March
31, 2000.
(c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:
(i) 1,187,025.10
(ii) Not applicable.
(iii) 1,187,025.10
(iv) Not applicable.
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
Not applicable.
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. CERTIFICATIONS
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and
are not held for the purpose of or with the effect of changing
or influencing the control of the issuer of the securities and
were not acquired and are not held in connection with or as a
participant in any transaction having that purpose or effect.
SEC 1745 (3-98) Page 4 of 10 pages
<PAGE> 5
SCHEDULE 13G
ISSUER: NUCO2 INC. CUSIP NO.: 629428103
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.
Date: July 31, 2000
CHASE CAPITAL INVESTMENTS, L.P.
By: CHASE CAPITAL PARTNERS, its general partner
By: /s/ Jeffrey C. Walker
----------------------------------------
Name: Jeffrey C. Walker
Title: Managing General Partner
SEC 1745 (3-98) Page 5 of 10 pages
<PAGE> 6
SCHEDULE 13G
ISSUER: NUCO2 INC. CUSIP NO.: 629428103
EXHIBIT 2(a)
Item 2. Identity and Background.
This statement is being filed by Chase Capital Investments, L.P., a
Delaware limited partnership (hereinafter referred to as "CCI"), whose principal
office is located at c/o Chase Capital Partners, 1221 Avenue of the Americas,
40th Floor, New York, New York 10020.
CCI is engaged in the venture capital and leveraged buyout business.
The general partner and investment manager is Chase Capital Partners, a New York
general partnership (hereinafter referred to as "CCP"). CCP's principal office
is located at the same address as CCI.
Set forth below are the names of each general partner of CCP who is
a natural person. Each such general partner is a U.S. citizen (except for
Messrs. Britts and Meggs, each of whom are citizens of the United Kingdom and
Ms. Aidar who is a citizen of Brazil), whose principal occupation is general
partner of CCP and whose business address (except for Messrs. Britts, Meggs,
Soghikian and Stuart and Ms. Aidar) is c/o Chase Capital Partners, 1221 Avenue
of the Americas, New York, New York 10020.
Ana Carolina Aidar
John R. Baron
Christopher C. Behrens
Mitchell J. Blutt, M.D.
David S. Britts
Arnold L. Chavkin
David Gilbert
Eric Green
Michael R. Hannon
Donald J. Hofmann
Jonathan Meggs
Thomas G. Mendell
Stephen P. Murray
John M.B. O'Connor
Robert Ruggiero
Susan Segal
Shahan D. Soghikian
Lindsay Stuart
Charles Walker
Jeffrey C. Walker
Timothy Walsh
Rick Waters
Damion E. Wicker, M.D.
Eric R. Wilkinson
Messrs. Britts', Soghikian's and Charles Walker's address is c/o
Chase Capital Partners, 50 California Street, Suite 2940, San Francisco, CA
94111. Messrs. Meggs' and Stuart's address is c/o Chase Capital Partners,
125 London Wall, Level 13, London, England EC2Y5AJ.
Jeffrey C. Walker is the managing general partner of CCP. The
remaining general partners of CCP are Chase Capital Corporation, a New York
corporation (hereinafter referred to as "Chase Capital"), CCP Principals, L.P.,
a Delaware limited partnership (hereinafter referred to as "Principals") and CCP
European Principals, L.P., a Delaware limited partnership (hereinafter referred
to as "European Principals"), each of whose principal office is located at 1221
Avenue of the Americas, 40th Floor, New York, New York 10020. Chase Capital is a
wholly-owned subsidiary of The Chase Manhattan Corporation. The general partner
of each of Principals and European Principals is Chase Capital. Chase Capital,
Principals and European Principals are each engaged in the venture capital and
leveraged buyout business. Set forth in Schedule A hereto and incorporated
herein by reference are the names, business addresses and principal occupations
or employments of each executive officer and director of Chase Capital, each of
whom is a U.S. citizen.
SEC 1745 (3-98) Page 6 of 10 pages
<PAGE> 7
SCHEDULE 13G
ISSUER: NUCO2 INC. CUSIP NO.: 629428103
The Chase Manhattan Corporation (hereinafter referred to as "Chase")
is a Delaware corporation engaged (primarily through subsidiaries) in the
commercial banking business with its principal office located at 270 Park
Avenue, New York, New York 10017. Set forth in Schedule B hereto and
incorporated herein by reference are the names, business addresses, principal
occupations and employments of each executive officer and director of Chase,
each of whom is a U.S. citizen.
SEC 1745 (3-98) Page 7 of 10 pages
<PAGE> 8
SCHEDULE 13G
ISSUER: NUCO2 INC. CUSIP NO.: 629428103
SCHEDULE A
CHASE CAPITAL CORPORATION
EXECUTIVE OFFICERS
<TABLE>
<S> <C>
Chief Executive Officer William B. Harrison, Jr. *
President Jeffrey C. Walker**
Executive Vice President Mitchell J. Blutt, M.D. **
Vice President & Secretary Gregory Meredith*
Vice President and Treasurer Elisa R. Stein**
Vice President Marcia Bateson**
Assistant Secretary Robert C. Carroll*
Assistant Secretary Anthony J. Horan*
Assistant Secretary Denise G. Connors*
</TABLE>
DIRECTORS
William B. Harrison, Jr.*
Jeffrey C. Walker* *
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* Principal occupation is employee and/or officer of Chase. Business address
is c/o The Chase Manhattan Corporation, 270 Park Avenue, New York, New York
10017.
** Principal occupation is employee of Chase and/or general partner of Chase
Capital Partners. Business address is c/o Chase Capital Partners, 1221
Avenue of the Americas, 40th Floor, New York, New York 10020.
SEC 1745 (3-98) Page 8 of 10 pages
<PAGE> 9
SCHEDULE 13G
ISSUER: NUCO2 INC. CUSIP NO.: 629428103
SCHEDULE B
THE CHASE MANHATTAN CORPORATION
EXECUTIVE OFFICERS
William B. Harrison Jr., Chairman and Chief Executive Officer**
Donald L. Boudreau, Vice Chairman*
John J. Farrell, Director of Human Resources*
Neal S. Garonzik, Vice Chairman*
Frederick W. Hill, Director of Corporate Marketing and Communications*
Donald H. Layton, Vice Chairman*
James B. Lee Jr., Vice Chairman*
William H. McDavid, General Counsel*
Denis J. O'Leary, Executive Vice President*
Marc J. Shapiro, Vice Chairman*
Joseph G. Sponholz, Vice Chairman*
Jeffrey C. Walker, Senior Managing Director**
DIRECTORS***
<TABLE>
<CAPTION>
NAME PRINCIPAL OCCUPATION OR EMPLOYMENT;
BUSINESS OR RESIDENCE ADDRESS
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<S> <C>
Hans W. Becherer Chairman of the Board
Chief Executive Officer
Deere & Company
One John Deere Place
Moline, IL 61265
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Frank A. Bennack, Jr. President and Chief Executive Officer
The Hearst Corporation
959 Eighth Avenue
New York, New York 10019
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Susan V. Berresford President
The Ford Foundation
320 E. 43rd Street
New York, New York 10017
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M. Anthony Burns Chairman of the Board and
Chief Executive Officer
Ryder System, Inc.
3600 N.W. 82nd Avenue
Miami, Florida 33166
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</TABLE>
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* Principal occupation is executive officer and/or employee of The Chase
Manhattan Bank. Business address is c/o The Chase Manhattan Bank, 270 Park
Avenue, New York, New York 10017. Each executive officer of Chase is a U.S.
citizen.
** Principal occupation is employee of Chase and/or general partner of Chase
Capital Partners. Business address is c/o Chase Capital Partners, 380
Madison Avenue - 12th Floor, New York, New York 10017.
*** Each of the persons named below is a citizen of the United States of
America.
SEC 1745 (3-98) Page 9 of 10 pages
<PAGE> 10
SCHEDULE 13G
ISSUER: NUCO2 INC. CUSIP NO.: 629428103
<TABLE>
<CAPTION>
PRINCIPAL OCCUPATION OR EMPLOYMENT;
NAME BUSINESS OR RESIDENCE ADDRESS
-----------------------------------------------------------------------------
<S> <C>
H. Laurence Fuller Co-Chairman
BP Amoco p.l.c.
1111 Warrenville Road, Suite 25
Chicago, Illinois 60563
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Melvin R. Goodes Retired Chairman of the Board and CEO
Warner-Lambert Company
201 Tabor Road
Morris Plains, NJ 07950
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William H. Gray, III President and Chief Executive Officer
The College Fund/UNCF
9860 Willow Oaks Corporate Drive
P.O. Box 10444
Fairfax, Virginia 22031
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William B. Harrison, Jr. Chairman and Chief Executive Officer
The Chase Manhattan Corporation
270 Park Avenue, 8th Floor
New York, New York 10017-2070
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Harold S. Hook Retired Chairman and Chief Executive
Officer
American General Corporation
2929 Allen Parkway
Houston, Texas 77019
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Helene L. Kaplan Of Counsel
Skadden, Arps, Slate, Meagher & Flom LLP
919 Third Avenue - Room 29-72
New York, New York 10022
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Henry B. Schacht Director and Senior Advisor
E.M. Warburg, Pincus & Co., LLC
466 Lexington Avenue, 10th Floor
New York, New York 10017
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Andrew C. Sigler Retired Chairman of the Board and
Chief Executive Officer
Champion International Corporation
One Champion Plaza
Stamford, Connecticut 06921
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John R. Stafford Chairman, President and
Chief Executive Officer
American Home Products Corporation
5 Giralda Farms
Madison, New Jersey 07940
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Marina v.N. Whitman Professor of Business Administration
and Public Policy
The University of Michigan
School of Public Policy
411 Lorch Hall, 611 Tappan Street
Ann Arbor, MI 48109-1220
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</TABLE>
SEC 1745 (3-98) Page 10 of 10 pages
