UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934*
Rayovac Corporation
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(NAME OF ISSUER)
Common Stock
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(TITLE OF CLASS OF SECURITIES)
755081106
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(CUSIP NUMBER)
David P. Kreisler, Esq.
Weil, Gotshal & Manges LLP
100 Federal Street, 34th Floor
Boston, Massachusetts 02110
(617) 772-8300
--------------------------------------------------------------------------------
(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO
RECEIVE NOTICES AND COMMUNICATIONS)
February 7, 2005
--------------------------------------------------------------------------------
(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 ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-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 ss.240.13d-7 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).
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 2 of 44
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1 NAME OF REPORTING PERSON: THL EQUITY ADVISORS IV, LLC
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY): 04-3399871
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: N/A
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 11,990,683 (SEE ITEM 5)
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 11,990,683 (SEE ITEM 5)
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 11,990,683 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 24.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: OO
------------------- -------------------------------------------------- -------------------------------------------------------------
2
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 3 of 44
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------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS H. LEE EQUITY FUND IV, L.P.
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY): 04-3399873
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 10,593,305 (SEE ITEM 5)
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 10,593,305 (SEE ITEM 5)
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 10,593,305 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 21.3%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: PN
------------------- -------------------------------------------------- -------------------------------------------------------------
3
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 4 of 44
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------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS H. LEE FOREIGN FUND IV, L.P.
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY): 04-3417188
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 366,192 (SEE ITEM 5)
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 366,192 (SEE ITEM 5)
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 366,192 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.7%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: PN
------------------- -------------------------------------------------- -------------------------------------------------------------
4
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 5 of 44
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------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS H. LEE FOREIGN FUND IV-B, L.P.
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY): 04-3471267
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 1,031,186 (SEE ITEM 5)
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 1,031,186 (SEE ITEM 5)
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 1,031,186 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 2.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: PN
------------------- -------------------------------------------------- -------------------------------------------------------------
5
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 6 of 44
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------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: 1997 THOMAS H. LEE NOMINEE TRUST
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: MASSACHUSETTS
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 158,482 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 158,482 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 158,482 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.3%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: OO
------------------- -------------------------------------------------- -------------------------------------------------------------
6
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 7 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: DAVID V. HARKINS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 176,063 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 22,074
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 176,063 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 22,074
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 198,137 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.4%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
7
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 8 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: THE 1995 HARKINS GIFT TRUST
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: MASSACHUSETTS
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 22,074 (SEE ITEM 5)
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 22,074 (SEE ITEM 5)
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 22,074 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: OO
------------------- -------------------------------------------------- -------------------------------------------------------------
8
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 9 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: SCOTT A. SCHOEN
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 30,764 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 30,764 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 30,764 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
9
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 10 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: C. HUNTER BOLL
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 30,764 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 30,764 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 30,764 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
10
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 11 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: SCOTT M. SPERLING
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 30,764 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 30,764 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 30,764 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
11
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 12 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: ANTHONY J. DINOVI
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 30,764 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 30,764 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 30,764 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
12
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 13 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS M. HAGERTY
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 46,959 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 46,959 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 46,959 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
13
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 14 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: WARREN C. SMITH, JR.
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 73,698 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 2,455
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 73,698 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 2,455
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 76,153 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.2%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
14
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 15 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: SMITH FAMILY LIMITED PARTNERSHIP
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: MASSACHUSETTS
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 2,455 (SEE ITEM 5)
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 2,455 (SEE ITEM 5)
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 2,455 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: PN
------------------- -------------------------------------------------- -------------------------------------------------------------
15
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 16 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: SETH W. LAWRY
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 12,818 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 12,818 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 12,818 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
16
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 17 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: KENT R. WELDON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 8,562 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 8,562 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 8,562 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
17
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 18 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: TERRENCE M. MULLEN
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 6,819 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 6,819 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 6,819 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
18
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 19 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: TODD M. ABBRECHT
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 6,819 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 6,819 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 6,819 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
19
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 20 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: CHARLES A. BRIZIUS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 5,127 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 5,127 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 5,127 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
20
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 21 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: SCOTT JAECKEL
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 1,937 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 1,937 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 1,937 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
21
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 22 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: SOREN OBERG
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 1,937 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 1,937 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 1,937 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
22
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 23 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS R. SHEPHERD
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 11,601 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 11,601 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 11,601 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
23
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 24 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: WENDY L. MASLER
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 714 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 714 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 714 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
24
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 25 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: ANDREW D. FLASTER
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 714 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 714 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 714 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
25
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 26 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: ROBERT SCHIFF LEE 1988 IRREVOCABLE TRUST
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: MASSACHUSETTS
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 3,683 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 3,683 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 3,683 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: OO
------------------- -------------------------------------------------- -------------------------------------------------------------
26
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 27 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: STEPHEN ZACHARY LEE
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 3,683 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 3,683 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 3,683 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
27
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 28 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: CHARLES W. ROBINS AS CUSTODIAN FOR JESSE LEE
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 2,455 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 2,455 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 2,455 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: OO
------------------- -------------------------------------------------- -------------------------------------------------------------
28
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 29 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: CHARLES W. ROBINS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 982 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 982 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 982 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
29
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 30 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: JAMES WESTRA
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: 982 (SEE ITEM 5)
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: -0-
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 982 (SEE ITEM 5)
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: -0-
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 982 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
30
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 31 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS H. LEE CHARITABLE INVESTMENT L.P.
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: MASSACHUSETTS
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 68,881 (SEE ITEM 5)
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 68,881 (SEE ITEM 5)
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 68,881 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: PN
------------------- -------------------------------------------------- -------------------------------------------------------------
31
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 32 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: THL INVESTMENT MANAGEMENT CORP.
I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON (ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: N/A
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: MASSACHUSETTS
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 2,785 (SEE ITEM 5)
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 2,785 (SEE ITEM 5)
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 2,785 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: CO
------------------- -------------------------------------------------- -------------------------------------------------------------
32
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 33 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS H. LEE INVESTORS LIMITED PARTNERSHIP
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: OO
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: MASSACHUSETTS
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 2,785 (SEE ITEM 5)
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 2,785 (SEE ITEM 5)
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 2,785 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): LESS THAN 0.1%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: PN
------------------- -------------------------------------------------- -------------------------------------------------------------
33
------------------------------ --------------------------------------- ------------ ------------------------------------------------
CUSIP No. 755081106 13D Page 34 of 44
------------------------------ --------------------------------------- ------------ ------------------------------------------------
------------------- -------------------------------------------------- -------------------------------------------------------------
1 NAME OF REPORTING PERSON: THOMAS H. LEE
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
(ENTITIES ONLY):
------------------- --------------------------------------------------------------------------------------------- ------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
------------------- ----------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
------------------- ------------------------------- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS: N/A
------------------- --------------------------------------------------------------------------------------------- ------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e): [_]
------------------- -------------------------------------------------- -------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES
------------------------------ ------- -------------------------------------------- ------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER: -0-
SHARES
------- -------------------------------------------- ------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 12,220,831 (SEE ITEM 5)
OWNED BY
------- -------------------------------------------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER: -0-
REPORTING
------- -------------------------------------------- ------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 12,220,831 (SEE ITEM 5)
------------------- --------------------------------------------------------------- ------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 12,220,831 (SEE ITEM 5)
------------------- --------------------------------------------------------------------------------------------- ------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ]
------------------- --------------------------------------------------------------------------------------------- ------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 24.6%
------------------- -------------------------------------------------- -------------------------------------------------------------
14 TYPE OF REPORTING PERSON: IN
------------------- -------------------------------------------------- -------------------------------------------------------------
34
SCHEDULE 13D
------------
ITEM 1. SECURITY AND ISSUER.
This Statement is being filed jointly on behalf of the Reporting
Persons (as defined below) with respect to the shares of common stock, par value
$.01 per share (the "Shares"), of Rayovac Corporation (the "Issuer" or the
"Company"). The Company's principal executive offices are located at Six
Concourse Parkway, Suite 3300, Atlanta, Georgia 30328.
ITEM 2. IDENTITY AND BACKGROUND.
(a) - (c) and (f)
This Schedule 13D is being filed jointly on behalf of the following
persons (collectively, the "Reporting Persons"): (1) THL Equity Advisors IV,
LLC, a Massachusetts limited liability company ("Advisors"), (2) Thomas H. Lee
Equity Fund IV, L.P., a Delaware limited partnership ("Equity Fund"), (3) Thomas
H. Lee Foreign Fund IV, L.P., a Delaware limited partnership ("Foreign Fund"),
(4) Thomas H. Lee Foreign Fund IV-B, L.P., a Delaware limited partnership
("Foreign Fund B"), (5) Thomas H. Lee Investors Limited Partnership, a
Massachusetts Limited Partnership ("THL Investors"), (6) THL Investment
Management Corp., a Massachusetts corporation ("Management Corp."), (7) Thomas
H. Lee Charitable Investment L.P., a Massachusetts limited partnership
("Charitable Investment"), (8) Thomas H. Lee, an individual U.S. citizen, and
(9) certain parties affiliated with Thomas H. Lee Partners, L.P., a Delaware
limited partnership (the "Affiliate Holders") (set forth on the attached
Schedule I).
The address of each of the Reporting Persons is c/o Thomas H. Lee
Partners, L.P., 100 Federal Street, 35th Floor, Boston, Massachusetts 02110.
Each of Equity Fund, Foreign Fund and Foreign Fund B is principally
engaged in the business of investment in securities. Advisors is principally
engaged in the business of serving as general partner of each of Equity Fund,
Foreign Fund and Foreign Fund B. THL Investors is principally engaged in the
business of investment in securities. Management Corp. is principally engaged in
the business of serving as general partner of THL Investors. Charitable
Investment is principally engaged in charitable giving supported by investments
in securities. Thomas H. Lee is the general partner of Charitable Investment and
the Managing Member of Advisors, and he is principally engaged in the business
of investment in securities.
Attached as Schedule A to this Schedule 13D is information concerning
Management Corp. and other persons and entities as to which such information is
required to be disclosed in response to Item 2 and General Instruction C to
Schedule 13D.
(d) and (e)
None of the Reporting Persons or any of their officers or trustees has
been convicted in a criminal proceeding during the past five years (excluding
traffic violations and similar misdemeanors).
35
None of the Reporting Persons or any of their officers or trustees has
been party to a civil proceeding of a judicial or administrative body of
competent jurisdiction during the past five years as a result of which it was or
is subject to a judgment, 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.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
Equity Fund, Foreign Fund, Foreign Fund B, THL Investors, Charitable
Investment and the Affiliate Holders (collectively, the "THL Entities")
previously held common stock of United Industries Corporation ("United").
Pursuant to that certain Agreement and Plan of Merger dated as of January 3,
2005, by and among United, the Company and Lindbergh Corporation (which was, as
of the date of such Agreement, a wholly-owned subsidiary of the Company),
Lindbergh Corporation merged with and into United (the "Merger") on February 7,
2005 (the "Merger Effective Time"). As a result of the Merger, United became a
wholly-owned subsidiary of the Company, and securities of United outstanding
immediately prior to the Merger were converted into a combination of cash and
Shares of the Company. Each share of United stock that was converted into equity
of the Company was converted into 0.20398 Share. Pursuant to the Merger, the THL
Entities acquired an aggregate of 12,507,290 Shares.
ITEM 4. PURPOSE OF TRANSACTIONS.
Pursuant to the terms of the Shareholder's Agreement by and between
the Company and certain THL Entities dated as of January 3, 2005 (the
"Shareholder's Agreement"), the Company increased the size of its board of
directors from eight to ten and caused each of the new director positions (Class
II directors on the Company's classified board) to be filled by Charles A.
Brizius and Scott A. Schoen, who were nominated by THL Entities. The Company
will allow THL Entities to include on any slate of directors presented to the
Company's shareholders for election at the appropriate meeting of shareholders,
to be approved by the Company's nominating committee, up to two directors on the
Company's board of directors for so long as certain THL Entities own at least
15% of the Company's issued and outstanding common stock on a fully-diluted
basis, and one director for so long as certain THL Entities own at least 10% of
the Company's issued and outstanding common stock on a fully-diluted basis. The
Shareholder's Agreement prohibits certain THL Entities from selling or
transferring shares of the Company's common stock received pursuant to the
Merger for 12 months following the Merger Effective Time or from selling or
transferring more than 50% of such shares during the 18 month period following
the Merger Effective Time.
On February 7, 2005, the Company entered into a registration rights
agreement (the "Registration Rights Agreement") with certain former shareholders
of United, pursuant to which the Company has agreed to prepare and file with the
SEC, not later than nine months following the Merger Effective Time, a
registration statement to permit the public offering and resale under the
Securities Act of 1933 on a continuous basis of shares of the Company's common
stock issued in connection with its acquisition of United (the "Shelf
Registration Statement"). Pursuant to the Registration Rights Agreement, the
Company will also grant to the former shareholders of United certain rights to
require the Company, on not more than three occasions, to amend the Shelf
Registration Statement or prepare and file a new registration statement to
36
permit an underwritten offering of shares of the Company's stock received by
them in the acquisition of United as well as certain rights to include those
shares in any registration statement proposed to be filed by the Company. In
addition, the Registration Rights Agreement prohibits those former shareholders
party to the agreement from selling or transferring shares of the Company's
common stock received in the acquisition of United for 12 months following the
Merger Effective Time or from selling or transferring more than 50% of those
shares during the 18 month period following the Merger Effective Time.
On February 7, 2005, the Company entered into a standstill agreement
(the "Standstill Agreement") with Equity Fund, Advisors, Thomas H. Lee Partners,
L.P. and Thomas H. Lee Advisors, LLC (the "Restricted Parties"). Pursuant to the
Standstill Agreement, the Restricted Parties are prohibited until February 7,
2010 from acquiring ownership in excess of 28% of the Company's outstanding
voting capital stock, on a fully-diluted basis, soliciting proxies or consents
with respect to the Company's voting capital stock, soliciting or encouraging
third parties to acquire or seek to acquire the Company, a significant portion
of the Company's assets or more than 5% of the Company's outstanding voting
capital stock or joining or participating in a pooling agreement, syndicate,
voting trust or other similar arrangement with respect to the Company's voting
capital stock for the purpose of acquiring, holding, voting or disposing of such
voting capital stock.
Except as set forth herein, 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 of Schedule 13D.
Each of the agreements discussed in this Item 4 is filed as an
exhibit to this Schedule 13D and is incorporated herein by reference. The
foregoing descriptions of such agreements are not intended to be complete and
are qualified in their entirety by reference to such exhibits.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
(a) and (b)
By virtue of the relationships among the Reporting Persons described
herein, the Reporting Persons may be deemed to share beneficial ownership with
respect to the Shares reported herein. As of February 7, 2005, the Reporting
Persons beneficially owned in the aggregate 12,733,969 (25.6%) of the 49,682,854
Shares of the Company then outstanding. Except to the extent of a pecuniary
interest therein, each of the Reporting Persons expressly disclaims the
existence of such beneficial ownership, except: (1) Advisors does not disclaim
beneficial ownership of shares held by Equity Fund, Foreign Fund or Foreign Fund
B, (2) Management Corp. does not disclaim beneficial ownership of shares held by
THL Investors, and (3) Thomas H. Lee does not disclaim beneficial ownership of
shares held by the 1997 Thomas H. Lee Nominee Trust.
The Reporting Persons other than Equity Fund, Foreign Fund and Foreign
Fund B acquired their Shares as a co-investment required by the terms of the
partnership agreements of Equity Fund, Foreign Fund and Foreign Fund B. Such
agreements require that the Reporting Persons hold and sell their Shares on a
pro rata basis. By virtue of the relationships among the Reporting Persons
described herein, the Reporting Persons may constitute a "group" within the
meaning of Rule 13d-5(b) under the Exchange Act. As a member of a group, each
Reporting Person may be deemed to beneficially own the Shares beneficially owned
by the members of the group as a whole. Each of the Reporting Persons expressly
disclaims beneficial ownership of such shares held by any other members of such
group.
37
Equity Fund has obtained direct beneficial ownership of 10,593,305
Shares, representing approximately 21.3% of the outstanding shares. Equity Fund
may be deemed to share with Advisors voting and dispositive power with respect
to such Shares.
Foreign Fund has obtained direct beneficial ownership of 366,192
Shares, representing approximately 0.7% of the outstanding shares. Foreign Fund
may be deemed to share with Advisors voting and dispositive power with respect
to such Shares.
Foreign Fund B has obtained direct beneficial ownership of 1,031,186
Shares, representing approximately 2.1% of the outstanding shares. Foreign Fund
B may be deemed to share with Advisors voting and dispositive power with respect
to such Shares.
Advisors, as sole general partner of Equity Fund, Foreign Fund and
Foreign Fund B, may be deemed to share voting and dispositive power with respect
to 11,990,683 Shares beneficially owned by Equity Fund, Foreign Fund and Foreign
Fund B, which represents approximately 24.1% of the outstanding shares. The
filing of this Schedule 13D by Advisors shall not be construed as an admission
that Advisors is, for the purpose of Section 13(d) of the Exchange Act, the
beneficial owner of Shares held by Equity Fund, Foreign Fund and Foreign Fund B.
THL Investors has obtained direct beneficial ownership of 2,785 Shares,
representing less than 0.1% of the outstanding shares. THL Investors may be
deemed to share with Management Corp. voting and dispositive power with respect
to such Shares.
Management Corp., as sole general partner of THL Investors, may be
deemed to share voting and dispositive power with respect to 2,785 Shares
beneficially owned by THL Investors, which represents less than 0.1% of the
outstanding shares. The filing of this Schedule 13D by Management Corp. shall
not be construed as an admission that Management Corp. is, for the purpose of
Section 13(d) of the Exchange Act, the beneficial owner of Shares held by THL
Investors.
Charitable Investment has obtained direct beneficial ownership of
68,881 Shares, representing approximately 0.1% of the outstanding shares.
Charitable Investment may be deemed to share with its General Partner voting and
dispositive power with respect to such Shares.
Thomas H. Lee, as General Director of Advisors, Chief Executive Officer
and sole shareholder of Management Corp., General Partner of Charitable
Investment, and grantor of the 1997 Thomas H. Lee Nominee Trust, may be deemed
to share voting and dispositive power with respect to 12,220,831 Shares
beneficially owned by such entities, which represents approximately 24.6% of the
outstanding shares. The filing of this Schedule 13D by Thomas H. Lee shall not
be construed as an admission that Thomas H. Lee is, for the purpose of Section
13(d) of the Exchange Act, the beneficial owner of Shares held by such entities.
38
Each of the Affiliate Holders has obtained beneficial ownership of less
than 1% of the outstanding Shares. Each of the Affiliate Holders has sole voting
and sole dispositive power with respect to such Shares beneficially owned by it,
except for The 1995 Harkins Gift Trust, the Smith Family Limited Partnership,
the Robert Schiff Lee 1988 Irrevocable Trust and Charles W. Robins as Custodian
for Jesse Lee. David V. Harkins may be deemed to share voting and dispositive
power over Shares held by The 1995 Harkins Gift Trust. The filing of this
Schedule 13D shall not be construed as an admission that Mr. Harkins is, for the
purpose of Section 13(d) of the Exchange Act, the beneficial owner of such
Shares. Charles W. Robins may be deemed to share voting and dispositive power
over Shares held by him as Custodian for Jesse Lee. The filing of this Schedule
13D shall not be construed as an admission that Mr. Robins is, for the purpose
of Section 13(d) of the Exchange Act, the beneficial owner of such Shares.
(c) The responses to Items 3 and 4 of this Schedule 13D are incorporated
herein.
(d) Not applicable.
(e) Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER.
The responses to Items 3, 4, and 5 of this Schedule 13D and the
Exhibits to this Schedule 13D are incorporated herein by reference.
Except for the agreements described Items 3 and 4, to the best of
knowledge of the Reporting Persons, there are no contracts, arrangements,
understandings or relationships (legal or otherwise) between the persons
enumerated in Item 2, and any other person, with respect to any securities of
the Company, including, but not limited to, transfer or voting of any of the
securities, finder's fees, joint ventures, loan or option arrangements, put or
calls, guarantees of profits division of profits or less, or the giving or
withholding of proxies.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
Exhibit 1: *Joint Filing Agreement by among the Reporting
Persons, dated as of February 17, 2005.
Exhibit 2: Agreement and Plan of Merger by and among the
Company, Lindbergh Corporation and United, dated
as of January 3, 2005. (incorporated by reference
to the Company's 8-K filed January 4, 2005).
Exhibit 3: Shareholder's Agreement by and between the Company
and certain THL Entities dated as of January 3,
2005 (incorporated by reference to the Company's
8-K filed January 4, 2005).
39
Exhibit 4: Registration Rights Agreement dated as of February
7, 2005 by and between the Company and certain
former shareholders of United (incorporated by
reference to the Company's 8-K filed February 11,
2005).
Exhibit 5: Standstill Agreement dated as of February 7, 2005
by and between the Company, Equity Fund, Advisors,
Thomas H. Lee Partners, L.P. and Thomas H. Lee
Advisors, LLC (incorporated by reference to the
Company's 8-K filed February 11, 2005).
*Filed herewith
40
Signatures
----------
After reasonable inquiry and to the best knowledge and belief of the
undersigned, such person certifies that the information set forth in this
Statement with respect to each party listed below is true, complete and correct.
Dated: February 17, 2005
Thomas H. Lee Equity Fund IV, L.P., Thomas H. Lee
Foreign Fund IV, L.P., Thomas H. Lee Foreign Fund
IV-B, L.P., THL Equity Advisors IV, LLC, Thomas H.
Lee Investors Limited Partnership, THL Investment
Management Corp., Thomas H. Lee Charitable
Investment L.P., 1997 Thomas H. Lee Nominee Trust,
Thomas H. Lee David V. Harkins, The 1995 Harkins
Gift Trust, Scott A. Schoen, C. Hunter Boll, Scott
M. Sperling, Anthony J. DiNovi, Thomas M. Hagerty,
Warren C. Smith, Jr., Smith Family Limited
Partnership, Seth W. Lawry, Kent R. Weldon,
Terrence M. Mullen, Todd M. Abbrecht, Charles A.
Brizius, Scott Jaeckel, Soren Oberg, Thomas R.
Shepherd, Wendy L. Masler, Andrew D. Flaster,
Robert Schiff Lee 1988 Irrevocable Trust, Stephen
Zachary Lee, Charles W. Robins as Custodian for
Jesse Lee, Charles W. Robins, and James Westra
By: Scott A. Schoen, Attorney-in-fact for the
above-named parties.
By: /s/ Scott A. Schoen
--------------------------------------------
Scott A. Schoen,
Attorney-in-fact
41
SCHEDULE A
----------
Each of the following individuals is a United States citizen and, with
the exception of Charles W. Robins, James Westra, Stephen Zachary Lee, Jesse
Lee, Wendy L. Masler, Thomas R. Shepherd, Andrew D. Flaster and Terrence M.
Mullen, is employed by Thomas H. Lee Partners, L.P., 100 Federal Street, 35th
Floor, Boston, Massachusetts 02110: David V. Harkins, Scott A. Schoen, C. Hunter
Boll, Scott M. Sperling, Anthony J. DiNovi, Thomas M. Hagerty, Warren C. Smith,
Jr., Seth W. Lawry, Kent R. Weldon, Todd M. Abbrecht, Charles A. Brizius, Scott
Jaeckel, Soren Oberg, Thomas R. Shepherd, Wendy L. Masler, Stephen Zachary Lee,
Jesse Lee, Charles W. Robins, James Westra.
Charles W. Robins and James Westra are employed by Weil, Gotshal &
Manges LLP, 100 Federal Street, 34th Floor, Boston, Massachusetts 02110. Stephen
Zachary Lee is employed as a ski instructor and Jesse Lee is not employed. Wendy
L. Masler, Thomas R. Shepherd, Andrew D. Flaster and Terrence M. Mullen were
previously employed by Thomas H. Lee Partners, L.P.
The 1997 Thomas H. Lee Nominee Trust, The 1995 Harkins Gift Trust, the
Smith Family Limited Partnership and the Robert Schiff Lee 1988 Irrevocable
Trust are all organized in Massachusetts and are principally engaged in the
business of investment in securities.
Each of the following officers of THL Investment Management Corp. is a
United States citizen and, with the exception of Charles W. Robins and James
Westra, is employed by Thomas H. Lee Partners, L.P., 100 Federal Street, 35th
Floor, Boston, Massachusetts 02110:
Chief Executive Officer: Thomas H. Lee
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Chairman of the Board: Thomas H. Lee
President: David V. Harkins
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Vice Presidents: C. Hunter Boll
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Anthony J. DiNovi
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Thomas M. Hagerty
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
42
Joseph F. Pesce
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Scott A. Schoen
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Warren C. Smith, Jr.
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Scott M. Sperling
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Seth W. Lawry
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Kent R. Weldon
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Treasurer: Joseph F. Pesce
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Assistant Treasurer: Charles Holden
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Clerk: Joseph F. Pesce
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
Assistant Clerks: Charles W. Robins
Weil, Gotshal & Manges LLP
100 Federal Street, 34th Floor, Boston, MA 02110
James Westra
Weil, Gotshal & Manges LLP
100 Federal Street, 34th Floor, Boston, MA 02110
Charles Holden
c/o Thomas H. Lee Partners, L.P.,
100 Federal Street, 35th Floor, Boston, MA 02110
43
SCHEDULE I
AFFILIATE HOLDERS
-----------------
1997 Thomas H. Lee Nominee Trust, David V. Harkins, The 1995 Harkins Gift Trust,
Scott A. Schoen, C. Hunter Boll, Scott M. Sperling, Anthony J. DiNovi, Thomas M.
Hagerty, Warren C. Smith, Jr., Smith Family Limited Partnership, Seth W. Lawry,
Kent R. Weldon, Terence M. Mullen, Todd M. Abbrecht, Charles A. Brizius, Scott
Jaeckel, Soren Oberg, Thomas R. Shepherd, Wendy L. Masler, Andrew D. Flaster,
Robert Schiff Lee 1988 Irrevocable Trust, Stephen Zachary Lee, Charles W. Robins
as Custodian for Jesse Lee, Charles W. Robins, James Westra
44