UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D

 

Under the Securities Exchange Act of 1934

(Amendment No. 2)*

 

 

 

NUCO2 INC.

(Name of Issuer)

 

Common Shares, $0.001 Par Value

(Title of Class of Securities)

 

629428103

(CUSIP Number)

 

David K. Robbins, Esq.

Bingham McCutchen LLP

355 South Grand Avenue, 44 th Floor

Los Angeles, CA 90071

(213) 680-6400

(Name, Address and Telephone Number of Person Authorized to

Receive Notices and Communications)

 

October 17, 2007

(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 which is the subject of this Schedule 13D, and is filing this schedule because of §§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 §240.13d-7(b) 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 ).

SCHEDULE 13D

CUSIP No. 629428103

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

             Shamrock Activist Value Fund, L.P. – 35-2239069

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (S EE INSTRUCTIONS )

(a)   x

(b)   ¨

   
  3  

SEC USE ONLY

 

   
  4  

SOURCE OF FUNDS (S EE INSTRUCTIONS )

 

             WC

   
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)

 

             Not Applicable

  ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

             Delaware

   

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

 

  7    SOLE VOTING POWER

 

                 0

 

  8    SHARED VOTING POWER

 

                 983,254 Common Shares*

 

  9    SOLE DISPOSITIVE POWER

 

                 0

 

10    SHARED DISPOSITIVE POWER

 

                 983,254 Common Shares*

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

             983,254 Common Shares*

   
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (S EE INSTRUCTIONS )

 

  ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

             6.67%*

   
14  

TYPE OF REPORTING PERSON (S EE INSTRUCTIONS )

 

             PN

   

 

* See Item 5 hereof

SCHEDULE 13D

CUSIP No. 629428103

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

             Shamrock Activist Value Fund II, L.P. – 55-0908199

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (S EE INSTRUCTIONS )

(a)   x

(b)   ¨

   
  3  

SEC USE ONLY

 

   
  4  

SOURCE OF FUNDS (S EE INSTRUCTIONS )

 

             WC

   
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)

 

             Not Applicable

  ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

             Virginia

   

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

 

  7    SOLE VOTING POWER

 

                 0

 

  8    SHARED VOTING POWER

 

                 184,880 Common Shares *

 

  9    SOLE DISPOSITIVE POWER

 

                 0

 

10    SHARED DISPOSITIVE POWER

 

                 184,880 Common Shares*

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

             184,880 Common Shares*

   
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (S EE INSTRUCTIONS )

 

  ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

             1.25%*

   
14  

TYPE OF REPORTING PERSON (S EE INSTRUCTIONS )

 

             PN

   

 

* See Item 5 hereof

SCHEDULE 13D

CUSIP No. 629428103

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

             Shamrock Activist Value Fund III, L.P. – 11-3768779

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (S EE INSTRUCTIONS )

(a)   x

(b)   ¨

   
  3  

SEC USE ONLY

 

   
  4  

SOURCE OF FUNDS (S EE INSTRUCTIONS )

 

             WC

   
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)

 

             Not Applicable

  ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

             Delaware

   

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

 

  7    SOLE VOTING POWER

 

                 0

 

  8    SHARED VOTING POWER

 

                 23,758 Common Shares*

 

  9    SOLE DISPOSITIVE POWER

 

                 0

 

10    SHARED DISPOSITIVE POWER

 

                 23,758 Common Shares*

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

             23,758 Common Shares*

   
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (S EE INSTRUCTIONS )

 

  ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

             0.16%*

   
14  

TYPE OF REPORTING PERSON (S EE INSTRUCTIONS )

 

             PN

   

 

* See Item 5 hereof

SCHEDULE 13D

CUSIP No. 629428103

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

             Shamrock Activist Value Fund GP, L.L.C. – 37-1497874

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (S EE INSTRUCTIONS )

(a)   x

(b)   ¨

   
  3  

SEC USE ONLY

 

   
  4  

SOURCE OF FUNDS (S EE INSTRUCTIONS )

 

             Not Applicable

   
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)

 

             Not Applicable

  ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

             Delaware

   

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

 

  7    SOLE VOTING POWER

 

                 0

 

  8    SHARED VOTING POWER

 

                 1,191,892 Common Shares*

 

  9    SOLE DISPOSITIVE POWER

 

                 0

 

10    SHARED DISPOSITIVE POWER

 

                 1,191,892 Common Shares*

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

             1,191,892 Common Shares*

   
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (S EE INSTRUCTIONS )

 

  ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

             8.08%*

   
14  

TYPE OF REPORTING PERSON (S EE INSTRUCTIONS )

 

             OO

   

 

* See Item 5 hereof

SCHEDULE 13D

CUSIP No. 629428103

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

             Shamrock Partners Activist Value Fund, L.L.C. – 87-0733755

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (S EE INSTRUCTIONS )

(a)   x

(b)   ¨

   
  3  

SEC USE ONLY

 

   
  4  

SOURCE OF FUNDS (S EE INSTRUCTIONS )

 

             Not Applicable

   
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)

 

             Not Applicable

  ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

             Delaware

   

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

 

  7    SOLE VOTING POWER

 

                 1,191,892 Common Shares*

 

  8    SHARED VOTING POWER

 

                 0

 

  9    SOLE DISPOSITIVE POWER

 

                 1,191,892 Common Shares*

 

10    SHARED DISPOSITIVE POWER

 

                 0

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

             1,191,892 Common Shares*

   
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (S EE INSTRUCTIONS )

 

  ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

             8.08%*

   
14  

TYPE OF REPORTING PERSON (S EE INSTRUCTIONS )

 

             OO

   

 

* See Item 5 hereof

INTRODUCTION

This statement amends the Schedule 13D dated August 3, 2007 as amended by Amendment No. 1 dated September 17, 2007 (as amended, the “Amended Schedule 13D”), filed by Shamrock Activist Value Fund, L.P., a Delaware limited partnership (“SAVF”), Shamrock Activist Value Fund II, L.P., a Virginia limited partnership (“SAVF II”), Shamrock Activist Value Fund III, L.P., a Delaware limited partnership (“SAVF III” and, together with SAVF and SAVF II, the “Shamrock Activist Value Fund”), Shamrock Activist Value Fund GP, L.L.C., a Delaware limited liability company (the “General Partner”), and Shamrock Partners Activist Value Fund, L.L.C., a Delaware limited liability company (“Shamrock Partners” and, collectively with SAVF, SAVF II, SAVF III and the General Partner, the “Reporting Persons”), with respect to Common Shares, $0.001 par value per share (“Common Shares”), of NuCO2 Inc., a Florida corporation (the “Company”). Capitalized terms used and not defined in this Amendment No. 2 shall have the meanings set forth in the Amended Schedule 13D. Except as specifically provided herein, this Amendment No. 2 does not modify any of the information previously reported in the Amended Schedule 13D.

1. ITEM 3 OF THE AMENDED SCHEDULE 13D IS HEREBY AMENDED TO ADD THE FOLLOWING INFORMATION:

 

ITEM 3. Source and Amount of Funds or Other Consideration.

The total amount of funds used by SAVF to purchase the 153,168 Common Shares acquired by it after September 17, 2007 (the date last reported for Item No. 3 in the Amended Schedule 13D) was $3,962,095 (excluding brokerage commissions). All of such funds were derived from capital contributions to SAVF.

The total amount of funds used by SAVF II to purchase the 29,553 Common Shares acquired by it after September 17, 2007 (the date last reported for Item No. 3 in the Amended Schedule 13D) was $764,466 (excluding brokerage commissions). All of such funds were derived from capital contributions to SAVF II.

The total amount of funds used by SAVF III to purchase the 93 Common Shares acquired by it after September 17, 2007 (the date last reported for Item No. 3 in the Amended Schedule 13D) was $2,405 (excluding brokerage commissions). All of such funds were derived from capital contributions to SAVF III.

2. ITEM 5 OF THE AMENDED SCHEDULE 13D IS HEREBY AMENDED TO ADD THE FOLLOWING INFORMATION:

 

ITEM 5. Interests in Securities of the Issuer .

(a), (b) SAVF, SAVF II and SAVF III are controlled by the General Partner. As a result, each of SAVF, SAVF II and SAVF III may be deemed members of a group and may be deemed to beneficially own for purposes of Section 13(d) the shares beneficially owned for such purposes by the others.

SAVF is the owner of 983,254 Common Shares, which represents approximately 6.67% of the issued and outstanding Common Shares. SAVF II is the owner of 184,880 Common Shares, which represents approximately 1.25% of the issued and outstanding Common Shares. SAVF III is the owner of 23,758 Common Shares, which represents approximately 0.16% of the issued and outstanding Common Shares. Accordingly, the Shamrock Activist Value Fund owns 1,191,892 Common Shares, which represents approximately 8.08% of the issued and outstanding Common Shares.

As the general partner of each of SAVF, SAVF II and SAVF III, the General Partner may be deemed to beneficially own the 1,191,892 Common Shares owned by Shamrock Activist Value Fund, constituting approximately 8.08% of the issued and outstanding Common Shares. As the managing member of the General Partner, Shamrock Partners may be deemed to beneficially own the 1,191,892 Common Shares owned by Shamrock Activist Value Fund, constituting approximately 8.08% of the issued and outstanding Common Shares. Shamrock Partners has sole voting and dispositive power with respect to the 1,191,892 Common Shares owned by Shamrock Activist Value Fund by virtue of its authority to vote and dispose of such Common Shares. Finally, each of the controlling persons of Shamrock Partners may be deemed to beneficially own the 1,191,892 Common Shares owned by Shamrock Activist Value Fund, pursuant to Rule 13d-3 under the Act. Those controlling persons were identified in Item 2 of the Amended Schedule 13D, as previously filed.

The percentage of ownership figures set forth in this response to Items 5(a) and 5(b) assumes that 14,757,281 Common Shares were outstanding as of October 17, 2007, based on the information contained in the Company’s Form 10-K filed with the U.S. Securities and Exchange Commission on September 13, 2007.

(c) After September 17, 2007 (the date last reported for Item No. 5 in the Amended Schedule 13D), SAVF, SAVF II and SAVF III acquired Common Shares on such dates, in such amounts and at such per share prices (excluding brokerage fees) as indicated on the Schedule of Transactions attached hereto as Exhibit 6 and incorporated herein by reference. All such transactions were effected in the open market on the Nasdaq National Market.

Except as set forth above, none of the Reporting Persons nor, to the knowledge of the Reporting Persons, any person identified in response to Item 2, beneficially owns any Common Shares or has effected any transactions in Common Shares during the preceding 60 days.

(d) Not applicable.

(e) Not applicable.

3. ITEM 7 OF THE SCHEDULE 13D IS HEREBY AMENDED TO ADD THE FOLLOWING INFORMATION:

 

ITEM 7. Material to be Filed as Exhibits .

 

Exhibit      

Document

Exhibit 6   —   Schedule of Transactions
Exhibit 7   —   Joint Filing Agreement, dated August 3, 2007, among Shamrock Activist Value Fund, L.P., Shamrock Activist Value Fund II, L.P., Shamrock Activist Value Fund III, L.P., Shamrock Activist Value Fund GP, L.L.C. and Shamrock Partners Activist Value Fund, L.L.C.

SIGNATURES

After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct.

Date: October 18, 2007

 

SHAMROCK ACTIVIST VALUE FUND, L.P.

By:

 

Shamrock Activist Value Fund GP, L.L.C.,

its general partner

By:

 

Shamrock Partners Activist Value Fund, L.L.C.,

its managing member

By:

 

/s/ M ICHAEL J. M C C ONNELL

Name:

  Michael J. McConnell

Title:

  Vice President
SHAMROCK ACTIVIST VALUE FUND II, L.P.

By:

 

Shamrock Activist Value Fund GP, L.L.C.,

its general partner

By:

 

Shamrock Partners Activist Value Fund, L.L.C.,

its managing member

By:

 

/s/ M ICHAEL J. M C C ONNELL

Name:

  Michael J. McConnell

Title:

  Vice President
SHAMROCK ACTIVIST VALUE FUND III, L.P.

By:

 

Shamrock Activist Value Fund GP, L.L.C.,

its general partner

By:

 

Shamrock Partners Activist Value Fund, L.L.C.,

its managing member

By:

 

/s/ M ICHAEL J. M C C ONNELL

Name:

  Michael J. McConnell

Title:

  Vice President

SHAMROCK ACTIVIST VALUE FUND GP, L.L.C.
By:  

Shamrock Partners Activist Value Fund, L.L.C.,

its managing member

By:  

/s/ M ICHAEL J. M C C ONNELL

Name:   Michael J. McConnell
Title:   Vice President
SHAMROCK PARTNERS ACTIVIST VALUE FUND, L.L.C.
By:  

/s/ M ICHAEL J. M C C ONNELL

Name:   Michael J. McConnell
Title:   Vice President

Exhibit Index

 

Exhibit      

Document

Exhibit 6   —   Schedule of Transactions
Exhibit 7   —   Joint Filing Agreement, dated August 3, 2007, among Shamrock Activist Value Fund, L.P., Shamrock Activist Value Fund II, L.P., Shamrock Activist Value Fund III, L.P., Shamrock Activist Value Fund GP, L.L.C. and Shamrock Partners Activist Value Fund, L.L.C.
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