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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AVENTINE RENEWABLE ENERGY HOLDINGS LLC C/O METALMARK CAPITAL LLC 1177 AVENUE OF THE AMERICAS, 40TH FLOOR NY, NY 10036 |
X | |||
Metalmark Capital LLC C/O METALMARK CAPITAL LLC 1177 AVENUE OF THE AMERICAS, 40TH FLOOR NY, NY 10036 |
X | |||
MSDW Capital Partners IV, L P C/O METALMARK CAPITAL LLC 1177 AVENUE OF THE AMERICAS, 40TH FLOOR NY, NY 10036 |
X | |||
MSDW IV 892 INVESTORS L P C/O METALMARK CAPITAL LLC 1177 AVENUE OF THE AMERICAS, 40TH FLOOR NY, NY 10036 |
X | |||
MORGAN STANLEY DEAN WITTER CAPITAL INVESTORS IV L P C/O METALMARK CAPITAL LLC 1177 AVENUE OF THE AMERICAS, 40TH FLOOR NY, NY 10036 |
X | |||
MSDW CAPITAL PARTNERS IV LLC C/O METALMARK CAPITAL LLC 1177 AVENUE OF THE AMERICAS, 40TH FLOOR NY, NY 10036 |
X | |||
MSDW CAPITAL PARTNERS IV INC C/O METALMARK CAPITAL LLC 1177 AVENUE OF THE AMERICAS, 40TH FLOOR NY, NY 10036 |
X |
/s/ Kenneth F. Clifford, as authorized signatory of Aventine Renewable Energy Holdings LLC | 07/12/2006 | |
**Signature of Reporting Person | Date | |
/s/ Kenneth F. Clifford, as authorized signatory of Metalmark | 07/12/2006 | |
**Signature of Reporting Person | Date | |
/s/ Kenneth F. Clifford, Chief Financial Officer of Metalmark, as attorney-in-fact for, MSDW Capital Partners and MSDW Inc. and for the institutional managing member of the general partner of each of MSDW IV, MSDW 892, and MSDW Capital Investors | 07/12/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Morgan Stanley Dean Witter Capital Partners IV, L.P. ("MSDW IV") may be deemed to indirectly beneficially own 9,837,909 shares of the reported securities and MSDW IV 892 Investors, L.P. ("MSDW 892"), may be deemed to indirectly beneficially own 839,340 shares of the reported securities, in each case by virtue of their direct ownership interest in the Reporting Person. Metalmark Capital LLC ("Metalmark") may be deemed to have beneficial ownership of the 10,677,249 shares of the reported securities indirectly beneficially owned by MSDW IV and MSDW 892. (continued on footnote 2) |
(2) | (Continued from Footnote 1) Morgan Stanley Dean Witter Capital Investors IV, L.P. ("MSDW Capital Investors") may be deemed to indirectly beneficially own 269,172 shares of the reported securities through its direct ownership interest in the Reporting Person. MSDW Capital Partners IV, LLC ("MSDW Capital Partners") is the general partner of MSDW IV, MSDW 892 and MSDW Capital Investors. MSDW Capital Partners IV, Inc. ("MSDW Inc.") is the institutional managing member of MSDW Capital Partners. By virtue of these relationships, each of MSDW Capital Investors and MSDW Capital Partners may be deemed to have beneficial ownership of the 269,172 shares of the reported securities indirectly beneficially owned by MSDW Capital Investors. |
(3) | MSDW IV, MSDW 892, MSDW Capital Investors, MSDW Capital Partners, MSDW Inc. and Metalmark each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. |
(4) | This amendment corrects the share ownership numbers indicated in the footnotes of the Form 4 filed on July 7, 2006. |