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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a)
(Amendment No. 4)/1/
Catalina Lighting, Inc.
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(Name of Issuer)
Common Stock, par value $0.01 per share
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(Title Class of Securities)
148865-20-7
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(CUSIP Number)
Rodger R. Krouse David A. Gerson, Esq.
Marc J. Leder Morgan, Lewis & Bockius LLP
Sun Capital Partners, LLC One Oxford Centre
5200 Town Center Circle Thirty-Second Floor
Suite 470 Pittsburgh, Pennsylvania 15219
Boca Raton, Florida 33486 (412) 560-3300
(561) 394-0550
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
July 23, 2001
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(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 Rule 13d-1(b)(3) or (4), check the following box [_].
Note: Six copies of this statement, including all exhibits, should be
filed with the Commission. See Rule 13d-1(a) for other parties to whom copies
are to be sent.
____________________
/1/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).
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CUSIP No. 148865-10-8 13D Page 2 of 10
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION OF ABOVE PERSON
Sun Catalina Holdings, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
AF
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5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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7 SOLE VOTING POWER
3,615,731
NUMBER OF SHARES --------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY EACH
REPORTING PERSON
WITH --------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
3,326,702
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
--------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,615,731
--------------------------------------------------------------------------------
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
70.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
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CUSIP No. 148865-10-8 13D Page 3 of 10
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION OF ABOVE PERSON
Sun Capital Partners II, LP
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(D) OR 2(E) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 3,615,731
REPORTING PERSON ------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
3,326,702
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,615,731
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
70.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
-------------------------- -------------------
CUSIP No. 148865-10-8 13D Page 4 of 10
-------------------------- -------------------
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION OF ABOVE PERSON
Sun Capital Advisors II, LP
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(E) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
------------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF SHARES 3,615,731
BENEFICIALLY ------------------------------------------------------
OWNED BY EACH 9 SOLE DISPOSITIVE POWER
REPORTING PERSON
WITH
------------------------------------------------------
10 SHARED VOTING POWER
3,326,702
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,615,731
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
70.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
------------------------- ------------------------
CUSIP No. 148865-10-8 13D Page 5 of 10
------------------------- ------------------------
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION OF ABOVE PERSON
Sun Capital Partners, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(E) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
---------------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF SHARES 3,615,731
BENEFICIALLY ---------------------------------------------------------
OWNED BY EACH 9 SOLE DISPOSITIVE POWER
REPORTING PERSON
WITH
---------------------------------------------------------
10 SHARED DISPOSITIVE POWER
3,326,702
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,615,731
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
70.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
------------------------- ------------------------
CUSIP No. 148865-10-8 13D Page 6 of 10
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--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION OF ABOVE PERSON
Marc J. Leder
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(E) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
---------------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF SHARES 3,615,731
BENEFICIALLY ---------------------------------------------------------
OWNED BY EACH 9 SOLE DISPOSITIVE POWER
REPORTING PERSON
WITH
---------------------------------------------------------
10 SHARED DISPOSITIVE POWER
3,326,702
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,615,731
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
70.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
------------------------- ------------------------
CUSIP No. 148865-10-8 13D Page 7 of 10
------------------------- ------------------------
--------------------------------------------------------------------------------
1 Name of Reporting Person
S.S. or I.R.S. IDENTIFICATION OF ABOVE PERSON
Rodger R. Krouse
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(E) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF SHARES 3,615,731
BENEFICIALLY -----------------------------------------------------
OWNED BY EACH 9 SOLE DISPOSITIVE POWER
REPORTING PERSON
WITH
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
3,326,702
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,615,731
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
70.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
------------------------- ------------------------
CUSIP No. 148865-10-8 13D Page 8 of 10
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The following constitutes Amendment No. 4 to the Schedule 13D dated
August 2, 2001, as amended by Amendment No. 1 dated September 18, 2001
("Amendment No. 1"), Amendment No. 2 dated February 11, 2002 ("Amendment No.
2"), and Amendment No. 3 dated June 20, 2002 ("Amendment No. 3"), filed with the
Securities and Exchange Commission on behalf of Sun Catalina Holdings, LLC, a
Delaware limited liability company, Sun Capital Partners II, LP, a Delaware
limited partnership, Sun Capital Advisors II, LP, a Delaware limited
partnership, Sun Capital Partners, LLC, a Delaware limited liability company,
Marc J. Leder, and Rodger R. Krouse. The Schedule 13D, as amended by Amendment
No. 1, Amendment No. 2, Amendment No. 3, and as now further amended, is
collectively referred to as "Schedule 13D". The Schedule 13D relates to the
common stock, par value $.01 per share, of Catalina Lighting, Inc., a Florida
corporation with principal executive offices located at 18191 N.W. 68th Avenue,
Miami, Florida 33015. Except as specifically amended by this Amendment No. 4,
the Schedule 13D, as amended by Amendment No. 1, Amendment No. 2, and Amendment
No. 3, remains in full force and effect.
Item 5. Interest in Securities of the Issuer
Item 5(a) is amended in its entirety to read as follows:
(a) Each of the Reporting Persons may be deemed to be the
beneficial owner, within the meaning of Rule 13d-3 of the Exchange Act,
of 3,615,731 shares of Common Stock, including 847,188 shares
underlying warrants held by Sun Catalina, which constitutes 70.4% of
the shares of Common Stock outstanding. Additionally, pursuant to a
shareholders' agreement, certain voting agreements, and irrevocable
proxies issued in connection with such agreements, each of the
Reporting Persons may have the right to vote an additional 378,247
shares of Common Stock that may be acquired by third parties upon
exercise of options or warrants therefor.
Item 5(b) is amended in its entirety to read as follows:
(b) Sun Catalina has the sole power to vote or direct the vote
of 3,615,731 shares of Common Stock, and the sole power to dispose or
direct the disposition of 3,326,702 shares of Common Stock. Each
Reporting Person other than Sun Catalina may be deemed to have shared
power to vote or direct the vote of 3,615,731 shares of Common Stock,
and shared power to dispose or direct the disposition of 3,326,702
shares of Common Stock.
------------------------- -------------------------
CUSIP No. 148865-10-8 13D Page 9 of 10
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
SUN CATALINA HOLDINGS, LLC
Date: October 8, 2002 By: /s/ Marc J. Leder
----------------------------- --------------------------------
Name: Marc J. Leder
Title: Co-CEO
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
SUN CAPITAL PARTNERS II, LP
By: Sun Capital Advisors II,
LP, its general partner
By: Sun Capital Partners,
LLC, its general
partner
Date: October 8, 2002 By: /s/ Marc J. Leder
----------------------------- --------------------------------
Name: Marc J. Leder
Title: Manager
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
SUN CAPITAL ADVISORS II, LP
By: Sun Capital Partners, LLC,
its general partner
Date: October 8, 2002 By: /s/ Marc J. Leder
------------------------------ -------------------------------
Name: Marc J. Leder
Title: Manager
------------------------- -------------------------
CUSIP No. 148865-10-8 13D Page 10 of 10
------------------------- -------------------------
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
SUN CAPITAL PARTNERS, LLC
Date: October 8, 2002 By: /s/ Marc J. Leder
----------------------------- --------------------------------
Name: Marc J. Leder
Title: Manager
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: October 8, 2002 By: /s/ Marc J. Leder
----------------------------- --------------------------------
Marc J. Leder
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: October 8, 2002 By: /s/ Rodger R. Krouse
----------------------------- --------------------------------
Rodger R. Krouse