UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
__________
SCHEDULE 13D
(Rule 13d-101)
Under the Securities Exchange Act of 1934
(Amendment No. __)*
NN, Inc.
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
--------------------------------------------------------------------------------
(Title of Class of Securities)
629305103
--------------------------------------------------------------------------------
(CUSIP number)
Howard B. Adler, Esq.
Gibson, Dunn & Crutcher LLP
1050 Connecticut Avenue, N.W.
Washington, D.C. 20036
(202) 955-8589
--------------------------------------------------------------------------------
(Name, address and telephone number of person
authorized to receive notices and communications)
December 5, 2001
--------------------------------------------------------------------------------
(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(e), 13d-1(f) or 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 Rule 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).
1
------------------------ ---------------------------
CUSIP No. 6239305103 13D Page 2 of 15 Pages
--- ----
------------------------ ---------------------------
------------------------------------------------------------------------------
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Richard Ennen
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4 PF
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6 United States
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 2,788,868
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 0
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 2,788,868
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
0
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
2,788,868
------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [_]
12
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
18.2%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
------------------------ ---------------------------
CUSIP NO. 6239305103 13D Page 3 of 15 Pages
--- ----
------------------------ ---------------------------
------------------------------------------------------------------------------
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Monica C. Ennen
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4 OO
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6 United States
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 133,000
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 0
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 133,000
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
0
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
133,000
------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [_]
12
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0.9%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
-------------------------- --------------------------
CUSIP No. 629305103 13D Page 4 of 15 Pages
--- ----
-------------------------- --------------------------
------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Deborah E. Bagierek
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
OO
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 96,869
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 0
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 96,869
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
0
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
96,869
------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0.6%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
-------------------------- --------------------------
CUSIP No. 629305103 13D Page 5 of 15 Pages
--- ----
-------------------------- --------------------------
------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Gerald Bagierek
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
OO
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 1,500
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 0
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 1,500
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
0
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
1,500
------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0.0%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
-------------------------- --------------------------
CUSIP No. 629305103 13D Page 6 of 15 Pages
--- ----
-------------------------- --------------------------
------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Michael D. Huff
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
PF
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 425,227
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 0
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 425,227
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
0
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
425,227 (includes 11,000 shares issuable upon exercise of vested options)
------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
2.8%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
-------------------------- --------------------------
CUSIP No. 629305103 13D Page 7 of 15 Pages
--- ----
-------------------------- --------------------------
------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Janet M. Huff
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
OO
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 225,000
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 0
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 225,000
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
0
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
225,000
------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
1.5%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
-------------------------- --------------------------
CUSIP No. 629305103 13D Page 8 of 15 Pages
--- ----
-------------------------- --------------------------
------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Leonard Bowman
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
PF
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 300,085
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 64,000
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 300,085
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
64,000
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
364,085
------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
2.4%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
-------------------------- --------------------------
CUSIP No. 629305103 13D Page 9 of 15 Pages
--- ----
-------------------------- --------------------------
------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Charles Edmisten
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
PF
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 403,753
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 0
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 403,753
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
0
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
403,753
------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
2.6%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
Item 1. Security and Issuer
This statement on Schedule 13D relates to shares of Common Stock, $0.01 par
value (the "Common Stock"), of NN, Inc., a Delaware corporation (the "Issuer" or
the "Company"). The principal executive offices of the Issuer are located at
2000 Waters Edge Drive, Building C, Suite 12, Johnson City, Tennessee, 37604.
Item 2. Identity and Background
This statement on Schedule 13D is being filed by Richard D. Ennen, Monica
C. Ennen, Deborah E. Bagierek, Gerald Bagierek, Michael D. Huff, Janet M. Huff,
Leonard Bowman and Charles Edmisten, referred to individually as a "Reporting
Person" and together as the "Reporting Persons".
Richard D. Ennen resides at 140 All Joy Road, Bluffton, South Carolina,
29910, is retired and serves on the Board of Directors of the Issuer. Monica C.
Ennen, Richard D. Ennen's former wife, resides at 24 Oyster Shell Lane, Hilton
Head, South Carolina, 29926, and is not employed. Deborah E. Bagierek, Richard
D. Ennen and Monica D. Ennen's daughter resides at 745 Golf View, Douglas,
Michigan, 49406, and is not employed. The business address of Gerald Bagierek,
Deborah E. Bagierek's husband, a high school teacher, is c/o Saugatuck High
School, 401 Elizabeth Street, Saugatuck, Michigan, 49453. Michael D. Huff and
his wife, Janet M. Huff, reside at 177 Hays Farms Court, Gray, Tennessee, 37615.
Michael D. Huff is retired and serves on the Board of Directors of the Issuer.
Janet M. Huff is not employed. Leonard Bowman resides at 901 Chestnut Avenue,
Erwin, Tennessee, 37650, and is retired. The business address of Charles
Edmisten, a vice president of the Issuer, is c/o NN, Inc., 2000 Waters Edge
Drive, Building C, Suite 12, Johnson City, Tennessee, 37604. All of the
Reporting Persons are United States citizens.
During the last five years, none of the Reporting Persons has been
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) or was a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction resulting in 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
The shares of Common Stock of the Issuer deemed beneficially held by
Richard D. Ennen, Michael D. Huff, Leonard Bowman and Charles Edmisten were
purchased with such Reporting Person's personal funds. The shares of Common
Stock of the Issuer deemed beneficially held by Monica C. Ennen, Deborah E.
Bagierek and Gerald Bagierek were transferred from Richard D. Ennen. The shares
of Common Stock of the Issuer deemed beneficially owned by Janet M. Huff were
transferred from Michael D. Huff.
Item 4. Purpose of Transaction
The Reporting Persons have informally agreed to explore the joint sale of
their Common Stock, and accordingly, may seek, evaluate and/or respond to offers
to sell or otherwise dispose
10
of their Common Stock, including sales pursuant to an extraordinary corporate
transaction, such as a merger or reorganization involving the Issuer. In
furtherance of this agreement, each of the Reporting Persons has retained Pitts
Bay Partners, L.L.C. to assist them in connection with their evaluation of the
disposition of their Common Stock. In the ordinary course, the Reporting Persons
from time to time consider possible strategies for enhancing value of their
investments. As part of their ongoing review of their respective investment in
the Common Stock, the Reporting Persons may explore from time to time in the
future either separately, together or with others, a variety of alternatives,
including without limitation: (a) the acquisition of additional securities of
the Company or the disposition of securities of the Company; (b) an
extraordinary corporate transaction, such as a merger, reorganization or
liquidation, involving the Company or any of its subsidiaries; (c) a sale or
transfer of a material amount of assets of the Company or any of its
subsidiaries; (d) a change in the present Board of Directors or management of
the Company; (e) any material change in the present capitalization or dividend
policy of the Company; (f) any other material change in the Company's business
or corporate structure; (g) causing a class of securities of the Company to be
delisted from a national securities exchange or to cease to be authorized to be
quoted in an inter-dealer quotation system of a registered national securities
association; (h) causing a class of equity securities of the Company to become
eligible for termination of registration pursuant to Section 12(g)(4) of the
Exchange Act; or (i) any action similar to any of those enumerated above. There
is no assurance that the Reporting Persons will develop any plans or proposals
with respect to any of the foregoing matters. Any alternatives which the
Reporting Persons may pursue will depend upon a variety of factors, including,
without limitation, current and anticipated future trading prices for the Common
Stock, the financial condition, results of operations and prospects of the
Company and general economic, financial market and industry conditions. Each of
the Reporting Persons reserve the right to change their plans and intentions at
any time, as they deem appropriate.
As investors in the Company, the Reporting Persons have engaged, and may
continue to engage, in communications with one or more stockholders and/or one
or more members of the Company's Board of Directors and management regarding the
Company, its operations and its prospects.
Except as set forth above, the Reporting Persons have not formulated any
plans or proposals as a result of ownership, which relates to or would result in
any of the actions specified in clauses (a) through (j) of Item 4 of Schedule
13D.
Item 5. Interest in Securities of the Issuer
(a) This statement on Schedule 13D relates to 4,433,302 shares of Common
Stock deemed beneficially owned by the Reporting Persons, which
constitute approximately 29% of the issued and outstanding shares of
Common Stock.
(b) Richard D. Ennen has sole voting and dispositive power with respect
to 2,788,868 shares of Common Stock. Monica C. Ennen has sole voting
and dispositive power with respect to 133,000 shares of Common Stock.
Deborah E. Bagierek has sole voting and dispositive power with
respect to 96,869 shares of Common Stock. Gerald Bagierek has sole
voting and dispositive power with respect to 1,500 shares of Common
Stock. Michael D. Huff has sole voting and dispositive
11
power with respect to 414,227 shares of Common Stock and holds vested
options to purchase 11,000 shares of Common Stock. Janet M. Huff has
sole voting and dispositive power with respect to 225,000 shares of
Common Stock. Leonard Bowman has sole voting and dispositive power
with respect to 300,085 shares of Common Stock and has shared voting
and dispositive power with respect to 64,000 shares of Common Stock.
Charles Edmisten has sole voting and dispositive power with respect to
403,753 shares of Common Stock.
(c) Within the past 60 days, no transactions in Common Stock have been
effected by any of the Reporting Persons.
(d) No person other than the Reporting Persons holds the right to receive
dividends or proceeds from the sale of their respective shares Common
Stock, except (i) the right to receive dividends or proceeds of the
sale of 65,035 shares of the 364,085 shares of Common Stock
beneficially owned by Leonard Bowman is held by persons other than
Reporting Persons and (ii) the right to receive dividends or proceeds
of the sale of 750 shares of the 1,500 shares of Common Stock
beneficially owned by Gerald Bagierek is held by persons other than
Reporting Persons.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer
Except as set forth above in Item 2 and as discussed in this Item 6, there
exist no contracts, arrangements, understandings or relationships (legal or
otherwise) among the persons named in Item 2 and between such persons and any
other persons with respect to any securities of the Issuer, including but not
limited to transfer or voting of any securities, finders' fees, joint ventures,
loan or option arrangements, puts or calls, guarantees of profits, division of
profits or loss, or the giving or withholding of proxies.
The Reporting Persons are party to a Stockholders Agreement, dated as of
February 22, 1994, among the parties listed on the schedule thereto.
Michael D. Huff holds options to purchase 11,000 shares of Common Stock,
all of which currently are exercisable.
The Reporting Persons have entered into retention agreements with Pitts Bay
Partners, L.L.C. in connection with the Reporting Persons' evaluation of the
potential disposition of their Common Stock.
Item 7. Material to be Filed as Exhibits
Exhibit A: Joint Filing Statement.
---------
Exhibit B: Stockholders' Agreement, dated as of February 22, 1994, among
--------- the parties listed on the schedule thereto, incorporated
herein by reference to
12
Exhibit 10.18 to the Issuer's Registration Statement on Form S-1
(File No. 33-74694).
13
SIGNATURES
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.
Dated: December 13, 2001
RICHARD D. ENNEN, an Individual MICHAEL D. HUFF, an Individual
/s/ Richard D. Ennen /s/ Michael D. Huff
----------------------------------- ------------------------------------
MONICA C. ENNEN, an Individual JANET M. HUFF, an Individual
/s/ Monica C. Ennen /s/ Janet M. Huff
----------------------------------- -------------------------------------
DEBORAH E. BAGIEREK, an Individual LEONARD BOWMAN, an Individual
/s/ Deborah E. Bagierek /s/ Leonard Bowman
----------------------------------- -------------------------------------
GERALD BAGIEREK, an Individual CHARLES EDMISTEN, an Individual
/s/ Gerald Bagierek /s/ Charles Edmisten
----------------------------------- -------------------------------------
14
EXHIBIT A
---------
JOINT FILING AGREEMENT
The undersigned acknowledge and agree that the foregoing statement on
Schedule 13D is filed on behalf of each of the undersigned and that all
subsequent amendments to this statement on Schedule 13D shall be filed on behalf
of each of the undersigned without the necessity of filing additional joint
acquisition statements. The undersigned acknowledge that each shall be
responsible for the timely filing of such amendments, and for the completeness
and accuracy of the information concerning it contained therein, but shall not
be responsible for the completeness and accuracy of the information concerning
the other, except to the extent that it knows or has reason to believe that such
information is accurate. This agreement may be executed in two or more
counterparts, each of which shall be deemed an original, but all of which
together shall constitute one and the same instrument.
Dated this 13th day of December, 2001.
RICHARD D. ENNEN, an Individual MICHAEL D. HUFF, an Individual
/s/ Richard D. Ennen /s/ Michael D. Huff
------------------------------------ -------------------------------------
MONICA C. ENNEN, an Individual JANET M. HUFF, an Individual
/s/ Monica C. Ennen /s/ Janet M. Huff
------------------------------------ -------------------------------------
DEBORAH E. BAGIEREK, an Individual LEONARD BOWMAN, an Individual
/s/ Deborah E. Bagierek /s/ Leonard Bowman
------------------------------------ -------------------------------------
GERALD BAGIEREK, an Individual CHARLES EDMISTEN, an Individual
/s/ Gerald Bagierek /s/ Charles Edmisten
------------------------------------ -------------------------------------
15