SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1 )
RockPort Capital Partners, L.P.
160 Federal Street, 18th Floor
Boston, MA 02110
(617) 912-1420
with a copy to:
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
One Financial Center
Boston, MA 02111
Attn: Thomas R. Burton III, Esq.
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 Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.o
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 (the “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. | 18449C 401 | Page | 2 | of | 14 | Pages |
1 | NAMES OF REPORTING PERSONS Rockport Capital Partners, L.P. | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | ||||||||||
(a) o | |||||||||||
(b) þ | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS | ||||||||||
OO | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7 | SOLE VOTING POWER | ||||||||||
NUMBER OF | 343,273 shares | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 shares | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 343,273 shares | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
0 shares | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
343,273 shares | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
4.87% | |||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||
PN |
SCHEDULE 13D | |||||||||||
CUSIP No. | 18449C 401 | Page | 3 | of | 14 | Pages |
1 | NAMES OF REPORTING PERSONS RockPort Capital I LLC | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | ||||||||||
(a) o | |||||||||||
(b) þ | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS | ||||||||||
OO | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7 | SOLE VOTING POWER | ||||||||||
NUMBER OF | 343,273 shares | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 shares | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 343,273 shares | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
0 shares | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
343,273 shares | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
4.87% | |||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||
OO |
SCHEDULE 13D | |||||||||||
CUSIP No. | 18449C 401 | Page | 4 | of | 14 | Pages |
1 | NAMES OF REPORTING PERSONS RP Co-Investment Fund I, L.P. | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | ||||||||||
(a) o | |||||||||||
(b) þ | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS | ||||||||||
OO | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7 | SOLE VOTING POWER | ||||||||||
NUMBER OF | 34,750 shares | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 shares | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 34,750 shares | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
0 shares | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
34,750 shares | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
0.49% | |||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||
PN |
SCHEDULE 13D | |||||||||||
CUSIP No. | 18449C 401 | Page | 5 | of | 14 | Pages |
1 | NAMES OF REPORTING PERSONS RP Co-Investment Fund I GP, LLC | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | ||||||||||
(a) o | |||||||||||
(b) þ | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS | ||||||||||
OO | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7 | SOLE VOTING POWER | ||||||||||
NUMBER OF | 34,750 shares | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 shares | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 34,750 shares | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
0 shares | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
34,750 shares | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
0.49% | |||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||
OO |
SCHEDULE 13D | |||||||||||
CUSIP No. | 18449C 401 | Page | 6 | of | 14 | Pages |
1 | NAMES OF REPORTING PERSONS Alexander Ellis III | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | ||||||||||
(a) o | |||||||||||
(b) þ | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS | ||||||||||
OO | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
U.S. Citizen | |||||||||||
7 | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 shares | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 378,023 shares | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 shares | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
378,023 shares | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
378,023 shares | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
5.37% | |||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||
IN |
SCHEDULE 13D | |||||||||||
CUSIP No. | 18449C 401 | Page | 7 | of | 14 | Pages |
1 | NAMES OF REPORTING PERSONS Janet B. James | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | ||||||||||
(a) o | |||||||||||
(b) þ | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS | ||||||||||
OO | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
U.S. Citizen | |||||||||||
7 | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 shares | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 378,023 shares | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 shares | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
378,023 shares | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
378,023 shares | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
5.37% | |||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||
IN |
SCHEDULE 13D | |||||||||||
CUSIP No. | 18449C 401 | Page | 8 | of | 14 | Pages |
1 | NAMES OF REPORTING PERSONS William E. James | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | ||||||||||
(a) o | |||||||||||
(b) þ | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS | ||||||||||
OO | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
U.S. Citizen | |||||||||||
7 | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 shares | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 378,023 shares | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 shares | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
378,023 shares | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
378,023 shares | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
5.37% | |||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||
IN |
SCHEDULE 13D | |||||||||||
CUSIP No. | 18449C 401 | Page | 9 | of | 14 | Pages |
1 | NAMES OF REPORTING PERSONS Charles J. McDermott | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | ||||||||||
(a) o | |||||||||||
(b) þ | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS | ||||||||||
OO | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
U.S. Citizen | |||||||||||
7 | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 shares | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 378,023 shares | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 shares | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
378,023 shares | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
378,023 shares | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
5.37% | |||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||
IN |
SCHEDULE 13D | |||||||||||
CUSIP No. | 18449C 401 | Page | 10 | of | 14 | Pages |
1 | NAMES OF REPORTING PERSONS David J. Prend | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | ||||||||||
(a) o | |||||||||||
(b) þ | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS | ||||||||||
OO | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
U.S. Citizen | |||||||||||
7 | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 shares | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 378,023 shares | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 shares | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
378,023 shares | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
378,023 shares | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
5.37% | |||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||
IN |
SCHEDULE 13D | |||||||||||
CUSIP No. | 18449C 401 | Page | 11 | of | 14 | Pages |
1 | NAMES OF REPORTING PERSONS Stoddard M. Wilson | ||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | ||||||||||
(a) o | |||||||||||
(b) þ | |||||||||||
3 | SEC USE ONLY | ||||||||||
4 | SOURCE OF FUNDS | ||||||||||
OO | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
U.S. Citizen | |||||||||||
7 | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 shares | ||||||||||
SHARES | 8 | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 378,023 shares | ||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 shares | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER | |||||||||
378,023 shares | |||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
378,023 shares | |||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
5.37% | |||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||
IN |
SCHEDULE 13D | ||||
CUSIP No. 18449C 401 | Page 12 of 14 Pages |
SCHEDULE 13D | ||||
CUSIP No. 18449C 401 | Page 13 of 14 Pages |
Exhibit 7. | Underwriting Agreement, dated June 28, 2011, by and among the Issuer, Rockport, RP Co-Investment and Roth Capital Partners, LLC, as the representative of the underwriters named therein (previously filed as Exhibit 1.1 to the Current Report on Form 8-K of the Issuer filed on July 1, 2011 and incorporated herein by reference). |
SCHEDULE 13D | ||||
CUSIP No. 18449C 401 | Page 14 of 14 Pages |
Dated: July 15, 2011 | Rockport Capital Partners, L.P. | |||
By: | Rockport Capital I LLC, its General Partner | |||
By: | /s/ Janet B. James | |||
Name: | Janet B. James | |||
Title: | Managing Member | |||
RP Co-Investment Fund I, L.P. | ||||
By: | RP Co-Investment Fund I GP, LLC, its General Partner | |||
By: | /s/ Janet B. James | |||
Name: | Janet B. James | |||
Title: | Managing Member | |||
RockPort Capital I LLC | ||||
By: | /s/ Janet B. James | |||
Name: | Janet B. James | |||
Title: | Managing Member | |||
RP Co-Investment Fund I GP, LLC | ||||
By: | /s/ Janet B. James | |||
Name: | Janet B. James | |||
Title: | Managing Member | |||
Alexander Ellis III | ||||
By: | /s/ Alexander Ellis III | |||
Janet B. James | ||||
By: | /s/ Janet B. James | |||
William E. James | ||||
By: | /s/ William E. James | |||
Charles J. McDermott | ||||
By: | /s/ Charles J. McDermott | |||
David J. Prend | ||||
By: | /s/ David J. Prend | |||
Stoddard M. Wilson | ||||
By: | /s/ Stoddard M. Wilson | |||