SEC Info - Castle Harlan Inc. et al - ‘3’ for 5/23/00 re: Universal Compression Holdings Inc.

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Castle Harlan Inc. et al – ‘3’ for 5/23/00 re: Universal Compression Holdings Inc.

As of: Tuesday, 5/23/00 · For: 5/23/00 · Accession #: 902664-0-425 · File #: 1-15843

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 5/23/00  Castle Harlan Inc. et al          3          Other       1:10K  Universal Compression Holdin… Inc Schulte Roth & Z… LLP/FA

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents

Document/Exhibit Description Pages Size

1: 3 Initial Statement of Beneficial Ownership of 4± 15K
Securities by an Insider

3 1st “Page” of 2 TOC ↑Top Previous Next ↓Bottom Just 1st
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FORM 3 OMB APPROVAL
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OMB Number: 3235-0104
Expires: December 31, 2001
Estimated average burden
. hours per response 0.5
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF 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(f) of the Investment Company Act of 1940
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(Print or Type Responses)
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1. Name and Address of Reporting Person*

Harlan, Leonard M.
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(Last) (First) (Middle)

c/o Castle Harlan, Inc.
150 E. 58th Street
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(Street)

New York NY 10155
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(City) (State) (Zip)

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2. Date of Event Requiring Statement (Month/Day/Year)

05/23/00
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3. IRS Identification Number of Reporting Person, if an entity (Voluntary)

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4. Issuer Name and Ticker or Trading Symbol

Universal Compression Holdings, Inc. (UCO)
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5. Relationship of Reporting Person to Issuer (Check all applicable)

[ ] Director
[ ] 10% Owner
[ ] Officer (give title Below)
[ x ] Other (Specify below)(1)

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6. If Amendment, Date of Original (Month/Day/Year)

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7. Individual or Joint/Group Filing (Check applicable line)

[ x ] Form filed by One Reporting Person
[ ] Form filed by More than One Reporting Person
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[Enlarge/Download Table]

Table I--Non-Derivative Securities Beneficially Owned

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1. Title of Security 2. Amount of 3. Ownership 4. Nature of Indirect
(Instr. 4) Securities Form: Beneficial
Beneficially Direct (D) Ownership
Owned or Indirect (Instr. 5)
(Instr. 4) (I) (Instr. 5)

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Common Stock, par value
$.01 per share
("Common Stock") 9,720 D (1)
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
*If the Form is filed by more than one Reporting Person, see instruction 5(b)(v). Page 1

Potential persons who are to 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.

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FORM 3 (continued)

[Enlarge/Download Table]

Table II--Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

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1. Title of Derivative Security 2. Date Exercisable and 3. Title and Amount 4. Conversion or 5. Ownership Form of 6. Nature of
(Instr. 4) Expiration Date of Securities Exercise Price Derivative Indirect
(Month/Day/Year) Underlying of Derivative Security: Beneficial
----------------------- Derivative Security Direct (D) Ownership
Date Expiration Security or Indirect (Instr. 5)
Exercisable Date (Instr. 4) (I) (Instr. 5)
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Title Amount or
Number of
Shares
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No Derivative Securities Owned
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Explanation of Responses:

(1) The Reporting Person is party to a Voting Trust Agreement, dated as of
February 20, 1998 (the "Voting Trust Agreement"), among certain entities and
persons affiliated with Castle Harlan Partners III, L.P. whereby the Reporting
Person agreed to have John K. Castle act as voting trustee for the 228,722
shares of Common Stock of the Issuer, after giving effect to the consummation
of the initial public offering (the "IPO") of the Common Stock (including,
without limitation, the conversion of the outstanding shares of Series A
Preferred Stock of the Issuer).

John K. Castle is party to a Voting Trust Agreement, dated as of December
1, 1998, among certain persons not affiliated with Castle Harlan Partners
III, L.P. whereby they agreed to have John K. Castle act as voting trustee
for the 66,898 shares of Common Stock of the Issuer, after giving effect
to the IPO.

The Reporting Person is a significant stockholder of Castle Harlan, Inc., the
investment manager of Castle Harlan Partners III, L.P. and its related funds.
The Reporting Person is also a significant stockholder of Castle Harlan
Partners III, G.P., Inc. ("CHP GP"), the general partner of Castle Harlan
Associates III, L.P. ("CH Associates"). CH Associates is the
general partner of CHP III which directly owns 2,936,718 shares of Common Stock
(after giving effect to the IPO). CHP III and related investment funds own
directly 3,064,565 shares of Common Stock (after giving effect to the IPO).

CHP III controls the voting of an additional 2,174,529 shares of Common Stock
(after giving effect to the IPO) pursuant to the Voting Agreement, dated as of
February 20, 1998, as amended, among CHP III, the Issuer, Mellon Bank, N.A.,
as Trustee for the Bell Atlantic Master Trust, First Union Capital Partners,
Inc., DB Capital Partners SBIC, L.P. (f/k/a BT Capital Partners, Inc.),
Wilmington Trust, as Trustee for the Du Pont Pension Trust and Brown
University Third Century Fund.

All of the foregoing shares of Common Stock may be deemed to be beneficially
owned by the Reporting Person. Only the number of shares of Common Stock
(after giving effect to the IPO), held directly by the Reporting Person are
reported herein. The Reporting Person disclaims beneficial ownership of the
Issuer's securities reported herein for purposes of Section 16(a) under the
Securities Exchange Act of 1934, as amended, or otherwise, except as to
securities representing the Reporting Person's pro rata interest in, and
interest in the profits of, CHI, CHP GP and CH Associates, and CHP III
and its affiliates.

Leonard M. Harlan
/s/ Leonard M. Harlan 5/23/00
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**Signature of Reporting Person Date

**Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, See Instruction 6 for procedure.

Potential persons who are to 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.

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Dates Referenced Herein and Documents Incorporated by Reference

		Referenced-On Page
This ‘3’ Filing	Date	First	Last	Other Filings

	12/31/01	1		10-Q, 11-K
Filed on / For Period end:	5/23/00			10-K405, 3, S-8
	12/1/98	2
	2/20/98	2
				List all Filings

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Filing Submission 0000902664-00-000425 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Castle Harlan Inc. et al – ‘3’ for 5/23/00 re: Universal Compression Holdings Inc.

As of: Tuesday, 5/23/00 · For: 5/23/00 · Accession #: 902664-0-425 · File #: 1-15843

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Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34Filing Table of Contents

Dates Referenced Herein and Documents Incorporated by Reference

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents