General Statement of Beneficial Ownership — Schedule 13D
Filing Table of Contents
Document/Exhibit Description Pages Size
1: SC 13D Schedule 13D Capital Beverage Corporation 10 46K
2: EX-1 Asset Purchase Agreement 35 126K
3: EX-2 Plan of Acquisition, Reorganization, Arrangement, 7 29K
Liquidation or Succession --
votingagreement
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13D
(Rule 13d - 101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND
AMENDMENTS THERETO PURSUANT TO RULE 13d-2(a)
CAPITAL BEVERAGE CORPORATION
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(Name of Issuer)
Common Stock, $.001 par value per share
(Title of Class of Securities)
139818 10 8
---------------
(CUSIP Number)
Carmine Stella, Capital Beverage Corporation,
700 Columbia Street, Erie Basin, Brooklyn, NY 11231 (718) 488-8500
------------------------------------------------------------------------------
(Name, Address and Telephone Number of Persons Authorized to
Receive Notices and Communications)
June 29, 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
|_|.
SCHEDULE 13D
----------------------- ----------------------------------
CUSIP No. 139818 10 8 Page 2 of 11 Pages
----------------------- ----------------------------------
---------- ---------------------------------------------------------------------
1 NAME OF REPORTING PERSON: Carmine Stella
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
---------- ---------------------------------------------------------------------
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
---------- ---------------------------------------------------------------------
3
SEC USE ONLY
---------- ---------------------------------------------------------------------
4 SOURCE OF FUNDS
SC
---------- ---------------------------------------------------------------------
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS (2)(d) or (e) |_|
---------- ---------------------------------------------------------------------
6
CITIZENSHIP OR PLACE OR ORGANIZATION
United States
---------- --------------------------- -----------------------------------------
7
NUMBER OF SOLE VOTING POWER
SHARES
BENEFICIALLY 709,091
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------
8
SHARED VOTING POWER
0
-----------------------------------------
9
SOLE DISPOSITIVE POWER
709,091
-----------------------------------------
10
SHARED DISPOSITIVE POWER
0
---------- ---------------------------------------------------------------------
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
709,091
---------- ---------------------------------------------------------------------
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES |_|
---------- ---------------------------------------------------------------------
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
22.3%
---------- ---------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
---------- ---------------------------------------------------------------------
SCHEDULE 13D
----------------------- ----------------------------------
CUSIP No. 139818 10 8 Page 3 of 11 Pages
----------------------- ----------------------------------
---------- ---------------------------------------------------------------------
1 NAME OF REPORTING PERSON: Anthony Stella
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
---------- ---------------------------------------------------------------------
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
---------- ---------------------------------------------------------------------
3
SEC USE ONLY
---------- ---------------------------------------------------------------------
4 SOURCE OF FUNDS
SC
---------- ---------------------------------------------------------------------
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS (2)(d) or (e) |_|
---------- ---------------------------------------------------------------------
6
CITIZENSHIP OR PLACE OR ORGANIZATION
United States
----------- ------------------------- ------------------------------------------
7
NUMBER OF SOLE VOTING POWER
SHARES 77,273
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------
8
SHARED VOTING POWER
0
------------------------------------------
9
SOLE DISPOSITIVE POWER
77,273
------------------------------------------
10
SHARED DISPOSITIVE POWER
0
---------- ---------------------------------------------------------------------
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
77,273
---------- ---------------------------------------------------------------------
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES |_|
---------- ---------------------------------------------------------------------
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.4%
---------- ---------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
---------- ---------------------------------------------------------------------
SCHEDULE 13D
----------------------- --------------------------------------------
CUSIP No. 139818 10 8 Page 4 of 11 Pages
----------------------- --------------------------------------------
---------- ---------------------------------------------------------------------
1 NAME OF REPORTING PERSON: Monty Matrisciani
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
---------- ---------------------------------------------------------------------
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
---------- ---------------------------------------------------------------------
3
SEC USE ONLY
---------- ---------------------------------------------------------------------
4 SOURCE OF FUNDS
SC
---------- ---------------------------------------------------------------------
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS (2)(d) or (e) |_|
---------- ---------------------------------------------------------------------
6
CITIZENSHIP OR PLACE OR ORGANIZATION
United States
------------------------------------- ------------------------------------------
7
NUMBER OF SOLE VOTING POWER
SHARES 166,667
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------
8
SHARED VOTING POWER
0
------------------------------------------
9
SOLE DISPOSITIVE POWER
166,667
------------------------------------------
10
SHARED DISPOSITIVE POWER
0
---------- ---------------------------------------------------------------------
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
166,667
---------- ---------------------------------------------------------------------
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES |_|
---------- ---------------------------------------------------------------------
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.2%
---------- ---------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
---------- ---------------------------------------------------------------------
SCHEDULE 13D
---------------------- ---------------------------------
CUSIP No. 139818 10 8 Page 5 of 11 Pages
---------------------- ---------------------------------
---------- ---------------------------------------------------------------------
1 NAME OF REPORTING PERSON: Daniel Matrisciani
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
---------- ---------------------------------------------------------------------
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
---------- ---------------------------------------------------------------------
3
SEC USE ONLY
---------- ---------------------------------------------------------------------
4 SOURCE OF FUNDS
SC
---------- ---------------------------------------------------------------------
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS (2)(d) or (e) |_|
---------- ---------------------------------------------------------------------
6
CITIZENSHIP OR PLACE OR ORGANIZATION
United States
-------------------------------------- -----------------------------------------
7
NUMBER OF SOLE VOTING POWER
SHARES 166,667
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------
8
SHARED VOTING POWER
0
-----------------------------------------
9
SOLE DISPOSITIVE POWER
166,667
-----------------------------------------
10
SHARED DISPOSITIVE POWER
0
---------- ---------------------------------------------------------------------
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
166,667
---------- ---------------------------------------------------------------------
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES |_|
---------- ---------------------------------------------------------------------
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.2%
---------- ---------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
---------- ---------------------------------------------------------------------
SCHEDULE 13D
---------------------- -----------------------------------
CUSIP No. 139818 10 8 Page 6 of 11 Pages
---------------------- -----------------------------------
---------- ---------------------------------------------------------------------
1 NAME OF REPORTING PERSON: Alex Matrisciani
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
---------- ---------------------------------------------------------------------
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
---------- ---------------------------------------------------------------------
3
SEC USE ONLY
---------- ---------------------------------------------------------------------
4 SOURCE OF FUNDS
SC
---------- ---------------------------------------------------------------------
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS (2)(d) or (e) |_|
---------- ---------------------------------------------------------------------
6
CITIZENSHIP OR PLACE OR ORGANIZATION
United States
------------------------------------- ------------------------------------------
7
NUMBER OF SOLE VOTING POWER
SHARES 166,666
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------
8
SHARED VOTING POWER
0
------------------------------------------
9
SOLE DISPOSITIVE POWER
166,666
------------------------------------------
10
SHARED DISPOSITIVE POWER
0
---------- ---------------------------------------------------------------------
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
166,666
---------- ---------------------------------------------------------------------
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES |_|
---------- ---------------------------------------------------------------------
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.2%
---------- ---------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
---------- ---------------------------------------------------------------------
SCHEDULE 13D
Item 1. Security and Issuer.
This statement is being filed jointly by Carmine Stella, Anthony Stella,
Monty Matrisciani, Daniel Matrisciani and Alex Matrisciani. The filers of this
statement are collectively referred to as the "Group" or "Reporting Persons."
This statement relates to the Common Stock, $.001 par value per share
("Common Stock"), of Capital Beverage Corporation, a Delaware corporation (the
"Issuer"). The Issuer's principal executive offices are presently located at 700
Columbia Street, Erie Basin, Brooklyn, New York 11231.
Item 2. Identity and Background.
(a) This statement is filed by (i) Carmine Stella (ii) Anthony Stella (iii)
Monty Matrisciani, (iv) Daniel Matrisciani and (v) Alex Matisciani.
(b) The business address of each Reporting Person is 700 Columbia Street,
Erie Basin, Brooklyn, New York 11231.
(c) Carmine Stella is a member of the Board of Directors and President and
Chief Executive Officer of the Issuer. Anthony Stella is a Vice President of the
Issuer. Monty Matrisciani and Alex Matrisciani are each employees of the Issuer.
Daniel Matrisciani is a Vice President of the Issuer.
(d) No member of the Group has, during the last five years, been convicted
in a criminal proceeding (excluding traffic violations or similar misdemeanors).
(e) No member of the Group has, during the last five years, been a party to
a civil proceeding of a judicial or administrative body of competent
jurisdiction which resulted in such member of the Group being subject to a
judgment, decree or a 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.
(f) Each Reporting Person is a citizen of the United States.
Item 3. Source and Amount of Funds or Other Consideration.
As of May 4, 2001, the Issuer and Prospect Beverages, Inc., a New York
corporation ("Prospect") entered into an Asset Purchase Agreement (the "Purchase
Agreement"), pursuant to which on June 29, 2001, the Issuer acquired certain
assets and liabilities of Prospect (the "Asset Purchase").
Pursuant to the Purchase Agreement, the Issuer purchased all of the assets
of Prospect's business which related to Prospect's business of distributing
beverages, including among other things, beer distribution rights, properties,
rights, leases, interests, goods and customer lists of Prospect. The purchase
price of the assets consisted of the assumption by the Issuer of certain
liabilities of Prospect and the issuance of an aggregate of five hundred
thousand (500,000) shares of the Common Stock of the Issuer to Monty
Matrisciani, Daniel Matrisciani and Alex Matrisciani, shareholders of Prospect.
In addition, Michael Matriciani, an officer of Prospect, joined the Board of
Directors of the Issuer.
As a condition to the closing of the Purchase Agreement, the parties
thereto were required to enter into a voting agreement. As of June 29, 2001,
Carmine Stella and Anthony Stella (collectively referred to herein as the
"Capital Stockholders"), Monty Matrisciani, Michael Mastrisciani, Daniel
Matrisciani and Alex Matrisciani (collectively referred to herein as the
"Prospect Stockholders"), the Issuer and Prospect entered into a Voting
Agreement (the "Voting Agreement").
Commencing upon the first annual meeting of the Issuer's stockholders after
June 29, 2001, which will be held not later than September 30, 2001 and during
the term of the Voting Agreement, the parties agreed that the Issuer shall be
governed by a Board of Directors (the "Board") of eight (8) members (or six (6)
if the parties agree). Pursuant to the Voting Agreement, the directors shall
serve for periods of one year (the first period commencing on the date of the
annual meeting of stockholders or sooner if elected prior thereto) and until
their successors are elected at the next annual meeting of the stockholders, at
any special meeting, or by majority written consent, as the case may be.
Pursuant to the Voting Agreement, the Board shall nominate and recommend to the
stockholders of the Issuer eight (8) nominees (or six (6) as the case may be)
for election to the Board, 50% of whom shall be chosen by the Prospect
Stockholders in their sole and absolute discretion ("Prospect Nominees") and 50%
of whom shall be chosen by the Capital Stockholders in their sole and absolute
discretion (Capital Nominees"). The parties agreed that the Board shall not
nominate a person for election whose employment has been terminated by the
Issuer for cause.
However, the Voting Agreement provides that if the securities of Issuer are
no longer listed on The Nasdaq Smallcap Market ("Nasdaq"), the Board shall take
immediate action to appoint the new board prior to the next annual meeting of
shareholders. In addition, the Prospect Stockholders may request the Board,
prior to the next annual meeting, to seek permission from Nasdaq to elect the
new board prior to the next annual meeting of shareholders, without the need for
such meeting. As of June 18, 2001, the securities of the Issuer are no longer
listed on Nasdaq.
Each Prospect Stockholder and each Capital Stockholder agreed that during
the term of the Voting Agreement to vote, or cause to be voted, their respective
shares of Common Stock of Issuer and any other shares acquired after the date
hereof (less such shares sold pursuant to Rule 144 or in other open market
transactions) (the "Shares"), in person or by proxy, in favor of the Prospect
Nominees and Capital Nominees at every meeting of the stockholders of the Issuer
at which directors are elected to the Board and at every adjournment thereof.
Notwithstanding anything contained therein to the contrary, each Prospect
Stockholder and Capital Stockholder may sell any of their Shares under Rule 144,
or pursuant to an effective registration statement, at which time the Shares
sold shall be free of any restrictions or obligations imposed by the Voting
Agreement. In connection with any such sale, the Issuer shall provide, or cause
to be provided, such instructions or opinions of counsel as are necessary to
remove all legends from such Shares.
Notwithstanding anything therein to the contrary, if any of the Capital
Stockholders or any of the Prospect Stockholders ("Selling Holders") proposes,
in a single transaction or a series of related transactions, to sell, dispose of
or otherwise transfer a majority of such stockholders Shares (excluding sales
made pursuant to Rule 144 or other sales in the open market), the Selling
Holders shall refrain from effecting such transaction unless, prior to the
consummation thereof, each of the other stockholders who are parties to the
Voting Agreement shall have been afforded the opportunity to join in such
transfer.
Prior to the consummation of any such transaction, the person or group (the
"Proposed Purchaser") that proposes to acquire securities in such transaction
(the "Tag-Along Sale") shall offer (the "Tag-Along Purchase Offer") in writing
to each of the other stockholders who are parties to the Voting Agreement the
right to include a proportionate amount of their Shares in the proposed sale to
the Proposed Purchaser equal to the proportionate amount of the Selling Holder's
Shares being sold, at the same price and on the same terms and conditions as the
Proposed Purchaser has offered to the Selling Holders. Each stockholder shall
have five (5) days from the receipt of the Tag-Along Purchase Offer in which to
accept the Tag-Along Purchase Offer.
Carmine Stella owns 709,091 shares of the Issuer's Common Stock by virtue
of receiving founder's stock.
Anthony Stella owns 77,273 shares of the Issuer's Common Stock by virtue or
receiving founder's stock.
Monty Matrisciani owns 166,667 shares of the Issuer's Common Stock by
virtue of the Asset Purchase.
Daniel Matrisciani owns 166,667 shares of the Issuer's Common Stock by
virtue of the Asset Purchase.
Alex Matrisciani owns 166,666 shares of the Issuer's Common Stock by virtue
of the Asset Purchase.
Item 4. Purpose of Transaction.
The Asset Purchase was consummated in order to complete the acquisition of
the business of Prospect. See Item 3 above.
Item 5. Interest in Securities of the Issuer.
Mr. Carmine Stella beneficially owns 709,091 shares of the Issuer's Common
Stock or 22.3% of the shares of Common Stock outstanding immediately following
the Asset Purchase. Mr. Carmine Stella has the sole power to vote and direct the
disposition of 709,091 shares of Issuer's Common Stock.
Mr. Anthony Stella beneficially owns 77,273 shares of the Issuer's Common
Stock, or 2.4% of the shares of Common Stock outstanding immediately following
the Asset Purchase. Anthony Stella has the sole power to vote and direct the
disposition of 77,273 shares of Issuer's Common Stock.
Mr. Monty Matrisciani beneficially owns 166,667 shares of the Issuer's
Common Stock, or 5.2% of the shares of Common Stock outstanding immediately
following the Asset Purchase. Monty Matrisciani has the sole power to vote and
direct the disposition of 166,667 shares of Issuer's Common Stock.
Mr. Daniel Matrisciani beneficially owns 166,667 shares of the Issuer's
Common Stock, or 5.2% of the shares of Common Stock outstanding immediately
following the Asset Purchase. Daniel Matrisciani has the sole power to vote and
direct the disposition of 166,667 shares of Issuer's Common Stock.
Alex Matrisciani beneficially owns 166,666 shares of the Issuer's Common
Stock, or 5.2% of the shares of Common Stock outstanding immediately following
the Asset Purchase. Alex Matrisciani has the sole power to vote and direct the
disposition of 166,666 shares of Issuer's Common Stock.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to
Securities of the Issuer.
See Item 3 above.
Item 7. Material to be Filed as Exhibits.
The following documents are filed as exhibits:
1. Asset Purchase Agreement, dated as of May 4, 2001, between Capital Beverage
Corporation and Prospect Beverages, Inc.
2. Voting Agreement, dated as of June 29, 2001, among Carmine Stella and Anthony
Stella, Monty Matrisciani, Michael Matrisciani, Daniel Matrisciani and Alex
Matrisciani, Capital Beverage Corporation and Prospect Beverages, Inc.
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.
July 9, 2001
(Date)
/s/ Carmine Stella
----------------------
Carmine Stella
/s/ Anthony Stella
-----------------------
Anthony Stella
/s/ Monty Matrisiciani
-------------------------
Monty Matrisiciani
/s/ Daniel Matrisiciani
--------------------------
Daniel Matrisiciani
/s/ Alex Matrisiciani
-----------------------
Alex Matrisiciani
Dates Referenced Herein and Documents Incorporated by Reference
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