SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Rule 13d-1 and 13d-2
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Koppers Holdings, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
50060P106
(CUSIP Number)
12/31/2006
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
| | Rule 13d-1 (b)
|X| Rule 13d-1 (c)
| | Rule 13d-1 (d)
* 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) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Caxton International Limited
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
British Virgin Islands
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
422,413
(7) Sole dispositive power:
0
(8) Shared dispositive power:
422,413
(9) Aggregate amount beneficially owned by each reporting person.
422,413
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
2.0%
(12) Type of reporting person (see instructions).
CO
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Caxton Equity Growth Holdings L.P.
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
Bermuda
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
573,577
(7) Sole dispositive power:
0
(8) Shared dispositive power:
573,577
(9) Aggregate amount beneficially owned by each reporting person.
573,577
(10)Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11)Percent of class represented by amount in Row 9.
2.8%
(12)Type of reporting person (see instructions).
PN
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Caxton Alpha Equity Holdings LP
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
Delaware
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
614,604
(7) Sole dispositive power:
0
(8) Shared dispositive power:
614,604
(9) Aggregate amount beneficially owned by each reporting person.
614,604
(10)Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11)Percent of class represented by amount in Row 9.
3.0%
(12)Type of reporting person (see instructions).
PN
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
GDK, Inc.
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
British Virgin Islands
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
0
(7) Sole dispositive power:
0
(8) Shared dispositive power:
0
(9) Aggregate amount beneficially owned by each reporting person.
0
(10)Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11)Percent of class represented by amount in Row 9.
0.0%
(12)Type of reporting person (see instructions).
BD
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
A.R.T. Advisors, LLC
13-4196796
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
Delaware
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
0
(7) Sole dispositive power:
0
(8) Shared dispositive power:
0
(9) Aggregate amount beneficially owned by each reporting person.
0
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
0.0%
(12) Type of reporting person (see instructions).
IA
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Sosnick, Aaron
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
United States
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
0
(7) Sole dispositive power:
0
(8) Shared dispositive power:
0
(9) Aggregate amount beneficially owned by each reporting person.
0
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
0.0%
(12) Type of reporting person (see instructions).
IN
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
SGAM AI Equity Fund - Caxton Equity
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
Luxembourg
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
137,150
(7) Sole dispositive power:
0
(8) Shared dispositive power:
137,150
(9) Aggregate amount beneficially owned by each reporting person.
137,150
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
0.7%
(12) Type of reporting person (see instructions).
OO
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Caxton Associates, L.L.C.
22-3430173
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
Delaware
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
1,747,744
(7) Sole dispositive power:
0
(8) Shared dispositive power:
1,747,744
(9) Aggregate amount beneficially owned by each reporting person.
1,747,744
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
8.4%
(12) Type of reporting person (see instructions).
IA
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Kovner, Bruce
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
United States
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
1,747,744
(7) Sole dispositive power:
0
(8) Shared dispositive power:
1,747,744
(9) Aggregate amount beneficially owned by each reporting person.
1,747,744
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
8.4%
(12) Type of reporting person (see instructions).
IN
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Lascano, Daniel
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
United States
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
31,600
(6) Shared voting power:
0
(7) Sole dispositive power:
31,600
(8) Shared dispositive power:
0
(9) Aggregate amount beneficially owned by each reporting person.
31,600
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
0.2%
(12) Type of reporting person (see instructions).
IN
Item 1(a). Name of Issuer:
Koppers Holdings, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
436 Seventh Avenue
Pittsburgh, PA 15219
Item 2(a). Name of Person Filing:
(i) Caxton International Limited ("Caxton International")
(ii) Caxton Equity Growth Holdings L.P. ("Caxton Equity Growth")
(iii) Caxton Alpha Equity Holdings LP ("Caxton Alpha")
(iv) GDK, Inc. ("GDK")
(v) A.R.T. Advisors, LLC ("A.R.T. Advisors") A.R.T. Advisors,
as a result of the delegation of trading authority for GDK from
Caxton Associates L.L.C. has voting and dispositive power with
respect to the investments of GDK.
(vi) Mr. Aaron Sosnick. Mr. Sosnick is the Manager and majority
beneficial owner of A.R.T. Advisors. As a result of the fore-
going, Mr. Sosnick may be deemed beneficially to own the
securities of the Issuer owned by GDK.
(vii) SGAM AI Equity Fund - Caxton Equity ("SGAM AI Equity")
(viii) Caxton Associates, L.L.C. ("Caxton Associates"). Caxton
Associates is the trading advisor to Caxton International,
Caxton Equity Growth and GDK, the general partner of
Caxton Alpha, and the sub-investment manager of SGAM AI
Equity (the "Caxton Accounts") and as such, has voting and
dispositive power with respect to the investments of the
Caxton Accounts.
(ix) Mr. Bruce S. Kovner. Mr. Kovner is the Chairman of Caxton
Associates and the sole shareholder of Caxton Corporation,
the manager and majority owner of Caxton Associates. As a
result of the foregoing, Mr. Kovner may be deemed
beneficially to own the securities of the Issuer owned
by the Caxton Accounts.
(x) Mr. Daniel Lascano. Mr. Lascano is a portfolio manager for
Caxton Associates and may be deemed to participate in the
voting and exercise of discretion with respect to certain
securities for certain of Caxton Associates' investment
advisory clients.
Item 2(b). Address or Principal Business Office or, If None, Residence:
(i) The address of Caxton International is c/o Prime Management
Limited, Mechanics Building, 12 Church Street, Hamilton HM11,
Bermuda.
(ii) The address of Caxton Equity Growth is c/o Wakefield Quin,
Chancery Hall, 52 Reid Street, Hamilton HM12, Bermuda.
(iii) The address of Caxton Alpha is c/o Caxton Associates,
Princeton Plaza, Building 2, 731 Alexander Road, Princeton,
NJ 08540.
(iv) The address of GDK is c/o Prime Management Limited, Mechanics
Building, 12 Church Street, Hamilton HM11, Bermuda.
(v) The address of A.R.T. Advisors is 500 Park Avenue, New York,
NY 10022.
(vi) The business address of Mr. Sosnick is 500 Park Avenue,
New York, NY 10022.
(vii) The address of SGAM AI Equity is 16 Boulevard Royal, L-2449
Luxembourg.
(viii) The address of Caxton Associates is Princeton Plaza, Building 2,
731 Alexander Road, Princeton, NJ 08540.
(ix) The business address of Mr. Kovner is 500 Park Avenue,
New York, NY 10022.
(x) The business address of Mr. Lascano is 500 Park Avenue,
New York, NY 10022.
Item 2(c). Citizenship:
(i) Caxton International is a British Virgin Islands corporation.
(ii) Caxton Equity Growth is a Bermuda limited partnership.
(iii) Caxton Alpha is a Delaware limited partnership.
(iv) GDK is a British Virgin Islands corporation.
(v) A.R.T. Advisors is a Delaware limited liability company.
(vi) Mr. Sosnick is a United States citizen.
(vii) SGAM AI Equity is a sub-fund of a Societe d'Investissement a Capital
Variable organized under the laws of the Grand Duchy of Luxembourg.
(viii) Caxton Associates is a Delaware limited liability company.
(ix) Mr. Kovner is a United States citizen.
(x) Mr. Lascano is a United States citizen.
Item 2(d). Title of Class of Securities:
Common Stock
Item 2(e). CUSIP No.:
50060P106
Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or
(c), Check Whether the Person Filing is a:
Not Applicable
If this statement is filed pursuant to Rule 13d-1(c), check this box. |X|
Item 4. Ownership (as of December 31, 2006)
(a) Amount beneficially owned:
(i) The amount of shares of Common Stock beneficially owned by
Caxton International is 422,413.
(ii) The amount of shares of common stock beneficially owned by Caxton
Equity Growth is 573,577.
(iii) The amount of shares of Common Stock beneficially owned by
Caxton Alpha is 614,604.
(iv) The amount of shares of Common Stock beneficially owned by
GDK is 0.
(v) The amount of shares of Common Stock considered to be
beneficially owned by A.R.T. Advisors by reason of its voting and
dispositive powers with respect to GDK is 0.
(vi) Mr. Sosnick, by reason of being Manager and majority beneficial
owner of A.R.T. Advisors may also be deemed to beneficially own
the securities of the Issuer owned by GDK.
(vii) The amount of shares of Common Stock beneficially owned by
SGAM AI Equity is 137,150.
(viii) The amount of shares of Common Stock considered to be
beneficially owned by Caxton Associates by reason of its
voting and dispositive powers is 1,747,744.
(ix) Mr. Kovner, by reason of being Chairman of Caxton Associates
and the sole shareholder of Caxton Corporation, the manager
and majority owner of Caxton Associates, may also be deemed to
beneficially own the securities of the Issuer owned by the
Caxton Accounts.
(x) The amount of shares of Common Stock beneficially owned by
Mr. Lascano is 31,600. The 31,600 shares of Common Stock
reported herein as beneficially owned by Mr. Lascano are owned
directly by Mr. Lascano.
(b) Percent of class:
(i) Caxton International beneficially owns 2.0% of the Class
of Common Stock.
(ii) Caxton Equity Growth beneficially owns 2.8% of the Class
of Common Stock.
(iii) Caxton Alpha beneficially owns 3.0% of the Class of Common
Stock.
(iv) GDK beneficially owns 0.0% of the Class of Common Stock.
(v) A.R.T. Advisors is deemed to beneficially own 0.0%
of the Class of Common Stock.
(vi) Mr. Sosnick may be deemed to beneficially own 0.0% of the Class
of Common Stock.
(vii) SGAM AI Equity beneficially owns 0.7% of the Class of Common Stock.
(viii) Caxton Associates is deemed to beneficially own 8.4%
of the Class of Common Stock.
(ix) Mr. Kovner may be deemed to beneficially own 8.4% of the Class
of Common Stock.
(x) Mr. Lascano may be deemed to beneficially own 0.2% of the Class
of Common Stock.
(c) Number of shares as to which Caxton International has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 422,413
(iii) Sole power to dispose or to direct the disposition: 0
(iv) Shared power to dispose or to direct the disposition
of: 422,413
Number of shares as to which Caxton Equity Growth has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 573,577
(iii) Sole power to dispose or to direct the disposition: 0
(iv) Shared power to dispose or to direct the disposition
of: 573,577
Number of shares as to which Caxton Alpha has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 614,604
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition
of: 614,604
Number of shares as to which GDK has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition
of: 0
Number of shares as to which A.R.T. Advisors has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition
of: 0
Number of shares as to which Mr. Sosnick has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition
of: 0
Number of shares as to which SGAM AI Equity has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 137,150
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition
of: 137,150
Number of shares as to which Caxton Associates has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 1,747,744
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition
of: 1,747,744
Number of shares as to which Mr. Kovner has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 1,747,744
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition
of: 1,747,744
Number of shares as to which Mr. Lascano has:
(i) Sole power to vote or to direct the vote: 31,600
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the disposition: 31,600
(iv) Shared power to dispose or to direct the disposition
of: 0
Item 5. Ownership of 5 Percent or Less of a Class.
Not Applicable
Item 6. Ownership of More than 5 Percent on Behalf of Another Person.
Not Applicable
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on by the Parent Holding Company or Control
Person.
Not Applicable
Item 8. Identification and Classification of Members of the Group.
Not Applicable
Item 9. Notice of Dissolution of Group.
Not Applicable
Item 10. Certifications
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not
held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any transaction
having that purpose or effect.
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.
Caxton International Limited
Date: 2/13/2007 /s/ Joseph Kelly
Name: Joseph Kelly
Title: Vice President and Treasurer
Date: 2/13/2007 /s/ Maxwell Quin
Name: Maxwell Quin
Title: Vice President and Secretary
Caxton Equity Growth Holdings L.P.
Date: 2/13/2007 /s/ Scott B. Bernstein
Name: Scott B. Bernstein
Title: Secretary,
Caxton Associates, L.L.C.,
Manager
Caxton GP Holdings, LLC,
Investment General Partner
Caxton Alpha Equity Holdings LP
Date: 2/13/2007 /s/Scott B. Bernstein
Name: Scott B. Bernstein
Title: Secretary,
Caxton Associates, L.L.C.,
General Partner
GDK, Inc.
Date: 2/13/2007 /s/ Joseph Kelly
Name: Joseph Kelly
Title: Vice President and Treasurer
Date: 2/13/2007 /s/ Maxwell Quin
Name: Maxwell Quin
Title: Vice President and Secretary
A.R.T. Advisors, LLC
Date: 2/13/2007 /s/ Andrew Waldman
Name: Andrew Waldman
Title: Authorized Representative
Date: 2/13/2007 /s/ Aaron Sosnick
Name: Aaron Sosnick
Title: signed by Andrew Waldman
as Authorized Representative
SGAM AI Equity Fund - Caxton Equity
Date: 2/13/2007 /s/ Eric Attias
Name: Eric Attias
Title: Director
Caxton Associates, L.L.C.
Date: 2/13/2007 /s/ Scott B. Bernstein
Name: Scott B. Bernstein
Title: Secretary
Date: 2/13/2007 /s/ Bruce S. Kovner
Name: Bruce S. Kovner
Title: signed by Scott B. Bernstein
as Attorney-in-Fact
Date: 2/13/2007 /s/ Daniel Lascano
Name: Daniel Lascano
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is
signed on behalf of a person by his authorized representative other than
an executive officer or general partner of the filing person, evidence of
the representative's authority to sign on behalf of such person shall be
filed with the statement, provided, however, that a power of attorney for
this purpose which is already on file with the Commission may be incorporated
by reference. The name and any title of each person who signs the statement
shall be typed or printed beneath his signature.
ATTENTION: Intentional misstatements or omissions of fact constitute Federal
criminal violations (see 18 U.S.C. 1001). (Secs. 3(b), 13(d)(1), 13(d)(2),
13(d)(5), 13(d)(6), 13(g)(1), 13(g)(2), 13(g)(5), 23, 48 Stat. 882, 894, 901;
sec. 203(a), 49 Stat. 704; sec. 8, 49 Stat. 1379; sec. 10, 78 Stat. 88a; sec.
2, 82 Stat. 454; secs. 1, 2, 84 Stat. 1497; secs. 3, 10, 18, 89 Stat. 97, 119,
155; secs. 202, 203, 91 Stat. 1494, 1498, 1499; (15 U.S.C. 78c(b), 78m(d)(1),
78m(d)(2), 78m(d)(5), 78m(d)(6), 78m(g)(1), 78m(g)(2), 78m(g)(5), 78w)) [43 FR
18499, Apr. 28, 1978, as amended at 43 FR 55756, Nov. 29, 1978; 44 FR 2148,
Jan. 9, 1979; 44 FR 11751, Mar. 2, 1979; 61 FR 49959, Sept. 24, 1996; 62 FR
35340, July 1, 1997; 63 FR 2867, Jan. 16, 1998; 63 FR 15287, Mar. 31, 1998]
Certification
The undersigned hereby certifies that the shares of Koppers Holdings, Inc.
purchased on behalf of Caxton International Limited, Caxton Equity Growth
Holdings L.P., Caxton Alpha Equity Holdings LP, GDK, Inc. and SGAM AI
Equity Fund - Caxton Equity, and the shares owned by Mr. Lascano were not
acquired and are not being held for the purpose of or with the effect of
changing or influencing the control of the issuer of such securities and
were not acquired and are not held in connection with or as a participant
in any transaction having that purpose or effect.
Date: 2/13/2007 /s/ Kurt Feuerman
Kurt Feuerman
/s/ Andrew Waldman
Andrew Waldman
/s/ Daniel Lascano
Daniel Lascano