-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KqUmnT8GqQgd4Dvl0v2SPTQqdgJBLbRlLyli3XkmgZukcZSgby9Ko1e/ilnPhnC9 rYlj7Uw9YTgS9mUCVRvEXg== 0000930413-03-000471.txt : 20030214 0000930413-03-000471.hdr.sgml : 20030214 20030214175746 ACCESSION NUMBER: 0000930413-03-000471 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20030214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LANDEC CORP \CA\ CENTRAL INDEX KEY: 0001005286 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS, MATERIALS, SYNTH RESINS & NONVULCAN ELASTOMERS [2821] IRS NUMBER: 943025618 STATE OF INCORPORATION: CA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45181 FILM NUMBER: 03568853 BUSINESS ADDRESS: STREET 1: 3603 HAVEN AVE CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 6503061650 MAIL ADDRESS: STREET 1: 3603 HAVEN AVE CITY: MENLO PARK STATE: CA ZIP: 94025 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: J P MORGAN PARTNERS SBIC LLC CENTRAL INDEX KEY: 0001106605 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2128993400 MAIL ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: CHASE VENTURE CAPITAL ASSOCIATES LLC DATE OF NAME CHANGE: 20000214 SC 13G/A 1 c27087_sc13ga-.txt ------------------------------- OMB APPROVAL ------------------------------- OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response..........11 ------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 6)* Landec Corporation ------------------------------------------------------------ (Name of Issuer) Common Stock ------------------------------------------------------------ (Title of Class of Securities) 514766104 ------------------------------------------------------------ (CUSIP Number) August 1, 2002 ------------------------------------------------------------ (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) [_] Rule 13d-1(c) [X] 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 the disclosures provided in a prior cover page. The information required in 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). 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. SEC 1745 (3-98) SCHEDULE 13G Issuer: Landec Corporation CUSIP No.: 514766104 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). J.P. Morgan Partners (SBIC), LLC - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 5. Sole Voting Power 0 Number of Shares ------------------------------------------------------- Beneficially Owned 6. Shared Voting Power by Each Reporting ------------------------------------------------------- Person With: 7. Sole Dispositive Power 0 ------------------------------------------------------- 8. Shared Dispositive Power - -------------------------------------------------------------------------------- 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% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) - -------------------------------------------------------------------------------- CO ................................................................................. ................................................................................. ................................................................................. ................................................................................. ................................................................................. ................................................................................. - -------------------------------------------------------------------------------- SEC 1745 (3-98) SCHEDULE 13G Issuer: Landec Corporation CUSIP No.: 514766104 PRELIMINARY NOTE: The information set forth in this Schedule 13G has been adjusted to reflect a sale by the Reporting Person of all of the Issuer's securities and to reflect a change in the name and controlling persons of the Reporting Person. ITEM 1. a) NAME OF ISSUER: Landec Corporation b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 3603 Haven Avenue Menlo Park, California 94025 ITEM 2. (a) NAME OF PERSON FILING: J.P. Morgan Partners (SBIC), LLC Supplemental information relating to the ownership and control of the person filing this statement is included in Exhibit 2(a) attached hereto. (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 1221 Avenue of the Americas New York, New York 10020 (c) CITIZENSHIP: Delaware (d) TITLE OF CLASS OF SECURITIES (OF ISSUER): Common Stock (e) CUSIP NUMBER: See top of cover page ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS. SS. 240. 13d-1(b) OR 240. 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Not applicable. ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 0 (b) PERCENT OF CLASS: 0% (as of August 1, 2002) SEC 1745 (3-98) SCHEDULE 13G Issuer: Landec Corporation CUSIP No.: 514766104 (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) 0 (ii) Not applicable. (iii) 0 (iv) Not applicable. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. ITEM 6. OWNERSHIP OF MORE THAN FIVE 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 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. CERTIFICATION Not applicable SEC 1745 (3-98) SCHEDULE 13G Issuer: Landec Corporation CUSIP No.: 514766104 SIGNATURE 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. Date: February 13, 2003 J.P. MORGAN PARTNERS (SBIC), LLC By: /s/ Jeffrey C. Walker ------------------------------------ Name: Jeffrey C. Walker Title: President SEC 1745 (3-98) EX-99.2A 3 c27087_99-2a.txt SCHEDULE 13G Issuer: Landec Corporation CUSIP No.: 514766104 EXHIBIT 2(a) ITEM 2. IDENTITY AND BACKGROUND. This statement is being filed by J.P. Morgan Partners (SBIC), LLC (formerly known as Chase Venture Capital Associates, LLC), a Delaware limited liability company (hereinafter referred to as "JPMP (SBIC)"), whose principal business office is located at 1221 Avenue of the Americas, New York, New York 10020. JPMP (SBIC) is engaged in the venture capital and leveraged buyout business. Set forth in Schedule A hereto and incorporated herein by reference are the names, business addresses, occupations and employments of each executive officer and director of JPMP (SBIC). JPMP (SBIC) is a wholly owned subsidiary of J.P. Morgan Partners (BHCA), L.P. (formerly known as Chase Equity Associates, L.P.), a Delaware limited partnership (hereinafter referred to as "JPMP (BHCA)"), whose principal business office is located at the same address as JPMP (SBIC). JPMP (BHCA) is also engaged in the venture capital and leveraged buyout business. The general partner of JPMP (BHCA) is JPMP Master Fund Manager, L.P. (formerly known as Chase Capital Partners, a New York general partnership), a Delaware limited partnership (hereinafter referred to as "JPMP Master Fund"), whose principal business office is located at the same address as JPMP (SBIC), and is also directly or indirectly (through affiliates) engaged in the venture capital and leveraged buyout business. The general partner of JPMP Master Fund is JPMP Capital Corp. (formerly known as Chase Capital Corporation), a New York corporation (hereinafter referred to as "JPMP Capital Corp."), whose principal business office is located at the same address as JPMP (SBIC), and is also engaged in the venture capital and leveraged buyout business. Set forth in Schedule B hereto and incorporated herein by reference are the names, business addresses, principal occupations and employments of each executive officer and director of JPMP Capital Corp. JPMP Capital Corp. is a wholly owned subsidiary of J.P. Morgan Chase & Co. (formerly known as The Chase Manhattan Corporation), a Delaware corporation (hereinafter referred to as "JP Morgan Chase") which is engaged (primarily through subsidiaries) in the commercial banking business with its principal office located at 270 Park Avenue, New York, New York 10017. Set forth in Schedule C hereto and incorporated herein by reference are the names, business addresses, principal occupations and employments of each executive officer and director of JP Morgan Chase. SEC 1745 (3-98) SCHEDULE 13G ISSUER: Landec Corporation CUSIP No.: 514766104 SCHEDULE A J.P. MORGAN PARTNERS (SBIC), LLC EXECUTIVE OFFICERS(1) President Jeffrey C. Walker* Executive Vice President Mitchell J. Blutt, M.D.* Executive Vice President Arnold L. Chavkin* Executive Vice President John M.B. O'Connor* Managing Director Dr. Dana Beth Ardi Managing Director Christopher C. Behrens* Managing Director Julie Casella-Esposito* Managing Director Rodney A. Ferguson* Managing Director Cornell P. French* Managing Director Michael R. Hannon* Managing Director Alfredo Irigoin* Managing Director Andrew Kahn* Managing Director Jonathan R. Lynch* Managing Director Stephen P. Murray* Managing Director Timothy Purcell* Managing Director Faith Rosenfeld* Managing Director Shahan D. Soghikian* Managing Director Timothy J. Walsh* Managing Director Richard D. Waters, Jr.* Managing Director Damion E. Wicker, M.D.* Managing Director Eric R. Wilkinson* Senior Vice President and Assistant Secretary James Hutter* Senior Vice President and Assistant Secretary Mounir Nahas* Senior Vice President, Treasurer and Assistant Secretary Elisa R. Stein* Vice President and Assistant Secretary Richard Madsen* Vice President and Assistant Secretary Puneet Gulati* Vice President and Assistant Secretary Thomas Szymoniak* Vice President and Assistant Secretary Scott Kraemer* Secretary Anthony J. Horan** Assistant Secretary Robert C. Caroll** Assistant Secretary Denise G. Connors** Assistant Secretary Euisun Lisa Lee** Assistant Secretary Timothy Samson** - -------- (1) Each of whom is a United States citizen except for Messrs. Irigoin, and Soghikian. * Principal occupation is employee and/or officer of J.P. Morgan Partners, LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the Americas, New York, New York 10020. ** Principal occupation is employee or officer of J.P. Morgan Chase & Co. Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York, New York 10017. SEC 1745 (3-98) SCHEDULE 13G ISSUER: Landec Corporation CUSIP No.: 514766104 DIRECTORS(1) Jeffrey C. Walker* - -------- (1) Each of whom is a United States citizen except for Messrs. Irigoin, and Soghikian. * Principal occupation is employee and/or officer of J.P. Morgan Partners, LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the Americas, New York, New York 10020. ** Principal occupation is employee or officer of J.P. Morgan Chase & Co. Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York, New York 10017. (1) Each of whom is a United States citizen except for Messrs. Irigoin and Soghikian. SEC 1745 (3-98) SCHEDULE 13G ISSUER: Landec Corporation CUSIP No.: 514766104 SCHEDULE B JPMP CAPITAL CORP. EXECUTIVE OFFICERS(1) President Jeffrey C. Walker* Executive Vice President Mitchell J. Blutt, M.D.* Executive Vice President Arnold L. Chavkin* Executive Vice President John M.B. O'Connor* Managing Director Dr. Dana Beth Ardi Managing Director Christopher C. Behrens* Managing Director Julie Casella-Esposito* Managing Director Rodney A. Ferguson* Managing Director Cornell P. French* Managing Director Michael R. Hannon* Managing Director Alfredo Irigoin* Managing Director Andrew Kahn* Managing Director Jonathan R. Lynch* Managing Director Stephen P. Murray* Managing Director Timothy Purcell* Managing Director Faith Rosenfeld* Managing Director Shahan D. Soghikian* Managing Director Timothy J. Walsh* Managing Director Richard D. Waters, Jr.* Managing Director Damion E. Wicker, M.D.* Managing Director Eric R. Wilkinson* Senior Vice President and Assistant Secretary James Hutter* Senior Vice President and Assistant Secretary Mounir Nahas* Senior Vice President, Treasurer and Assistant Secretary Elisa R. Stein* Vice President and Assistant Secretary Richard Madsen* Vice President and Assistant Secretary Puneet Gulati* Vice President and Assistant Secretary Thomas Szymoniak* Vice President and Assistant Secretary Scott Kraemer* Secretary Anthony J. Horan** Assistant Secretary Robert C. Caroll** Assistant Secretary Denise G. Connors** Assistant Secretary Euisun Lisa Lee** Assistant Secretary Timothy Samson** - -------- (1) Each of whom is a United States citizen except for Messrs. Irigoin, and Soghikian. * Principal occupation is employee and/or officer of J.P. Morgan Partners, LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the Americas, New York, New York 10020. ** Principal occupation is employee or officer of J.P. Morgan Chase & Co. Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York, New York 10017. SEC 1745 (3-98) SCHEDULE 13G ISSUER: Landec Corporation CUSIP No.: 514766104 DIRECTORS(1) William B. Harrison** Jeffrey C. Walker* - -------- (1) Each of whom is a United States citizen except for Messrs. Irigoin, and Soghikian. * Principal occupation is employee and/or officer of J.P. Morgan Partners, LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the Americas, New York, New York 10020. ** Principal occupation is employee or officer of J.P. Morgan Chase & Co. Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York, New York 10017. SEC 1745 (3-98) SCHEDULE 13G ISSUER: Landec Corporation CUSIP No.: 514766104 SCHEDULE C J.P. MORGAN CHASE & CO. EXECUTIVE OFFICERS(1) Chairman of the Board and Chief Executive Officer William B. Harrison Jr.* Vice Chairman David A. Coulter* Vice Chairman Walter A. Gubert* Vice Chairman Thomas B. Ketchum* Vice Chairman Donald H. Layton* Vice Chairman James B. Lee Jr.* Vice Chairman Jeffrey C. Walker** Vice Chairman; Head of Finance, Risk Management and Administration Marc J. Shapiro* Executive Officer Steven D. Black* Executive Officer Donald H. McCree III* Executive Officer James I. Staley* Executive Officer Don M. Wilson* Executive Officer William T. Winters* Executive Vice President; General Auditor William J. Moran* Executive Vice President; Chief Financial Officer Dina Dublon* Executive Vice President; Head of Market Risk Management Lesley Daniels Webster* Chief Credit Officer Robert S. Strong* Managing Director Paul W. Brandow* Managing Director; Corporate Treasurer David B. Edelson* Managing Director; Head of Credit Risk Policy Suzanne Hammett* Managing Director Louis M. Morrell* Managing Director John Steinhardt* Managing Director John Wilmet* Managing Director Jorge V. Jasson* General Counsel William H. McDavid* Corporate Secretary Anthony James Horan* Senior Vice President; Assistant General Counsel Ronald C. Mayer* Senior Vice President; Chief Compliance Officer Gregory S. Meredith* Director of Human Resources John J. Farrell* Director of Corporate Marketing and Communications Frederick W. Hill* Controller Joseph L. Scalfani* Assistant Corporate Secretary James C. Berry* - -------- (1) Each of whom is a United States citizen. * Principal occupation is employee or officer of J.P. Morgan Chase & Co. Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York, New York 10017. ** Principal occupation is employee and/or officer of J.P. Morgan Partners, LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the Americas, New York New York 10020. SEC 1745 (3-98) SCHEDULE 13G ISSUER: Landec Corporation CUSIP No.: 514766104 DIRECTORS(1) NAME PRINCIPAL OCCUPATION OR EMPLOYMENT; BUSINESS OR RESIDENCE ADDRESS - -------------------------------------------------------------------------------- Hans W. Becherer Retired Chairman of the Board and Chief Executive Officer Deere & Company One John Deere Place Moline, IL 61265 - -------------------------------------------------------------------------------- Riley P. Bechtel Chairman and Chief Executive Officer Bechtel Group, Inc. P.O. Box 193965 San Francisco, CA 94119-3965 - -------------------------------------------------------------------------------- Frank A. Bennack, Jr. President and Chief Executive Officer The Hearst Corporation 959 Eighth Avenue New York, New York 10019 - -------------------------------------------------------------------------------- Lawrence A. Bossidy Chairman of the Board Honeywell International P.O. Box 3000 Morristown, NJ 07962-2245 - -------------------------------------------------------------------------------- M. Anthony Burns Chairman of the Board Ryder System, Inc. 3600 N.W. 82nd Avenue Miami, Florida 33166 - -------------------------------------------------------------------------------- H. Laurence Fuller Retired Co-Chairman BP Amoco p.l.c. 1111 Warrenville Road, Suite 25 Chicago, Illinois 60563 - -------------------------------------------------------------------------------- Ellen V. Futter President and Trustee American Museum of Natural History Central Park West at 79th Street New York, NY 10024 - -------------------------------------------------------------------------------- William H. Gray, III President and Chief Executive Officer The College Fund/UNCF 9860 Willow Oaks Corporate Drive P.O. Box 10444 Fairfax, Virginia 22031 - -------------------------------------------------------------------------------- William B. Harrison, Jr. Chairman of the Board and Chief Executive Officer J.P. Morgan Chase & Co. 270 Park Avenue, 8th Floor New York, New York 10017-2070 - -------------------------------------------------------------------------------- Helene L. Kaplan Of Counsel Skadden, Arps, Slate, Meagher & Flom LLP Four Times Square New York, New York 10036 - -------------------------------------------------------------------------------- Lee R. Raymond Chairman of the Board and Chief Executive Officer Exxon Mobil Corporation 5959 Las Colinas Boulevard Irving, TX 75039-2298 - -------------------------------------------------------------------------------- - ---------- (1) Each of whom is a United States citizen. SEC 1745 (3-98) SCHEDULE 13G ISSUER: Landec Corporation CUSIP No.: 514766104 NAME PRINCIPAL OCCUPATION OR EMPLOYMENT; BUSINESS OR RESIDENCE ADDRESS - -------------------------------------------------------------------------------- John R. Stafford Chairman of the Board American Home Products Corporation 5 Giralda Farms Madison, New Jersey 07940 - -------------------------------------------------------------------------------- Lloyd D. Ward Chief Executive Officer U.S. Olympic Committee One Olympic Plaza Colorado Springs, CO 80909 - -------------------------------------------------------------------------------- SEC 1745 (3-98) -----END PRIVACY-ENHANCED MESSAGE-----