-----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, T/armIKmQr2UxpRULL7AmaqfuEtMYgK5zsSgGh+eNnjkgUctekErI/WLJMsCyyMj t9jJx7W3KjgGXJQbtWrVKg== 0000930413-02-002597.txt : 20021023 0000930413-02-002597.hdr.sgml : 20021023 20020819145322 ACCESSION NUMBER: 0000930413-02-002597 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000503 DATE AS OF CHANGE: 20021023 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARDIOTECH INTERNATIONAL INC CENTRAL INDEX KEY: 0001011060 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 043186647 STATE OF INCORPORATION: MA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48655 FILM NUMBER: 02742399 BUSINESS ADDRESS: STREET 1: 78-E OLYMPIA AVENUE CITY: WOBURN STATE: MA ZIP: 01801-4772 BUSINESS PHONE: 7819334772 MAIL ADDRESS: STREET 1: 11 STATE ST CITY: WOBURN STATE: MA ZIP: 01801 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DRESDNER KLEINWORT BENSON PRIVATE EQUITY PARTNERS LP CENTRAL INDEX KEY: 0001059086 IRS NUMBER: 133949246 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 75 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2124292100 MAIL ADDRESS: STREET 1: 75 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10005 SC 13D/A 1 c25173_sc13da-.txt ------------------------------- OMB APPROVAL ------------------------------- OMB Number: 3235-0145 Expires: August 31, 1999 Estimated average burden hours per response.......14.90 ------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* CardioTech International, Inc. - ------------------------------------------------------------------------------- (NAME OF ISSUER) Common Stock, par value $.01 per share - ------------------------------------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 14160C-10-0 --------------------------------------------------------------------- (CUSIP NUMBER) Harvey M. Eisenberg, Esq. O'Sullivan Graev & Karabell, LLP 30 Rockefeller Plaza New York, NY 10112 (212) 408-2400 - ------------------------------------------------------------------------------- (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) *********, 2000 --------------------------------------------------------------------- (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 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 /X/. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Section 240.13d-7 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 ("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. - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). DRESDNER KLEINWORT BENSON PRIVATE EQUITY PARTNERS LP 13-3949246 - ------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) (b) X - ------------------------------------------------------------------------------- 3. SEC USE ONLY - ------------------------------------------------------------------------------- 4. SOURCE OF FUNDS (SEE INSTRUCTIONS) WC - ------------------------------------------------------------------------------- 5. CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - ------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY 7. SOLE VOTING POWER 1,782,604 OWNED BY EACH REPORTING PERSON WITH: - ------------------------------------------------------------------------------- 8. SHARED VOTING POWER 0 - ------------------------------------------------------------------------------- 9. SOLE DISPOSITIVE POWER 1,782,604 - ------------------------------------------------------------------------------- 10. SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,782,604 - ------------------------------------------------------------------------------- 12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.1% - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN 2 Dresdner Kleinwort Benson Private Equity Partners LP (hereinafter referred to as "DKBPEP") hereby amends its statement on Schedule 13D, filed as of November 23, 1998 and amended as of September 24, 1999, relating to (i) the 7% Convertible Senior Secured Note (together with notes received as pay-in-kind interest, the "Notes") due March 31, 2003 issued by CardioTech International, Inc. ("CardioTech" or the "Issuer") and (ii) the Series A Preferred Stock issued by CardioTech (including the additional conversion rights thereunder as a result of accrued but unpaid dividends), (the "Preferred Shares"), as set forth below. ITEM 2. IDENTITY AND BACKGROUND. Schedule A is hereby amended in its entirety by replacing it with the attached Schedule A. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. Item 3 is hereby amended by adding the following paragraph at the end thereto: "Since September 24, 1999 (the date with respect to which DKBPEP filed its latest amendment to its 13D regarding its investment in CardioTech) DKBPEP has filed Form 4s with the Securities and Exchange Commission (the "SEC") relating to securities acquired through 1) "Pay-in-kind" interest on the outstanding Notes and 2) dividends on the Preferred Shares. In addition to the aforementioned, DKBPEP has converted all of its Preferred Shares into shares of Common Stock of the Company." ITEM 4. PURPOSE OF THE TRANSACTION Item 4 is hereby amended by adding the following at the end of the first paragraph thereto: "DKBPEP has sold shares of Common Stock received from the conversion of Preferred Shares pursuant to Rule 144 of the Securities Act of 1933, as amended. DKBPEP may continue to sell such shares of Common Stock pursuant to Rule 144 depending on market conditions." ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 is hereby amended by replacing subsection (a) with the following: (a) DKBPEP currently owns 261,123 shares of Common Stock of the Issuer. Upon conversion of the Note, the Additional Notes issued as of September 24, 1999, and accrued interest thereon, subject to the receipt of applicable regulatory approvals, DKBPEP would acquire 18.0% of the issued and outstanding shares of Common Stock (determined after giving effect to the conversion). ITEM 7. MATERIAL TO BE FILED IN EXHIBITS Item 7 is hereby amended by adding the following paragraph to the end thereto: 3 SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Date: May 3, 2000 DRESDNER KLEINWORT BENSON PRIVATE EQUITY PARTNERS LP By: DRESDNER KLEINWORT BENSON PRIVATE EQUITY MANAGERS LLC, its general partner By: /s/ Jonathan Walker By: /s/ Christopher Hammond ------------------------ ---------------------------- Name: Jonathan Walker Name: Christopher Hammond Title: Authorized Signatory Title: Vice President 4 SCHEDULE A ITEM 1. INFORMATION FOR OFFICERS AND DIRECTORS DKBPEM EXECUTIVE OFFICERS PERSON TITLE Christopher Wright Investment Partner and Board Member Jonathan Walker Investment Partner and Board Member Iain Leigh Investment Partner and Board Member Richard H. Wolf Investment Partner Alexander Coleman Investment Partner George Fugelsang Board Member All officers and advisory board members of DKBPEM have the same address: 75 Wall Street, New York, NY 10005-2889. 5 SCHEDULE A DIRECTORS & OFFICERS -------------------- KLEINWORT BENSON GENERAL INVESTMENT COMPANY LIMITED
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - --------------------------------------------------------------------------------------------------------------- Paul Richard FREEMAN Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - --------------------------------------------------------------------------------------------------------------- Peter Leonard LONGCROFT Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - --------------------------------------------------------------------------------------------------------------- Stephen John LOWE Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - --------------------------------------------------------------------------------------------------------------- Malcolm Francis WILLIAMS Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - --------------------------------------------------------------------------------------------------------------- Andrew John WHITE Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - ---------------------------------------------------------------------------------------------------------------
6 SCHEDULE A DIRECTORS & OFFICERS -------------------- KLEINWORT BENSON LIMITED
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - -------------------------------------------------------------------------------------------------------------------------------- Konstantin Graf Von Schweinitz Kleinwort Benson Limited 20 Fenchurch Street German Director & COO London EC3P 3DB - -------------------------------------------------------------------------------------------------------------------------------- Richard Philip Matthew ARMSTRONG Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - -------------------------------------------------------------------------------------------------------------------------------- Patrick Joseph DALEY Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - -------------------------------------------------------------------------------------------------------------------------------- Alexander David FORRESTER Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - -------------------------------------------------------------------------------------------------------------------------------- Paul Richard FREEMAN Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - -------------------------------------------------------------------------------------------------------------------------------- Peter Leonard LONGCROFT Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - -------------------------------------------------------------------------------------------------------------------------------- Stephen John LOWE Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - -------------------------------------------------------------------------------------------------------------------------------- Keith Roy PALMER Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - -------------------------------------------------------------------------------------------------------------------------------- John Howard PATTINSON Kleinwort Benson Limited 20 Fenchurch Street German Director London EC3P 3DB - --------------------------------------------------------------------------------------------------------------------------------
7 SCHEDULE A
- -------------------------------------------------------------------------------------------------------------------------------- Timothy Anthony SHACKLOCK Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - -------------------------------------------------------------------------------------------------------------------------------- Alan Colin Drake YARROW Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - --------------------------------------------------------------------------------------------------------------------------------
8 SCHEDULE A DIRECTORS & OFFICERS -------------------- KLEINWORT BENSON GROUP LTD
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ------------------------------------------------------------------------------------------------------------------------------- Paul Richard FREEMAN Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - ------------------------------------------------------------------------------------------------------------------------------- Peter Leonard LONGCROFT Kleinwort Benson Limited 20 Fenchurch Street British Director & London EC3P 3DB Secretary - ------------------------------------------------------------------------------------------------------------------------------- Stephen John LOWE Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - -------------------------------------------------------------------------------------------------------------------------------
9 SCHEDULE A DIRECTORS & OFFICERS -------------------- DRESDNER INVESTMENTS (UK) PLC
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - --------------------------------------------------------------------------------------------------------------------------- Stephen John LOWE Kleinwort Benson Limited 20 Fenchurch Street British Director & London EC3P 3DB Secretary - --------------------------------------------------------------------------------------------------------------------------- Achilles Othon MACRIS Kleinwort Benson Limited 20 Fenchurch Street USA Director London EC3P 3DB - --------------------------------------------------------------------------------------------------------------------------- John Howard PATTINSON Kleinwort Benson Limited 20 Fenchurch Street German Director London EC3P 3DB - ---------------------------------------------------------------------------------------------------------------------------
10 SCHEDULE A DIRECTORS & OFFICERS -------------------- INVERESK STOCKHOLDERS LIMITED
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ------------------------------------------------------------------------------------------------------------------------------- Stephen John Brooks Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - ------------------------------------------------------------------------------------------------------------------------------- Paul Richard Freeman Kleinwort Benson Limited 20 Fenchurch Street British Director London EC3P 3DB - ------------------------------------------------------------------------------------------------------------------------------- Peter Leonard Longcroft Kleinwort Benson Limited 20 Fenchurch Street British Director & London EC3P 3DB Secretary - -------------------------------------------------------------------------------------------------------------------------------
11 SCHEDULE A DIRECTORS & OFFICERS -------------------- ZENON BETEILIGUNGSGESELLSCHAFT GMBH
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - --------------------------------------------------------------------------------------------------------------------------- Wolfgang Kolb Dresdner Bank AG Juergen-Ponto-Platz 1 German Director D-60301 Frankfurt am Main Germany - --------------------------------------------------------------------------------------------------------------------------- Manfred SCHAUDWET Dresdner Bank AG Juergen-Ponto-Platz 1 German Director D-60301 Frankfurt am Main Germany - ---------------------------------------------------------------------------------------------------------------------------
12 SCHEDULE A MEMBERS OF THE SUPERVISORY BOARD -------------------------------- DRESDNER BANK AG
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ----------------------------------------------------------------------------------------------------------------------------------- Dr. Alfons Titzrath Dresdner Bank AG Koenigsallee 37 German Chairman of the Supervisory 40002 Duesseldorf Board Germany - ----------------------------------------------------------------------------------------------------------------------------------- Klaus Carlin Trade Union HBV Kanzlerstrasse 8 German Member of the Executive 40472 Duesseldorf Board Germany - ----------------------------------------------------------------------------------------------------------------------------------- Meinhard Carstensen Dresdner Bank AG Jungfernstieg 22 German Member of the Supervisory 20349 Hamburg Board Germany - ----------------------------------------------------------------------------------------------------------------------------------- Reinhard Droenner Federal Executive Board of Trade Johannes-Brahms-Platz 1 German Head of Section Banks and Union DAG 20355 Hamburg Savings Banks Germany - ----------------------------------------------------------------------------------------------------------------------------------- Claudia Eggert-Lehmann Dresdner Bank AG Postfach 41 41 German Member of the Supervisory 58041 Hagen Board Germany - ----------------------------------------------------------------------------------------------------------------------------------- Bernhard Enseling Dresdner Bank AG Kaiserstrasse 48, German Member of the Supervisory 2. OG Board 60301 Frankfurt am Main Germany - ----------------------------------------------------------------------------------------------------------------------------------- Dr. Martin Fruehauf Aventis S.A. Postfach 80 03 20 German Deputy Chairman of the 65926 Frankfurt am Main Supervisory Board Germany - -----------------------------------------------------------------------------------------------------------------------------------
13 SCHEDULE A
- ----------------------------------------------------------------------------------------------------------------------------------- Peter Haimerl Dresdner Bank AG Promenadeplatz 7 German Member of the Supervisory 80273 Munich Board Germany - ----------------------------------------------------------------------------------------------------------------------------------- Manfred Karsten Oldenburgische Landesbank AG Bahnhofstrasse 2 German Member of the Supervisory 26122 Oldenburg Board Germany - ----------------------------------------------------------------------------------------------------------------------------------- Ainis Kibermanis Dresdner Bank AG Taunusstrasse 40-42, 1. OG German Member of the Supervisory 60329 Frankfurt am Main Board Germany - ----------------------------------------------------------------------------------------------------------------------------------- Bernd Kriegeskorte Dresdner Bank AG Promenadeplatz 7 German Member of the Supervisory 80273 Munich Board Germany - ----------------------------------------------------------------------------------------------------------------------------------- Dr. rer. pol. Heinz Kriwet Thyssen Krupp AG August-Thyssen-Strasse 1 German Chairman of the Supervisory 40211 Duesseldorf Board Germany - ----------------------------------------------------------------------------------------------------------------------------------- Dr. Edward G. Krubasik Siemens AG Wittelsbacherplatz 2 German Member of the Managing 80312 Munich Board of Directors Germany - ----------------------------------------------------------------------------------------------------------------------------------- Dr. jur. Dietmar Kuhnt RWE AG Postfach 10 30 61 German Chairman of the Managing 45030 Essen Board of Directors Germany - ----------------------------------------------------------------------------------------------------------------------------------- Michel Pebereau Banque Nationale de Paris S.A. 16, Boulevard des Italiens French President, General Director F-75450 Paris France - ----------------------------------------------------------------------------------------------------------------------------------- Bernd Pischetsrieder Bayerische Motoren Werke AG German Former Chairman of the Board of Managing Directors - ----------------------------------------------------------------------------------------------------------------------------------- Dipl.-Kfm. Uwe Plucinski Dresdner Bank AG Jungfernstieg 22 German Deputy Chairman of the 20349 Hamburg Supervisory Board Germany - -----------------------------------------------------------------------------------------------------------------------------------
14 SCHEDULE A
- ----------------------------------------------------------------------------------------------------------------------------------- Sultan Salam Dresdner Bank AG Kaiserstrasse 63, 7. OG German Member of the Supervisory 60329 Frankfurt am Main Board Germany - ----------------------------------------------------------------------------------------------------------------------------------- Dr. Hans-Juergen Schinzler Muenchener Koeniginstrasse 107 German Chairman of the Board of Rueckversicherungs-Gesellschaft 80802 Munich Managing Directors Germany - ----------------------------------------------------------------------------------------------------------------------------------- Dr. jur. Hennig Schulte-Noelle Allianz AG Koeniginstrasse 28 German Chairman of the Board of 80802 Munich Managing Directors Germany - ------------------------------------------------------------------------------------------------------------------------------------
15 SCHEDULE A MEMBERS OF THE BOARD OF MANAGING DIRECTORS ------------------------------------------ DRESDNER BANK AG AS OF JULY 1, 1999
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ----------------------------------------------------------------------------------------------------------------------------------- Dr. Bernd Fahrholz Dresdner Bank AG Juergen-Ponto-Platz 1 German Chairman of the Board of 60301 Frankfurt am Main Managing Directors Germany - ----------------------------------------------------------------------------------------------------------------------------------- Leonhard H. Fischer Dresdner Bank AG Juergen-Ponto-Platz 1 German Deputy Member of the Board 60301 Frankfurt am Main of Managing Directors Germany - ----------------------------------------------------------------------------------------------------------------------------------- Dr. Joachim v. Harbou Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany - ----------------------------------------------------------------------------------------------------------------------------------- Gerd Haeusler Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany - ----------------------------------------------------------------------------------------------------------------------------------- Prof. Dr. Ernst-Moritz Lipp Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany - -----------------------------------------------------------------------------------------------------------------------------------
16 SCHEDULE A
- ----------------------------------------------------------------------------------------------------------------------------------- Dr. Horst Mueller Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany - ----------------------------------------------------------------------------------------------------------------------------------- Heinz-Joerg Platzek Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany - ----------------------------------------------------------------------------------------------------------------------------------- Dr. Bernd W. Voss Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany - ----------------------------------------------------------------------------------------------------------------------------------- Dr. Andreas Georgi Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany - ----------------------------------------------------------------------------------------------------------------------------------- Joachim Maedler Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany - -----------------------------------------------------------------------------------------------------------------------------------
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