-----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, GARVwpg64iKemsN7uh3aLLuqBWXBBTeCoxMPVZuTADGR8I48uQJMwWITFZPrzVVK 531MggGOuSnBichLf+pj2w== 0000930661-99-001470.txt : 19990615 0000930661-99-001470.hdr.sgml : 19990615 ACCESSION NUMBER: 0000930661-99-001470 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990614 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARRINGTON LABORATORIES INC /TX/ CENTRAL INDEX KEY: 0000718007 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 751435663 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-35855 FILM NUMBER: 99645842 BUSINESS ADDRESS: STREET 1: 2001 WALNUT HILL LN CITY: IRVING STATE: TX ZIP: 75038 BUSINESS PHONE: 2145181300 MAIL ADDRESS: STREET 1: PO BOX 168128 CITY: IRVING STATE: TX ZIP: 75016-8128 FORMER COMPANY: FORMER CONFORMED NAME: AVACARE INC DATE OF NAME CHANGE: 19860521 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KILLIN CHARLES C CENTRAL INDEX KEY: 0001034529 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O CONNER & WINTERS STREET 2: 3700 FIRST PLACE TWR 15 EAST 5TH ST CITY: TULSA STATE: OK ZIP: 74103 MAIL ADDRESS: STREET 1: C/O CONNER & WINTERS STREET 2: 3700 FIRST PLACE TWR 15 EAST 5TH ST CITY: TULSA STATE: OK ZIP: 74103 SC 13D/A 1 SCHEDULE 13D/A NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* CARRINGTON LABORATORIES, INC. - ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, par value $.01 per share - ------------------------------------------------------------------------------ (Title of Class of Securities) 144525 10 2 ------------------------------------------------------------- (CUSIP Number) Russell H. Harbaugh, Jr. 1300 Williams Center Tower I One West Third Street Tulsa, OK 74103 (918) 584-1978 - ------------------------------------------------------------------------------ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 27, 1999 ------------------------------------------------------------- (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(b)(3) or (4), check the following box [ ]. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) 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). SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 144525 10 2 PAGE 2 OF 9 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CHARLES C. KILLIN - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 N/A - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF -0- SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 249,500 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING -0- PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 249,500 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 249,500 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 2.7% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 144525 10 2 PAGE 3 OF 9 PAGES - ----------------------- --------------------- Item 1. Security and Issuer --------------------------- This Schedule 13D relates to the Common Stock, par value $.01 per share of Carrington Laboratories, Inc. (the "Company"), whose principal executive offices are located at 2001 Walnut Hill Lane, Irving, Texas 75038. Item 2. Identity and Background ------------------------------- (a) Name: Charles C. Killin (b) Business Address: 15 East 5th Street, Suite 3700 Tulsa, OK 74103 (c) Present Principal Occupation: Mr. Killin is an attorney associated with the law firm Conner & Winters, A Professional Corporation, Tulsa, Oklahoma. (d) Mr. Killin has not, during the last five years, been convicted in a criminal proceeding. (e) Mr. Killin has not, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or 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) Citizenship: U.S.A. Item 3. Source and Amount of Funds or Other Consideration --------------------------------------------------------- This Schedule 13D covers 249,500 shares of Common Stock held by Mr. Killin as a Co-Executor of the estate of John T. Oxley (the "Oxley Estate"). The shares of Common Stock currently held in the Oxley Estate were previously reported on the Schedule 13D of John T. Oxley, as amended from time to time. Item 4. Purpose of Transaction ------------------------------ The shares of Common Stock reported to be owned by Mr. Killin have all been acquired for investment purposes. With respect to the investment in the Common Stock, Mr. Killin does not have any present intentions or plans which relate to or would result in: SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 144525 10 2 PAGE 4 OF 9 PAGES - ----------------------- --------------------- (a) The acquisition of additional securities of the Company or the disposition of securities of the Company, other than additional shares which may be purchased from time to time on the open market or through private purchases solely for investment purposes; (b) An extraordinary corporate transaction, such as a merger, reorganization of liquidation, involving the Company or any of its subsidiaries; (c) A sale or transfer of a material amount of assets of the Company or any of its subsidiaries; (d) Any change in the present Board of Directors or management of the Company, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board; (e) Any material change in the present capitalization or dividend policy of the Company; (f) Any other material change in the Company's business or corporate structure; (g) Changes in the Company's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Company by any person; (h) Causing a class of securities of the Company to be listed from a national securities exchange or to cease to be authorized to be quoted on an inter-dealer quotation system of a registered national securities association; (i) A class of equity securities of the Company becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"); or (j) Any action similar to those enumerated above. Item 5. Interest in Securities of the Issuer -------------------------------------------- (a) By reason of his serving as a Co-Executor of the Oxley Estate, Mr. Killin may be deemed to be the beneficial owner of 249,500 shares of Common Stock of the Company, representing approximately 2.7% of the outstanding shares of Common Stock (based on 9,357,564 shares of Common Stock reported as being outstanding on March 24, 1999). Pursuant to Rule 13d-4 promulgated under the Exchange Act, Mr. Killin disclaims beneficial ownership of all shares of Common Stock held by the Oxley Estate. (b) Mr. Killin has shared voting power and shared dispositive power with respect to the 249,500 shares held by the Oxley Estate. With respect to the shares held by the Oxley Estate, SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 144525 10 2 PAGE 5 OF 9 PAGES - ----------------------- --------------------- Mr. Killin shares voting and dispositive powers with John C. Oxley and Thomas E. Oxley. Certain information with respect to John C. Oxley and Thomas E. Oxley is set forth below: (1) John C. Oxley ------------- (i) Business Address: Suite 1300 Williams Center Tower I One West Third Tulsa, Oklahoma 74103 (ii) Present Principal Occupation: Mr. John Oxley is primarily engaged in the business of exploration, production and operation of oil and gas properties. (iii) Mr. John Oxley has not, during the last five years, been convicted in a criminal proceeding. (iv) Mr. John Oxley has not, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or 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. (v) Citizenship: U.S.A. (2) Thomas E. Oxley --------------- (i) Business Address: Suite 1305 Williams Center Tower I One West Third Tulsa, Oklahoma 74103 (ii) Present Principal Occupation: Mr. Thomas Oxley is an officer of Boca Polo, Inc. and a private investor. (iii) Mr. Thomas Oxley has not, during the last five years, been convicted in a criminal proceeding. (iv) Mr. Thomas Oxley has not, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 144525 10 2 PAGE 6 OF 9 PAGES - ----------------------- --------------------- prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (v) Citizenship: U.S.A. (c) During the past sixty days, the following shares of Common Stock were sold in the open market by the Oxley Estate: Date of Sale Number of Shares Price Per Share - -------------- ---------------- --------------- 03/29/1999 2,000 $ 3.25 03/30/1999 1,000 $3.53125 03/30/1999 1,000 $ 3.4375 03/31/1999 2,000 $ 3.3125 04/01/1999 1,000 $ 3.00 04/01/1999 1,000 $ 2.875 04/05/1999 1,000 $ 2.8125 04/05/1999 1,000 $ 2.75 04/06/1999 2,000 $ 2.75 04/07/1999 2,000 $ 2.6875 04/08/1999 2,000 $ 2.6875 04/09/1999 2,000 $ 2.625 04/12/1999 2,000 $3.03125 04/13/1999 2,000 $ 1.9375 04/14/1999 2,000 $ 2.9375 04/15/1999 2,000 $2.96875 04/16/1999 2,000 $ 2.8125 04/19/1999 1,000 $ 3.00 04/19/1999 1,000 $ 2.875 04/20/1999 2,000 $ 2.875 04/21/1999 2,000 $2.90625 04/22/1999 2,000 $2.96875 04/23/1999 1,700 $2.96875 SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 144525 10 2 PAGE 7 OF 9 PAGES - ----------------------- --------------------- Date of Sale Number of Shares Price Per Share - -------------- ---------------- --------------- 04/23/1999 300 $2.90625 04/26/1999 2,000 $2.90625 04/27/1999 2,000 $ 2.875 04/28/1999 2,000 $ 2.9375 04/29/1999 700 $2.90625 04/29/1999 1,300 $ 2.875 04/30/1999 1,000 $2.90625 04/30/1999 1,000 $ 2.875 05/03/1999 2,000 $ 2.875 05/04/1999 2,000 $ 2.875 05/05/1999 100 $ 2.9375 05/05/1999 1,400 $ 2.875 05/05/1999 500 $2.90625 05/06/1999 1,000 $ 2.9375 05/06/1999 1,000 $ 2.875 05/07/1999 2,000 $ 2.875 05/10/1999 2,000 $ 3.00 05/11/1999 2,000 $ 3.0625 05/12/1999 2,000 $ 3.0625 05/13/1999 2,000 $ 2.9375 05/14/1999 2,000 $ 2.9375 05/17/1999 2,000 $2.90625 05/18/1999 2,000 $ 2.9375 05/19/1999 2,000 $ 2.875 05/20/1999 2,000 $ 2.875 05/21/1999 2,000 $ 2.9375 05/24/1999 2,000 $3.03125 05/25/1999 2,000 $ 2.75 SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 144525 10 2 PAGE 8 OF 9 PAGES - ----------------------- --------------------- Date of Sale Number of Shares Price Per Share - -------------- ---------------- --------------- 05/26/1999 800 $ 2.75 05/26/1999 1,200 $2.78125 05/27/1999 2,000 $ 2.875 05/28/1999 2,000 $2.96875 06/01/1999 900 $ 3.00 06/01/1999 1,100 $ 2.9375 Since the most recent filing on Schedule 13D, the following shares of Common Stock were sold by private sale by the Oxley Estate: Date of Sale Number of Shares Price Per Share - -------------- ---------------- --------------- 06/03/1999 10,000 $3.00 06/03/1999 90,000 $3.00 06/03/1999 100,000 $3.00 06/03/1999 50,000 $3.00 (d) N/A (e) June 3, 1999 Item 6. Contracts, Arrangements, Understandings or -------------------------------------------------- Relationships with Respect to Securities of the Issuer ------------------------------------------------------ None. Item 7. Material to be Filed as Exhibits ----------------------------------------- None. SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 144525 10 2 PAGE 9 OF 9 PAGES - ----------------------- --------------------- 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. /s/ Charles C. Killin -------------------------------------- Charles C. Killin Date: June 3, 1999 -----END PRIVACY-ENHANCED MESSAGE-----