-----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, VXnAYAn5F4xn3lonA4KCVjdBPYLWeXBBtYDLt0Y0XGTkjRDOws85cDUWemzKnYpx eHREnamXpkv/9VeBo86/+g== 0001218681-07-000002.txt : 20070223 0001218681-07-000002.hdr.sgml : 20070223 20070223084730 ACCESSION NUMBER: 0001218681-07-000002 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070223 DATE AS OF CHANGE: 20070223 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROHM & HAAS CO CENTRAL INDEX KEY: 0000084792 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS, MATERIALS, SYNTH RESINS & NONVULCAN ELASTOMERS [2821] IRS NUMBER: 231028370 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-13368 FILM NUMBER: 07643979 BUSINESS ADDRESS: STREET 1: 100 INDEPENDENCE MALL WEST CITY: PHILADELPHIA STATE: PA ZIP: 19106 BUSINESS PHONE: 2155923000 MAIL ADDRESS: STREET 1: 100 INDEPENDENCE MALL WEST CITY: PHILADELPHIA STATE: PA ZIP: 19106 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KUTENPLON STEPHEN CENTRAL INDEX KEY: 0001218681 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: 6172182000 MAIL ADDRESS: STREET 1: 101 HUNTINGTON AVENUE STREET 2: SUITE 500 CITY: BOSTON STATE: MA ZIP: 02199 SC 13G 1 twh-upsc13g2007.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ____)* Rohm & Haas Company - ----------------------------------------------------------------------- (Name of Issuer) Common - ----------------------------------------------------------------------- (Title of Class of Securities) 775371-10-7 ------------------------------------------- (CUSIP Number) December 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) [ ] 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). CUSIP NO. 775371107 - ----------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Thomas Willaman Haas - ---------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] - ----------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 290,521 ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 29,187,784 ------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 290,521 ------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 29,187,784 - -------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 29,478,305 See Disclaimer - -------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* See Disclaimer - -------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 13.478% - -------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* Individual - -------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Item 1(a) Name of Issuer: Rohm & Haas Company Item 1(b) Address of Issuer's Principal Executive Offices: 100 Independence Mall West Philadelphia, PA 19106 Item 2(a) Name of Person Filing: Thomas Willaman Haas Item 2(b) Address of the Principal Office or, if none, Residence: 583 Bay Road Durham, NH 03824-3440 Item 2(c) Citizenship: U.S.A. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 775371-10-7 Item 3 Not Applicable Item 4 Ownership as of December 31, 2006
Shares Percentage Sole Shared Sole Shared Beneficially Of Power Power Power of Power Owned Class to Vote to vote Disposition of Disposition - --------------------- ---------- ------- ------- ----------- -------------- 65,521.00 0.030% X X 225,000.00 0.103% X X 2,285,488.00 1.044% X X 26,902,296.00 12.293% X X ---------- Total not discl. 13.470% 18,296.00 0.008% 5,818,110.00 2.659% X X 21,665,030.00 9.900% X X 3,484,152.00 1.592% X X Direct Owner Mr. Haas entered into two forward purchase contracts, each dated October 23, 2006, with Bank of America, N.A. (the "Broker"), regarding the terms of disposition of an aggregate of 225,000 shares of Common Stock. In return for an up-front payment from the Broker received in October, 2006 the amount of which was determined in accordance with a formula under each forward purchase contract, Mr. Haas agreed to deliver to the Broker a number of shares of Common Stock equal to a formula under the forward purchase contracts, to be calculated on the cash settlement dates thereunder 39 months after the October 23, 2006 contract date. Undersigned is also co-trustee and beneficiary of a trust. Undersigned is co-trustee and beneficiary of a trust established 12/21/45. Under the Issuer's compensation plan for service as an Issuer director, as of December 31, 2006, Mr. Haas has accrued rights to acquire 18,296 shares of Common Stock. Under such plan, a director is not entitled to receive the actual accrued shares until he ceases to serve as a director of the Issuer, and then the former director may elect to have issued to him the accrued shares over a number of years. Mr. Haas continues to presently serve as a director of the Issuer. (Subsequent to December 31, 2006 on January 8, 2006, Mr. Haas accrued rights under such plan for an additional 738 shares of Common Stock in respect of service as a director from January 1, 2007 through April 30, 2007, bringing his total under such plan to 19,034 shares of Common Stock.) Undersigned is co-trustee and beneficiary of a charitable trust established 8/3/55. Any "Beneficial Interest" in this trust is disclaimed. Undersigned is co-trustee and beneficiary of a charitable trust established 9/28/56. Any "Beneficial Interest" in this trust is disclaimed. The Phoebe W. Haas Charitable Trust established 8/24/61 as a single trust was divided into two separate but equal parts effective February 1, 1972. The undersigned is co-trustee of one such part. Any "Beneficial Interest" in this trust is disclaimed.
Item 5 Ownership of Five Percent or Less of a Class: Not applicable. Item 6 Ownership of More than Five Percent on Behalf of Another Person: See Item 4 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 a Group: Not applicable. Item 10 Certification: Not Applicable 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. Dated: February 22, 2007 By: /S/ Thomas Willaman Haas By His Attorney-in-Fact Stephen Kutenplon --------------------------------- Name: Thomas Willaman Haas By His Attorney-in-Fact Stephen Kutenplon -----END PRIVACY-ENHANCED MESSAGE-----