-----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, VKptKqmevgx7hzU678IlKP3LAbXyxdMnqAlbbBHwwebvgR4bpnPm2QYpxXLfx8bO yuA+4mH/fWYI3NnhUdiJDA== 0000950124-98-006726.txt : 19981118 0000950124-98-006726.hdr.sgml : 19981118 ACCESSION NUMBER: 0000950124-98-006726 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19981116 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KEEBLER FOODS CO CENTRAL INDEX KEY: 0001018848 STANDARD INDUSTRIAL CLASSIFICATION: COOKIES & CRACKERS [2052] IRS NUMBER: 363839556 STATE OF INCORPORATION: DE FISCAL YEAR END: 0102 FILING VALUES: FORM TYPE: 144 SEC ACT: SEC FILE NUMBER: 001-13705 FILM NUMBER: 98750713 BUSINESS ADDRESS: STREET 1: 677 LARCH AVE CITY: ELMHURST STATE: IL ZIP: 60126 BUSINESS PHONE: 6308332900 FORMER COMPANY: FORMER CONFORMED NAME: KEEBLER CORP DATE OF NAME CHANGE: 19960715 COMPANY DATA: COMPANY CONFORMED NAME: LOTKER JACK M CENTRAL INDEX KEY: 0001053897 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: 677 KARCH AVE CITY: ELMHURST STATE: IL ZIP: 60126 BUSINESS PHONE: 2123711717 MAIL ADDRESS: STREET 1: 135 E 57TH ST CITY: NEW YORK STATE: NY ZIP: 10022 144 1 NTC OF SALE OF SECURITIES 1 --------------------- OMB APPROVAL --------------------- OMB Number: 3236-0101 Expires: May 31, 2000 Estimated average burden hours per response ........ 2.0 UNITED STATES --------------------- SECURITIES AND EXCHANGE COMMISSION --------------------- WASHINGTON, DC 20549 SEC USE ONLY FORM 144 --------------------- NOTICE OF PROPOSED SALE OF SECURITIES Document Sequence No. PURSUANT TO RULE 144 UNDER THE SECURITIES --------------------- ACT OF 1933 CUSIP Number ATTENTION: TRANSMIT FOR FILING THREE COPIES OF THIS FORM --------------------- CONCURRENTLY WITH EITHER PLACING AN ORDER WITH Work Location A BROKER TO EXECUTE SALE OR EXECUTING A SALE DIRECTLY WITH A MARKET MAKER. --------------------- - --------------------------------------------------------------------------------------------------------- 1(a) Name of Issuer (b) I.R.S. Ident. No. (c) S.E.C. File No. Keebler Foods Company 36-383-9556 001-13705 - ------------------------------------------------------------------------------------------------------------------------------------ 1(d) Address of Issuer Street City State Zip Code (e) Telephone No. ------------------------ 677 Larch Ave Elmhurst IL 60010 Area Code Number 630 782-7026 - ------------------------------------------------------------------------------------------------------------------------------------ 2(a) Name of Person For Whose Account (b) Social Security (c) Relationship (d) Address Street City State Zip Code the Securities are to be Sold No. or I.R.S. to Issuer Ident. No. Jack M. Lotker ###-##-#### Officer 1 Lakeside Lane North Barrington, IL 60010 - ------------------------------------------------------------------------------------------------------------------------------------
INSTRUCTION: THE PERSON FILING THIS NOTICE SHOULD CONTACT THE ISSUER TO OBTAIN THE I.R.S. IDENTIFICATION NUMBER AND THE S.E.C. FILE NUMBER - ------------------------------------------------------------------------------------------------------------------------------ 3(a) (b) (c) (d) Title of the Name and Address of Each Broker S.E.C. USE ONLY Number of Shares Aggregate Class of Through Whom the Securities Are to be --------------- or Other Units Market Securities Offered or Each Market Maker Who is Broker-Dealer to be Sold Value to be Sold Acquiring the Securities File Number (See Instr. 3(c)) (See Instr. 3(d)) - ------------------------------------------------------------------------------------------------------------------------------ Keebler Foods Harris Investor Direct $ 325,000 Co. Common 111 W. Monroe, 19 East 10,000 at Stock Chicago, IL 60603 11/12/98 - ------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------ 3(a) (e) (f) (g) Title of the Number of Shares Approximate Name of Each Class of or Other Units Date of Sale Securities Securities Outstanding (See Instr. 3(f)) Exchange to be Sold (See Instr. 3(e)) (Mo., Day, Yr.) (See Instr. 3(g)) - ------------------------------------------------------------------------------------------------ Keebler Foods Co. Common 83,987,487 11/13/98 NYSE Stock - ------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------ INSTRUCTIONS: 1. (a) Name of issuer (b) Issuer's I.R.S. Identification Number (c) Issuer's S.E.C. file number, if any (d) Issuer's address, including zip code (e) Issuer's telephone number, including area code 2. (a) Name of person for whose account the securities are to be sold (b) Such person's Social Security or I.R.S. Identification number (c) Such person's relationship to the issuer (e.g., officer, director, 10 percent stockholder, or member of immediate family of any of the foregoing) (d) Such person's address, including zip code 3. (a) Title of the class of securities to be sold (b) Name and address of each broker through whom the securities are intended to be sold (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold
2 TABLE I AND TABLE II TABLE I--SECURITIES TO BE SOLD FURNISH THE FOLLOWING INFORMATION WITH RESPECT TO THE ACQUISITION OF THE SECURITIES TO BE SOLD AND WITH RESPECT TO THE PAYMENT OF ALL OR ANY PART OF THE PURCHASE PRICE OR OTHER CONSIDERATION THEREFOR: - --------------------------------------------------------------------------------------------------------------------------------- Title of Date You Nature of Acquisition Name of Person From Amount of Date of Nature of Payment the Class Acquired Transaction Whom Acquired Securities Payment (If gift, also give Acquired date donor acquired) - --------------------------------------------------------------------------------------------------------------------------------- Keebler Foods Company May 10, 100% Purchased Keebler Foods May 10, Common Stock 1996 for cash Company Issuer 100,318 1997 Cash - --------------------------------------------------------------------------------------------------------------------------------- INSTRUCTIONS: 1. If the securities were purchased and full payment therefore was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. 2. If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto. - ------------------------------------------------------------------------------------------------------------------------------------ TABLE II--SECURITIES SOLD DURING THE PAST THREE MONTHS FURNISH THE FOLLOWING INFORMATION AS TO ALL SECURITIES OF THE ISSUER SOLD DURING THE PAST THREE MONTHS BY THE PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD: - ------------------------------------------------------------------------------------------------------------------------------------ Name and Address of Seller Title of Securities Sold Date of Sale Amount of Gross Procceds Securities Sold - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ REMARKS: INSTRUCTIONS: See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. November 13, 1998 ---------------------------------------- (Date of Notice) ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the issuer of the securities to be sold which has not been publicly disclosed. James T. Willard ---------------------------------------- (Signature) The notice shall be signed by the persons for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. ATTENTION: INTERNATIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001).
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