-----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, K06LOYV8CdYmqovX/q1A+xnOvc/KnuA/dz9iNZjG9iF4+NkkYtlcqGyJR8SKkF6x w9YWZoqknFy5ASO08s3YNg== 0000950137-98-000341.txt : 19980209 0000950137-98-000341.hdr.sgml : 19980209 ACCESSION NUMBER: 0000950137-98-000341 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980203 FILED AS OF DATE: 19980206 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KEEBLER FOODS CO CENTRAL INDEX KEY: 0001018848 STANDARD INDUSTRIAL CLASSIFICATION: COOKIES & CRACKERS [2052] IRS NUMBER: 361894790 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-13705 FILM NUMBER: 98523051 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: ARTAL GROUP S A CENTRAL INDEX KEY: 0001053906 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 39 BOULEVARD ROYAL STREET 2: LUXEMBOURG CITY CITY: LUXEMBOURG MAIL ADDRESS: STREET 1: 135 E 57TH ST CITY: NEW YORK STATE: NY ZIP: 10022 4 1 STATE OF CHANGES IN BENEFICIAL OWNERSHIP 1
------ |FORM 4| UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------------- ------ WASHINGTON, D.C. 20549 | OMB APPROVAL | |-----------------------------| CHECK THIS BOX IF NO LONGER |OMB Number: 3235-0287 | SUBJECT TO SECTION 16. FORM 4 OR |Expires: September 30, 1998 | FORM 5 OBLIGATIONS MAY CONTINUE. STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |Estimated average burden | SEE INSTRUCTION 1(B). |HOURS PER RESPONSE ..... 0.5 | |-----------------------------| (Print or Type Responses) Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - --------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting | 2. Issuer Name AND Ticker or Trading Symbol | 6. Relationship of Reporting | Person* | | Person(s) to Issuer (Check all | | Keebler Foods Company (KBL) | applicable) | Artal Group S.A. | | | - ------------------------------------------------------------------------------------- Director X 10% Owner | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | ----- ---- | | Security Number of | Month/Year | | | Reporting Person | | Officer (give ---- Other | 39 Boulevard Royal | (Voluntary) | February, 1998 | ----- title below) (specify | | | | below) | | | | | | | | --------------------------------------- | - ---------------------------------- | |---------------------|--------------------------------------------- (Street) | | 5. If Amendment, | 7. Individual or Joint/Group Filing | | | Date of Original | (Check Applicable Line) | | | (Month/Year) | | | | | X Form filed by One Reporting | | | | --- Person | | | | | | | | --- Form filed by More than One | Luxembourg City Luxembourg 2449 | | | Reporting Person | - ---------------------------------- |---------------------------------------------------------------------------------------------| (City) (State) (Zip) | | | | | TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | | | ================================================================================================================================== 1. Title of Security |2.Trans- | 3. Trans- | 4. Securities |5. Amount of | 6.Ownership |7. Nature | (Instr. 3) | action | action | Acquired (A) | Securities | Form: |of | | Date | Code | or Disposed of (D) | Beneficially| Direct |Indirect | | | (Instr. 8) | (Instr. 3,4 and 5) | Owned at | (D) or |Beneficial| | |------------------------------------------- End of Month| Indirect |Owner- | | (Month/| Code | V | Amount | (A) or | Price | (Instr. 3 | (I) |ship | | Day/ | | | | (D) | | and 4) | (Instr.4) |(Instr. 4)| | Year) | | | | | | | | | - ---------------------------------------------------------------------------------------------------------------------------------- Common Stock, par value $.01 | 2/3/98 | S | | 8,189,708| D | $22.56| 17,228,729 | I | | | | | | (a)| | | (a) | | | - ---------------------------------------------------------------------------------------------------------------------------------- Common Stock, par value $.01 | 2/3/98 | S | | 9,581,169| D | $27.56| 17,228,729 | I | | | | | | (a)| | | (a) | | | - ---------------------------------------------------------------------------------------------------------------------------------- | | | | | | | | | | - ---------------------------------------------------------------------------------------------------------------------------------- | | | | | | | | | | - ---------------------------------------------------------------------------------------------------------------------------------- | | | | | | | | | | - ---------------------------------------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). 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 Number. (a) As the parent entity of Artal Luxembourg S.A., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be the beneficial owner of shares of common stock, par value $.01 per share, of the Issuer (the "Issuer Common Stock") held of record or indirectly by Artal Luxembourg S.A., and therefore may be deemed to be a "ten percent beneficial owner" for purposes of Section 16 of the Act. However, pursuant to Rule 16a-1(a)(1) promulgated under the Act, the Reporting Person disclaims that it is the beneficial owner of such Issuer Common Stock, except to the extent of its pecuniary interest in such Issuer Common Stock.
2 FORM 4 (CONTINUED) TABLE II--DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of | 2. Conver- |3. Trans- | 4. Trans- | 5. Number of Derivative |6. Date Exercisable | 7. Title and Derivative | sion or | action | action | Securities Acquired | and Expiration | Amount Security | Exercise | Date | Code | (A) or Disposed of (D)| Date | of (Instr. 3) | Price of | | (Instr. 8) | (Instr. 3, 4 and 5) | | Underlying | Deriv- | (Month/ | | | (Month/Day/Year) | Securities | ative | Day/Year) | | | | (Instr. 3 | Security | | | | | and 4) | | |________________|__________________________|_____________________|__________________ | | | Code | V | (A) | (D) |Date | Expir- | | Amount | | | | | | |Exercisable| ation |Title | or Number | | | | | | | | Date | | of Shares - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- | | | | | | | | | | - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- | | | | | | | | | | - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- | | | | | | | | | | - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- | | | | | | | | | | - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- | | | | | | | | | | - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- | | | | | | | | | | - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- | | | | | | | | | | - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- | | | | | | | | | | - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- | | | | | | | | | | - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- | | | | | | | | | | - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- | | | | | | | | | | - ---------------|----------------|--------------|--------|-------|--------------|-----------|-----------|---------|-------|--------- - ------------------------------------------------------------------- 8. Price of | 9. Number of |10. Ownership |11. Nature of | Derivative | Derivative | Form of | Indirect | Security | Securities | Derivative | Beneficial | (Instr. 5) | Beneficial-| Security: | Ownership | | ly Owned at| Direct (D) | (Instr. 4) | | End of | or Indirect | | | Month | (I) | | | (Instr.4) | | | | | (Instr. 4) | | | | | | | | | | - ---------------|----------------|----------------|----------------| | | | | - ---------------|----------------|----------------|----------------| | | | | - ---------------|----------------|----------------|----------------| | | | | - ---------------|----------------|----------------|----------------| | | | | - ---------------|----------------|----------------|----------------| | | | | - ---------------|----------------|----------------|----------------| | | | | - ---------------|----------------|----------------|----------------| | | | | - ---------------|----------------|----------------|----------------| | | | | - ---------------|----------------|----------------|----------------| | | | | - ---------------|----------------|----------------|----------------| | | | | - ---------------|----------------|----------------|----------------| | | | | - ---------------|----------------|----------------|----------------| Explanation of Responses: ARTAL GROUP S.A. /s/ Paul Kohler 2/3/98 **Intentional misstatements or omissions of facts constitute Federal Criminal ----------------------------------- ----------- Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) **Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. By: Paul Kohler If space is insufficient, see Instruction 6 for procedure. 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 Number. Page 2
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