-----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, FXLFOjo8uteUw8BvO436tta6SKoEnt99rkTrJvHe34mDjDIMuNm01Git+/5u9B/w OYw0zHVtife2DQ0bRxT6Dg== 0000903423-01-000187.txt : 20010412 0000903423-01-000187.hdr.sgml : 20010412 ACCESSION NUMBER: 0000903423-01-000187 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010331 FILED AS OF DATE: 20010411 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CHARLES RIVER LABORATORIES INTERNATIONAL INC CENTRAL INDEX KEY: 0001100682 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-15943 FILM NUMBER: 1600145 BUSINESS ADDRESS: STREET 1: 261 BALLARDVALE STREET CITY: WILMINGTON STATE: MA ZIP: 01867 BUSINESS PHONE: 9786586000 MAIL ADDRESS: STREET 1: 251 BALLARDVALE ST CITY: WILMINGTON STATE: MA ZIP: 01887 FORMER COMPANY: FORMER CONFORMED NAME: CHARLES RIVER LABORATORIES HOLDINGS INC DATE OF NAME CHANGE: 19991208 COMPANY DATA: COMPANY CONFORMED NAME: CREDIT SUISSE FIRST BOSTON/ CENTRAL INDEX KEY: 0000824468 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: PO BOX 900 STREET 2: FHLS CITY: ZURICH SWITZERLAND MAIL ADDRESS: STREET 1: PO BOX 900 CITY: ZURICH SWITZERLAND FORMER COMPANY: FORMER CONFORMED NAME: CREDIT SUISSE DATE OF NAME CHANGE: 19921119 4 1 0001.txt OMB APPROVAL OMB Number: 3235-0287 Expires December 31, 2001 Estimated average burden hours per response...........0.5 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* Credit Suisse First Boston, on behalf of the Credit Suisse First Boston business unit - -------------------------------------------------------------------------------- (Last) (First) (Middle) 11 Madison Avenue - -------------------------------------------------------------------------------- (Street) New York NY 10010 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Charles River Laboratories International, Inc. (CRL) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year March 2001 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by one Reporting Person [_] Form filed by more than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================ 6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 1,572,440 D 4,607,896 (I) (1)(13)(16) (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 62,621 D 183,508 (I) (2)(13)(16) (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 77,324 D 226,592 (I) (3)(13)(16) (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 91,932 D 269,396 (I) (4)(14)(16) (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 34,141 D 100,046 (I) (5)(14)(16) (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 320,783 D 940,028 (I) (6)(16) (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 25,424 D 74,505 (I) (7)(13)(16) (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 4,961 D 14,528 (I) (8)(13)(16) (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 7,060 D 20,690 (I) (9)(15) (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 621,857 D 2,065,640 (I) (11)(15) (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 2,586 D 9,305 (I) (12)(15) (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 177,165 D 638,757 (I) (18)(19)(21) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 10,630 D 38,326 (I) (18)(19)(22) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 395,253 D 1,425,065 (I) (16)(18)(19) (23)(27)(28) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 56,324 D 177,317 (I) (16)(18) (19)(24) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/21/01 S 592 D 2,131 (I) (18)(19)(20) - ------------------------------------------------------------------------------------------------------------------------------------
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 control number. SEC 1474 (3-99) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================ 10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $0.01 Immed. 04/01/10 Common 1,061,462 1,061,462(+) (I) (1) (13) Stock (16)(18) (19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $0.01 Immed. 04/01/10 Common 42,264 42,264(+) (I) (2) (13) Stock (16)(18) (19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $0.01 Immed. 04/01/10 Common 52,183 52,183(+) (I) (3) (13) Stock (16)(18) (19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $0.01 Immed. 04/01/10 Common 62,053 62,053(+) (I) (4) (14) Stock (16)(18 (19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $0.01 Immed. 04/01/10 Common 23,039 23,039(+) (I) (5) (14) Stock (16)(18) (19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $0.01 Immed. 04/01/10 Common 190,746 190,746(+) (I) (6) (16) Stock (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $0.01 Immed. 04/01/10 Common 17,158 17,158(+) (I) (7) (13) Stock (16)(18) (19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $0.01 Immed. 04/01/10 Common 3,349 3,349(+) (I) (8) (13) Stock (16)(18) (19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $0.01 Immed. 04/01/10 Common 4,781 4,781(+) (I) (9) (15) Stock (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $0.01 Immed. 04/01/10 Common 225,974 225,974(+) (I) (11)(15) Stock (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $0.01 Immed. 04/01/10 Common 2,040 2,040(+) (I) (12)(15) Stock (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $5.19 10/21/01 10/01/09 Common 20,102 20,102 +) (I) (11)(15) Stock (18)(19) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $5.19 10/21/01 10/01/09 Common 184,167 184,167(+) (I) (16)(18) Stock (19)(23) (27)(28) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $5.19 10/21/01 10/01/09 Common 23,943 23,943(+) (I) (16)(18) Stock (19)(24) - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (+) This number represents the aggregate number of shares of Common Stock underlyingthe Warrants beneficially owned at the end of the month. See Attachment A for footnotes: Credit Suisse First Boston, acting solely on behalf of the Credit Suisse First Boston business unit /s/ Lindsay Hollister 4/10/01 - --------------------------------------------- --------- By: Lindsay Hollister, Director Date **Signature of Reporting Person ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided 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. Attachment A Explanation of Responses (1) These securities are held directly by DLJ Merchant Banking Partners II, L.P. ("Partners II"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (2) These securities are held directly by DLJ Merchant Banking Partners II-A, L.P., ("Partners II-A"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (3) These securities are held directly by DLJ Offshore Partners II, C.V. ("Offshore Partners II"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (4) These securities are held directly by DLJ Diversified Partners, L.P. ("Diversified"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (5) These securities are held directly by DLJ Diversified Partners-A, L.P. ("Diversified-A"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (6) These securities are held directly by DLJMB Funding II, Inc. ("Funding II"), which is a Delaware corporation, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (7) These securities are held directly by DLJ Millennium Partners, L.P. ("Millennium"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (8) These securities are held directly by DLJ Millennium Partners-A, L.P. ("Millennium-A"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (9) These securities are held directly by DLJ EAB Partners, L.P. ("EAB"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (10) (Intentionally omitted.) (11) These securities are held directly by DLJ ESC II, L.P. ("ESC II"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (12) These securities are held directly by DLJ First ESC, L.P. ("ESC"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (13) DLJ Merchant Banking II, Inc. ("MB II INC") is the Managing General Partner of each of Partners II, Partners II-A, Millennium, and Millennium-A and Advisory General Partner of Offshore Partners II. In addition, DLJ Merchant Banking II, LLC ("MB II LLC") is the Associate General Partner of each of Partners II, Partners II-A, Offshore Partners II, Millennium, Millennium-A, and EAB. MB II INC is also the Managing Member of MB II LLC. (14) DLJ Diversified Partners, Inc. ("Diversified Partners") is the General Partner of each of Diversified and Diversified-A. DLJ Diversified Associates, L.P. ("Diversified Associates") is the Associate General Partner of each of Diversified and Diversified-A. Diversified Partners is also the General Partner of Diversified Associates. (15) DLJ LBO Plans Management Corporation is the Managing General Partner of EAB, ESC and ESC II. (16) DLJ Capital Investors, Inc. ("DLJCI") is the sole stockholder of each of MB II INC, Diversified Partners, Funding II and DLJ Investment Funding, Inc. ("IP Funding"). (17) (Intentionally omitted.) (18) Credit Suisse First Boston (USA) Inc. ("CSFB-USA"), a Delaware corporation formerly named Donaldson, Lufkin & Jenrette, Inc., is the parent of each of DLJCC, DLJCI and DLJ LBO Plans Management Corporation. (19) This Form 4 is being filed by Credit Suisse First Boston (the "Bank"), a Swiss bank, on behalf of itself and its subsidiaries, to the extent that they constitute part of the Credit Suisse First Boston business unit (the "CSFB business unit" or the "Reporting Person"). The CSFB business unit is engaged in the corporate and investment banking, trading (equity, fixed income and foreign exchange), private equity investment and derivatives businesses on a worldwide basis. The Bank and its subsidiaries engage in other separately managed activities, most of which constitute the independently operated Credit Suisse Asset Management business unit; the Credit Suisse Asset Management business unit provides asset management and investment advisory services to institutional investors worldwide. Credit Suisse First Boston, Inc. ("CSFBI"), a Delaware corporation, owns 100% of the voting stock of CSFB-USA. The Bank owns a majority of the voting stock, and all of the non-voting stock, of CSFBI. The ultimate parent company of the Bank and CSFBI, and the direct owner of the remainder of the voting stock of CSFBI, is Credit Suisse Group, a corporation formed under the laws of Switzerland ("CSG"). The principal business of CSG is acting as a holding company for a global financial services group with five distinct specialized business units that are independently operated. In addition to the two business units referred to above, CSG and its consolidated subsidiaries (other than the Bank and its subsidiaries) are comprised of (a) the Credit Suisse Private Bank business unit that engages in the global private banking business; (b) the Credit Suisse business unit that engages in the Swiss domestic banking business and (c) the Winterthur business unit that engages in the global insurance business. CSG's business address is Paradeplatz 8, Postfach 1, CH-8070, Zurich, Switzerland. CSG, for purposes of federal securities laws, may be deemed ultimately to control the Bank, and the CSFB business unit. CSG, its executive officers and directors, and its direct and indirect subsidiaries (including all of the business units except the CSFB business unit), may beneficially own securities issued by the Issuer or derivative securities relating thereto, and any such securities are not reported in this statement. Due to the separate management and independent operation of its business units, CSG disclaims beneficial ownership of any such securities beneficially owned by its direct and indirect subsidiaries, including the Reporting Person. The Reporting Person disclaims beneficial ownership of any such securities beneficially owned by CSG and any of CSG's and the Bank's other business units. The Reporting Person disclaims beneficial ownership of securities held directly by any entity described herein except with respect to the Reporting Person's proportionate interest in or ownership of such entity. The filing of this statement shall not be construed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, as an admission of beneficial ownership of the securities reported on this statement. (20) These securities are held directly by DLJCC, which is a corporation, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (21) These securities are held directly by Sprout Capital VIII, L.P. ("Sprout VIII"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. DLJCC is the Managing General Partner of Sprout VIII. (22) These securities are held directly by Sprout Venture Capital, L.P. ("Sprout"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. DLJCC is the general partner of Sprout. (23) These securities are held directly by DLJ Investment Partners, L.P. ("DLJIP"), which is a partnership, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (24) These securities are held directly by IP Funding, and indirectly through its interest in CRL Acquisition LLC, a limited liability company. (25) (Intentionally omitted.) (26) (Intentionally omitted.) (27) DLJ Investment Partners, Inc. is the general partner of DLJIP. (28) IP Funding is the sole shareholder of DLJ Investment Partners, Inc.
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