-----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, A6LmeUazOX5+E9i6/oWgzPTL1dq99FtUC912JLzAIKs3z1S/t1rzVqi48AjfJesG kDx24Ib9FN8MvG59pRTYbg== 0000020405-98-000066.txt : 19980317 0000020405-98-000066.hdr.sgml : 19980317 ACCESSION NUMBER: 0000020405-98-000066 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980313 SROS: CSX SROS: NYSE SROS: PCX GROUP MEMBERS: 399 VENTURE PARTNERS, INC. GROUP MEMBERS: CITIBANK, N.A. GROUP MEMBERS: CITICORP GROUP MEMBERS: CITICORP VENTURE CAPITAL LTD. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ERGO SCIENCE CORP CENTRAL INDEX KEY: 0001002212 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 050451598 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-45109 FILM NUMBER: 98565469 BUSINESS ADDRESS: STREET 1: CHARLESTOWN NAVY YARD STREET 2: FOURTH FL 100 FIRST AVE CITY: CHARLESTOWN STATE: MA ZIP: 02129 BUSINESS PHONE: 6172416800 MAIL ADDRESS: STREET 1: CHARLESTOWN NAVY YARD STREET 2: FOURTH FL 100 FIRST AVE CITY: CHARLESTOWN STATE: MA ZIP: 02129 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CITICORP CENTRAL INDEX KEY: 0000020405 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 132614988 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 399 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10043 BUSINESS PHONE: 2125591000 MAIL ADDRESS: STREET 1: 425 PARK AVE- 2ND F STREET 2: ATTN: LEGAL AFFAIRS OFFICE CITY: NEW YORK STATE: NY ZIP: 10043 FORMER COMPANY: FORMER CONFORMED NAME: FIRST NATIONAL CITY CORP DATE OF NAME CHANGE: 19740414 FORMER COMPANY: FORMER CONFORMED NAME: CITY BANK OF NEW YORK NATIONAL ASSOCIATI DATE OF NAME CHANGE: 19680903 SC 13G 1 ERGO SCIENCE CORP SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. ) ERGO Science Corp ------------------------------------------------------------ (Name of Issuer) Common Stock ------------------------------------------------------------ (Title of Class of Securities) 29481E 10 6 ------------------------------------ (CUSIP Number) ---- Check the following box if a fee is being paid with this statement I X I. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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). (Continued on following page(s)) Page 1 of 7 Pages CUSIP No. 29481E106 13G Page 2 of 7 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Citicorp 13-2614988 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a)_______ (b)_______ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF None SHARES ----------------------------------------------------------- 6 SHARED VOTING POWER BENEFICALLY None OWNED BY ----------------------------------------------------------- 7 SOLE DISPOSITIVE POWER EACH None REPORTING ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER PERSON None WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON None, except through its wholly-owned subsidiary, Citibank, N.A., and its wholly-owned subsidiary, Citicorp Venture Capital Ltd. - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 See Line 9, above - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * HC - -------------------------------------------------------------------------------- * SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 29481E106 13G Page 3 of 7 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Citibank, N.A. 13-5266470 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a)_______ (b)_______ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION a national banking association - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF None SHARES ----------------------------------------------------------- 6 SHARED VOTING POWER BENEFICALLY None OWNED BY ----------------------------------------------------------- 7 SOLE DISPOSITIVE POWER EACH None REPORTING ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER PERSON None WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON None, except through its wholly-owned subsidiary, Citicorp Venture Capital Ltd. - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 see line 9, above - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * BK - -------------------------------------------------------------------------------- * SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 29481E106 13G Page 4 of 7 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Citicorp Venture Capital Ltd. 13-2598089 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a)_______ (b)_______ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 1,678,910 SHARES ----------------------------------------------------------- 6 SHARED VOTING POWER BENEFICALLY None OWNED BY ----------------------------------------------------------- 7 SOLE DISPOSITIVE POWER EACH 1,678,910 REPORTING ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER PERSON None WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,678,910 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 12.58% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * CO - -------------------------------------------------------------------------------- * SEE INSTRUCTION BEFORE FILLING OUT! Page 5 of 7 Pages SCHEDULE 13G ITEM 1(A) NAME OF ISSUER: ERGO Science Corp. ITEM 1(B) ADDRESS OF ISSUER'S PRINCIPAL 100 1st Avenue Charleston, Mass. 02109 ITEM 2(A) NAMES OF PERSONS: Citicorp and its wholly-owned subsidiary, Citibank, N.A., and those subsidiaries checked below: [X]Citicorp Venture Capital Ltd., a wholly-owned subsidiary of Citibank, N.A. [_]399 Venture Partners, Inc., a wholly-owned subsidiary of Citibank ITEM 2(B) ADDRESS OF PRINCIPAL BUSINESS OFFICE: Citicorp Citibank, N.A. Citicorp Venture Capital Ltd. 399 Venture Partners Inc. 399 Park Avenue New York, N.Y. 10043 ITEM 2(C) CITIZENSHIP: Citicorp: Delaware; Citibank, N.A.: A national banking association; Citicorp Venture Capital Ltd.: New York; 399 Venture Partners Inc.: Delaware; ITEM 2(D) TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(E) CUSIP NUMBER: 29481E106 ITEM 3 THE PERSONS FILING THIS SCHEDULE PURSUANT TO EITHER RULE 13D-1(B) OR RULE 13D-2(B) ARE: Citicorp: (g) Parent Holding Company, in accordance with ss.240.13d-1(b)(ii)(G). Citibank, N.A.: (b) Bank as defined in ss.3 (a)(6) oF the Act; and those subsidiaries checked below: [X] Citicorp Venture Capital Ltd.: Corporation. [_] 399 Venture Partners Inc.: Corporation. Page 6 of 7 Pages ITEM 4 OWNERSHIP (a) Total Amount Beneficially Owned: 1,678,910 (b) Percent of Class: 12.58% (c) Total Number of Shares as to which such persons have: (i) sole power to vote or to direct the vote 1,678,910 (ii) shared power to vote or to direct None (iii) sole power to dispose or to direct the disposition of 1,678,910 (iv) shared power to dispose or to direct the disposition of None ITEM 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: [x] Not applicable. [_] This statement is being filed to report the fact that as of December 31, 1997, the reporting persons had ceased to be the beneficial owners of more than five percent of the securities described. ITEM 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: None ITEM 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: See Items 2(a) and 3. ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not applicable. ITEM 9 NOTICE OF DISSOLUTION OF GROUP: Not applicable. Page 7 of 7 Pages ITEM 10 CERTIFICATION: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 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. NOTE: Signatures below are for Citicorp and Citibank, N.A., and those subsidiaries holding the issue, indicated by check below. All data shown is as of December 31, 1997. FEBRUARY 13, 1998 CITICORP ----------------- DATE By /s/George E. Seegers ----------------------------------- George E. Seegers Assistant Secretary, Citicorp CITIBANK, N.A. By /s/George E. Seegers ----------------------------------- George E. Seegers Vice President, Citibank N.A. CITICORP VENTURE CAPITAL LTD. By /s/Helene B. Shavin ----------------------------------- Helene B. Shavin Assistant Vice President 399 VENTURE PARTNERS, INC. By ----------------------------------- Helene B. Shavin Assistant Vice President Copies to: Corporate Secretary -----END PRIVACY-ENHANCED MESSAGE-----