-----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, DZ6CqflsGLkqNnbJYqKbIMEp8wKNnslcEIl2ey9IP39pehbiPc49rYFc8V0sSrsl FJr+7RimeEAihaly+DaqQg== 0000944209-98-001651.txt : 19980925 0000944209-98-001651.hdr.sgml : 19980925 ACCESSION NUMBER: 0000944209-98-001651 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980911 FILED AS OF DATE: 19980915 DATE AS OF CHANGE: 19980924 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED STATES FILTER CORP CENTRAL INDEX KEY: 0000318025 STANDARD INDUSTRIAL CLASSIFICATION: 3580 IRS NUMBER: 330266015 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-09534 FILM NUMBER: 98709971 BUSINESS ADDRESS: STREET 1: 40-004 COOK ST CITY: PALM DESERT STATE: CA ZIP: 92211 BUSINESS PHONE: 7603400098 MAIL ADDRESS: STREET 1: 40-004 COOK STREET CITY: PALM DESERT STATE: CA ZIP: 92211 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN TOXXIC CONTROL INC DATE OF NAME CHANGE: 19910401 FORMER COMPANY: FORMER CONFORMED NAME: NOVAN ENERGY INC DATE OF NAME CHANGE: 19871227 COMPANY DATA: COMPANY CONFORMED NAME: HECKMANN RICHARD J CENTRAL INDEX KEY: 0000904781 STANDARD INDUSTRIAL CLASSIFICATION: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 40-004 COOK ST CITY: PALM DESERT STATE: CA ZIP: 92211 BUSINESS PHONE: 7603418111 MAIL ADDRESS: STREET 1: 40-004 COOK ST CITY: PALM DESERT STATE: CA ZIP: 92211 4 1 FORM 4 =============================================================================== /------------------------------/ / OMB APPROVAL / /------------------------------/ / OMB Number: 3235-0287 / / Expires: April 30, 1997 / / Estimated average burden / / hours per response...... 0.5 / /------------------------------/ +--------+ | FORM 4 | U.S. SECURITIES AND EXCHANGE COMMISSION +--------+ WASHINGTON, D.C. 20549 [_] Check this box if no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP to Section 16. Form 4 or Form 5 Filed pursuant to Section 16(a) of the Securities obligations may Exchange Act of 1934, Section 17(a) of the continue. See Public Utility Holding Company Act of 1935 or Instruction 1(b). Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Heckmann Richard J. - - -------------------------------------------------------------------------------- (Last) (First) (Middle) 40-004 Cook Street - - -------------------------------------------------------------------------------- (Street) Palm Desert, CA 92211 - - -------------------------------------------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol United States Filter Corp. (USF) ----------------------------------- 3. IRS or Identification Number of Reporting Person if an entity (Voluntary) ###-##-#### --------------- 4. Statement for Month/Year September 1998 --------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) --------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [X] Officer [ ] 10% Owner [ ] Other (give title below) (specify below) President, Chief Executive Officer ---------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) ____ 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
- - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature of action action or Disposed of (D) Securities ship of In- Security Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Instr. 3) (Month/ (Instr. 8) Owned at Direct Bene- Day/ ----------------------------------------------- End of (D) or ficial Year) Month Indirect Owner- Code V Amount (A) or Price (Instr. 3 and 4) (I) ship (D) (Instr. 4) (Instr. 4) - - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 09/11/1998 P 5,000 A $17.4375 647,658 D - - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 17,024 I Spouse & Children - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If this form is filed by more than one reporting person, see Instruction 4(b)(v). PAGE: 1 OF 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 Derivative 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- Security (Instr. 3) sion or action tion Code ative Securities Exercise Date (Instr. 8) Acquired (A) or Price of (Month/ Disposed of (D) Deriv- Day/ (Instr. 3, 4, and 5) ative Year) Security --------------------------------------------------- Code V (A) (D) - - ----------------------------------------------------------------------------------------------------------------------------- Stock Option $9.2778 - - ----------------------------------------------------------------------------------------------------------------------------- Stock Option $9.8334 - - ----------------------------------------------------------------------------------------------------------------------------- Stock Option $8.5278 - - ----------------------------------------------------------------------------------------------------------------------------- Stock Option $10.0417 - - ----------------------------------------------------------------------------------------------------------------------------- Stock Option $18.6666 - - ----------------------------------------------------------------------------------------------------------------------------- Stock Option $19.5000 - - ----------------------------------------------------------------------------------------------------------------------------- Stock Option $27.2500 - - ----------------------------------------------------------------------------------------------------------------------------- - - ----------------------------------------------------------------------------------------------------------------------------- - - ----------------------------------------------------------------------------------------------------------------------------- - - -----------------------------------------------------------------------------------------------------------------------------
TABLE II--DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities)--CONTINUED
- - ------------------------------------------------------------------------------------------------------------------------------ 6. Date Exercisable 7. Title and Amount of 8. Price 9. Number 10. Owner- 11. Na- and Expiration Underlying Securities of of Deriv- ship ture Date (Month/Day/ (Instr. 3 and 4) Deriv- ative Form of In- Year) ative Secur- of De- direct Secur- ities rivative Bene- ity Bene- Secu- ficial (Instr. ficially rity: Owner- ---------------------------------------------------- 5) Owned Direct ship Date Expira- Amount or at End (D) or (Instr. Exer- tion Title Number of of Indi- 4) cisable Date Shares Month rect (1) (Instr. 4) (Instr. 4) - - ------------------------------------------------------------------------------------------------------------------------------ 06/08/1993 12/07/2002 Common Stock 19,150 19,150 D - - ------------------------------------------------------------------------------------------------------------------------------ 06/14/1994 12/13/2003 Common Stock 90,000 90,000 D - - ------------------------------------------------------------------------------------------------------------------------------ 02/19/1995 08/18/2004 Common Stock 90,000 90,000 D - - ------------------------------------------------------------------------------------------------------------------------------ 10/25/1995 04/24/2005 Common Stock 225,000 225,000 D - - ------------------------------------------------------------------------------------------------------------------------------ 10/01/1996 04/01/2006 Common Stock 112,500 112,500 D - - ------------------------------------------------------------------------------------------------------------------------------ 01/15/1997 07/14/2006 Common Stock 75,000 75,000 D - - ------------------------------------------------------------------------------------------------------------------------------ 01/01/1998 06/30/2007 Common Stock 150,000 150,000 D - - ------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: **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. /s/ Richard J. Heckmann 9/14/98 ------------------------------- ----------------- **Signature of Reporting Person Date Heckmann, Richard J. United States Filter Corp. SEP-1998 PAGE: 2 OF 2 -----END PRIVACY-ENHANCED MESSAGE-----