-----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, WoQDmVNkPwrYxShAnPRilLvgled9ng3JnnJF+p1nxKMMPfVNNSaUsecTpQLY99GU 8ejGQBV0lIZJZf3rE6Slew== 0000898822-99-000719.txt : 19991230 0000898822-99-000719.hdr.sgml : 19991230 ACCESSION NUMBER: 0000898822-99-000719 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991219 FILED AS OF DATE: 19991229 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PHARMACIA & UPJOHN INC CENTRAL INDEX KEY: 0000949573 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 980155411 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-11557 FILM NUMBER: 99783296 BUSINESS ADDRESS: STREET 1: 95 CORPORATE DR CITY: BRIDGEWATER STATE: NJ ZIP: 08807-0995 BUSINESS PHONE: 8887685501 MAIL ADDRESS: STREET 1: 7000 PORTGAGE ROAD CITY: KALAMAZOO STATE: MI ZIP: 49001 COMPANY DATA: COMPANY CONFORMED NAME: MONSANTO CO CENTRAL INDEX KEY: 0000067686 STANDARD INDUSTRIAL CLASSIFICATION: CHEMICALS & ALLIED PRODUCTS [2800] OWNER IRS NUMBER: 430420020 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 800 N LINDBERGH BLVD CITY: ST LOUIS STATE: MO ZIP: 63167 BUSINESS PHONE: 3146941000 MAIL ADDRESS: STREET 1: 800 NORTH LINDBERGH BLVD CITY: ST LOUIS STATE: MO ZIP: 63167 FORMER COMPANY: FORMER CONFORMED NAME: MONSANTO CHEMICAL CO DATE OF NAME CHANGE: 19711003 3 1 FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 Person MONSANTO COMPANY - -------------------------------------------------------------------------------- (Last) (First) (Middle) 800 NORTH LINDBERGH BOULEVARD - -------------------------------------------------------------------------------- (Street) ST. LOUIS MISSOURI 63167 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) DECEMBER 19, 1999 ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person (if an entity) 43-0420020 ________________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol PHARMACIA & UPJOHN, INC. (SYMBOL: PNU) ________________________________________________________________________________ 5. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 6. If Amendment, Date of Original (Month/Day/Year) ________________________________________________________________________________ 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 Beneficially Owned ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) 1 of 4 FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ OPTION (SEE (SEE COMMON STOCK 77,388,932 GENERALLY D (CONTINGENT RIGHT ATTACHED) ATTACHED) $50.25 PER TO BUY)(SEE ATTACHED) SHARE (SEE ATTACHED) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (See attached) (See attached) - --------------------------------------------- ----------------------- Signature of Reporting Person Date 2 of 4 FORM 3 CONTINUATION SHEET EXPLANATION OF RESPONSE This Initial Statement of Beneficial Ownership on Form 3 (this "Form") is filed by Monsanto Company, a Delaware corporation ("Monsanto"). On December 19, 1999, Monsanto, MP Sub, Incorporated, a wholly-owned subsidiary of Monsanto ("Merger Sub"), and Pharmacia & Upjohn, Inc. ("PNU") entered into an Agreement and Plan of Merger (the "Merger Agreement") providing for, among other things, the merger of Merger Sub with and into PNU (the "Merger"). In connection with the Merger Agreement, Monsanto and PNU entered into an Option Agreement (the "PNU Option Agreement"), dated as of December 19, 1999, under which PNU granted Monsanto an option (the "PNU Option") to purchase up to 77,388,932 shares of Common Stock, par value $.01 per share, of PNU ("PNU Common Stock"), representing 14.9% of the issued and outstanding PNU Common Stock on the date of grant, at an exercise price of $50.25 per share, subject to certain customary anti-dilution adjustments. In connection with the Merger Agreement, Monsanto and PNU also entered into an option agreement, dated as of December 19, 1999, under which Monsanto granted PNU an option to purchase up to 94,744,810 shares of Common Stock, par value $2.00 per share, of Monsanto at an exercise price equal to $41.75 per share. Except in certain limited circumstances, Monsanto may not exercise the PNU Option until a termination of the Merger Agreement pursuant to certain of the termination provisions contained therein. Prior to the PNU Option becoming exercisable, Monsanto expressly disclaims beneficial ownership of the shares of PNU Common Stock which are purchasable by Monsanto thereunder. Neither the filing of this Form nor any of its contents shall be deemed to constitute an admission that Monsanto is the beneficial owner of the shares of PNU Common Stock subject to the PNU Option for purposes of Section 13(d) or 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose and such beneficial ownership is expressly disclaimed. The foregoing summary of the PNU Option Agreement is qualified in its entirety by reference to such agreement, which has been filed as an exhibit to Monsanto's Schedule 13D filed with respect to PNU on the date hereof. 3 of 4 SIGNATURES OF REPORTING PERSONS Dated: December 29, 1999. Monsanto Company By: \s\ Janet L. Horgan ------------------------------- Name: Janet L. Horgan Title: Assistant Secretary 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----