FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
MILACRON INC [ MZ ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/02/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
6.0% Series B Convertible Preferred Stock(1) | $17.5(2) | 10/02/2007 | S | 287,500 | 06/10/2004 | 06/10/2011 | Common Stock | 3,285,714(2) | $62.39 | 0(3) | D |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. On October 2, 2007, Glencore Finance AG sold 287,500 shares of 6.0% Series B Convertible Preferred Stock beneficially owned by it to Ohio Plastics, LLC, for an aggregate purchase price of $17,937,500, or approximately $62.39 per share. |
2. The conversion price and number of underlying shares of common stock in respect of the 6.0% Series B Convertible Preferred Stock disposed of by Glencore Finance AG has been adjusted in light of a 1-for-10 reverse stock split effected by Milacron Inc. in May 2007. |
3. As of the date hereof, Glencore Finance AG continues to beneficially own certain contingent warrants issued to it on March 15, 2004. Such contingent warrants were not sold by Glencore Finance AG pursuant to the transaction described in the first sentence of note 1 above. Such contingent warrants entitle Glencore Finance AG to purchase 57,500 shares of common stock of Milacron Inc. (after taking into account the reverse split referenced in note 2 above). As of the date hereof, Glencore Finance AG has not exercised any of the contingent warrants beneficially owned by it. |
GLENCORE FINANCE AG, /s/ Andreas Hubmann, Director | 10/04/2007 | |
GLENCORE FINANCE AG, /s/ Barbara Wolfensberger, Director | 10/04/2007 | |
GLENCORE INTERNATIONAL AG, /s/ Lotti Grenacher, Officer | 10/04/2007 | |
GLENCORE INTERNATIONAL AG, /s/ Andreas Hubmann, Officer | 10/04/2007 | |
GLENCORE HOLDING AG, /s/ Willy R. Strothotte, Officer | 10/04/2007 | |
GLENCORE HOLDING AG, /s/ Ivan Glasenberg, Officer | 10/04/2007 | |
** Signature of Reporting Person | Date | |
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). | ||
** 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 is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |