-----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, LedxaKfwNQZxXJDurWRmplUFiAtU5P9qB4hHOdKvoFFBkbrFTcmyontxUfKUoQWG w224N/vcG7AnssSpMoGKSA== 0000893220-98-001018.txt : 19980521 0000893220-98-001018.hdr.sgml : 19980521 ACCESSION NUMBER: 0000893220-98-001018 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980520 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SYNBIOTICS CORP CENTRAL INDEX KEY: 0000719483 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 953737816 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-37439 FILM NUMBER: 98629124 BUSINESS ADDRESS: STREET 1: 11011 VIA FRONTERA CITY: SAN DIEGO STATE: CA ZIP: 92127 BUSINESS PHONE: 6194513771 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: S R ONE LTD CENTRAL INDEX KEY: 0000923194 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: PA FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 565 E SWEDESFORD RD STREET 2: STE 315 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 6102932404 MAIL ADDRESS: STREET 1: BAY COLONY EXEC PARK STREET 2: 565 E SWEDESFORD RD STE 315 CITY: WAYNE STATE: PA ZIP: 19087 SC 13D/A 1 SCHEDULE 13D/AMENDMENT 1 SYNBIOTICS CORPORATION 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 1 SYNBIOTICS CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, No Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 871566105 - -------------------------------------------------------------------------------- (CUSIP Number) Donald F. Parman, SmithKline Beecham Corporation One Franklin Plaza, Philadelphia, PA 19102 Telephone 215-751-7633 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 26, 1997 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box / /. Check the following box if a fee is being paid with the statement / /. (A fee is not required only if the reporting 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.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The information required on 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). This Amendment No. 1 amends and supplements the Statement of Schedule 13D electronically filed with the Securities and Exchange Commission (the "Commission") on November 22, 1996 (the "Initial Statement") by S.R. One, Limited. The undersigned hereby amends and supplements Items 3 and 5 of the Initial Statement by the following information (capitalized terms used herein without definition shall have the same meaning as set forth in the Initial Statement). 2 SCHEDULE 13D CUSIP NO. 871566105 Page 2 of 5 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON S.R. One, Limited 23-1729901 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Pennsylvania - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF SHARES 962,652 BENEFICIALLY ----------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH REPORTING PERSON ----------------------------------------------------------------- WITH 9 SOLE DISPOSITIVE POWER 962,652 ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 962,652 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.14% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 Page 3 of 5 Pages Item 1. Security and Issuer. Item 2. Identity and Background. Item 3. Source and Amount of Funds or Other Consideration. ICG merged into SRO on September 26, 1997. In connection with this merger, SRO received 226,315 shares of Common stock of the Issuer from ICG as payment for cash advances. SRO also received 498,956 shares of Common stock of the Issuer representing 73.3% of the remaining shares owned by ICG, reflecting its 73.3% ownership of ICG at the time of the merger. Item 4. Purpose of Transaction. 4 Page 4 of 5 Pages Item 5. Interest in Securities of the Issuer. (a) Amount and Percent Beneficially Owned Registered Name No. of Shares Percent S.R. One, Limited 962,652 11.14% Item 6. Contracts, Arrangements, Understandings or Relationship With respect to Securities of the Issuer. Item 7. Materials to be Filed as Exhibits. 5 Page 5 of 5 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in the Statement is true, correct and complete. S.R. ONE, LIMITED By: /s/ Donald F. Parman ------------------------------ Donald F. Parman Vice President DATED: May 20, 1998 -----END PRIVACY-ENHANCED MESSAGE-----