-----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, OAk7FrSCL0Gip3mJY8FvqdHRRZAxWC04hOVRMQcqjUwZJn1kpDVEo0PjZYQL6Ipk PTfB7dyaZy4F5ACNbHRCFg== 0000927087-99-000032.txt : 19990301 0000927087-99-000032.hdr.sgml : 19990301 ACCESSION NUMBER: 0000927087-99-000032 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981231 FILED AS OF DATE: 19990226 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MERCER INTERNATIONAL INC CENTRAL INDEX KEY: 0000075659 STANDARD INDUSTRIAL CLASSIFICATION: PAPER MILLS [2621] IRS NUMBER: 916087550 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-09409 FILM NUMBER: 99552736 BUSINESS ADDRESS: STREET 1: BRNDSCHENKE STR 64 CITY: ZURICH SWITZERLAND C STATE: V6 BUSINESS PHONE: 4112017710 MAIL ADDRESS: STREET 1: 400 BURRARD ST STE 1250 STREET 2: VANCOUVER PROVINCE CITY: B C V6C 3A6 COMPANY DATA: COMPANY CONFORMED NAME: LEE JIMMY S H CENTRAL INDEX KEY: 0001080730 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: BURGLISTRASSE 6 STREET 2: POSTFACH 8002 ZURICH SWITZERLAND CITY: ZURICH BUSINESS PHONE: 0114112017710 MAIL ADDRESS: STREET 1: BURGLISTRASSE 6 STREET 2: POSTFACH 8002 ZURICH SWITZERLAND CITY: ZURICH 5 1 - - -------- --------------------------- FORM 5 OMB APPROVAL - - -------- --------------------------- OMB Number: 3235-0362 Expires: September 30, 1998 Estimated average burden hours per response ...... 1.0 ----------------------------- / / Check box if no U.S. SECURITIES AND EXCHANGE COMMISSION longer subject to WASHINGTON, DC 20549 Section 16. Form 4 or Form 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP obligations may continue. See Filed pursuant to Section 16(a) of the Securities Instruction 1(b) Exchange Act of 1934, /X/ Form 3 Holdings Section 17(a) of the Public Utility Reported Holding Company Act of 1935 or Section 30(f) of / / Form 4 the Investment Company Act Transactions of 1940 Reported
- - ----------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Lee, Jimmy S.H. Mercer International Inc. (MERCS) Issuer (Check all applicable) - - ------------------------------------------- ---------------------------------------------- Director 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- --- Burglistrasse 6, Postfach Number of Reporting Month/Year X Officer (give X Other(specify - - ------------------------------------------- Person (Voluntary) 1998 ---- title --- below) (Street) ------------------- below) 8002 Zurich Switzerland 5. If Amendment, Chief Executive Officer - - ------------------------------------------- Date of Original and Trustee (City) (State) (Zip) (Month/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 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - - -------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. 8) End of Month Direct Benefi- (Month/ (Instr. 3 and 4) (D) or cial Day/ ---------------------------- Indirect Owner- Year) Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) - - --------------------------------------------------------------------------------------------------------------------------------- Common Stock 14,000 D - - --------------------------------------------------------------------------------------------------------------------------------- - - --------------------------------------------------------------------------------------------------------------------------------- - - --------------------------------------------------------------------------------------------------------------------------------- *If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Print or Type Responses)
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FORM 5 (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. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv- Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4, Year) ity Security and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or --------------- Exer- tion Title Number of (A) (D) cisable Date Shares - - ------------------------------------------------------------------------------------------------------------------------------- Employee Stock Option (Right to Buy) $18.47 12/24/96 A 75,000 12/24/96 12/24/06 Common 75,000 (2) Stock - - -------------------------------------------------------------------------------------------------------------------------------- Employee Stock Option (Right to Buy) $ 8.50 7/8/97 A 160,000 7/8/97 7/8/07 Common 160,000 (2) - - -------------------------------------------------------------------------------------------------------------------------------- Employee Stock Option (Right to Buy) $ 6.00 10/28/98 A 90,000 10/28/98 10/28/08 Common 90,000 (2) - - --------------------------------------------------------------------------------------------------------------------------------
- - ------------------------------------------------------------------------------------------------------- 1. Title of Derivative 9. Number of 10. Ownership 11. Nature of Security Derivative of Derivative Indirect (Instr. 3) Securities Security: Beneficial Beneficially Direct (D) Ownership Owned at End or Indirect (I) (Instr. 4) of Month (Instr. 4) (Instr. 4) - - ------------------------------------------------------------------------------------------------------- Employee Stock Option (Right to Buy) 75,000 D - - ------------------------------------------------------------------------------------------------------- Employee Stock Option (Right to Buy) 160,000 D - - ------------------------------------------------------------------------------------------------------- Employee Stock Option (Right to Buy) 90,000 D - - ------------------------------------------------------------------------------------------------------- - - ------------------------------------------------------------------------------------------------------- - - ------------------------------------------------------------------------------------------------------- - - ------------------------------------------------------------------------------------------------------- Explanation of Responses:
(1) Granted pursuant to the issuer's Amended and Restated 1992 Stock Option Plan. (2) One-third of the options vests upon grant and one third vests on each of the first two anniversaries of the grant date. /s/ Jimmy S. H. Lee 2/26/99 _______________________________ _____________ **Signature of Reporting Person Date ** 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. -----END PRIVACY-ENHANCED MESSAGE-----