-----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, VA2yl03Nrr8M9RvgzGc1NdZeGYer698uCT3QATSt+kj59Ddc7Gm/sBneHd/8epAp Wrsz1y6cXekGfXY85CQbiQ== 0000903423-99-000031.txt : 19990115 0000903423-99-000031.hdr.sgml : 19990115 ACCESSION NUMBER: 0000903423-99-000031 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990114 GROUP MEMBERS: CAPE ANN INVESTORS, L.L.C. GROUP MEMBERS: CHILMARK FUND II, L.P. GROUP MEMBERS: CHILMARK II, L.L.C. GROUP MEMBERS: CHILMARK PARTNERS LLC GROUP MEMBERS: DAVID M. SCHULTE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NUTRAMAX PRODUCTS INC /DE/ CENTRAL INDEX KEY: 0000818467 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 061200464 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-41183 FILM NUMBER: 99506156 BUSINESS ADDRESS: STREET 1: 9 BLACKBURN DRIVE CITY: GLOUCESTER STATE: MA ZIP: 01930 BUSINESS PHONE: 5082831800 MAIL ADDRESS: STREET 1: 9 BLACKBURN DRIVE CITY: GLOUCESTER STATE: MA ZIP: 01930 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CHILMARK PARTNERS LLC CENTRAL INDEX KEY: 0001046371 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 364101709 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 875 NORTH MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 31298498711 MAIL ADDRESS: STREET 2: 845 NORTH MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60611 SC 13D/A 1 SCHEDULE 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) NutraMax Products, Inc. ----------------------- (Name of Issuer) Common Stock, par value $.001 per share --------------------------------------- (Title of Class of Securities) 67061A30 -------------- (CUSIP Number) David M. Schulte Chilmark Fund II, L.P. 875 North Michigan Avenue Chicago, Illinois 60611 (312) 984-9711 --------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 13, 1999 ---------------- (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 [ ]. Page 1 of 10 Pages Exhibit Index Appears on Page 10 SCHEDULE 13D CUSIP NO. 67061A30 -------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Cape Ann Investors, L.L.C. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [___] (b) [ x ] --- - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF None SHARES __________________________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,242,308 EACH __________________________________________________________________ REPORTING 9 SOLE DISPOSITIVE POWER PERSON None WITH __________________________________________________________________ 10 SHARED DISPOSITIVE POWER 2,457,733 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,457,733 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [___] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 33.5% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO SCHEDULE 13D CUSIP NO. 67061A30 -------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Chilmark Fund II, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [___] (b) [ x ] --- - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF None SHARES _______________________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,247,308 EACH _______________________________________________________________ REPORTING 9 SOLE DISPOSITIVE POWER PERSON None WITH _______________________________________________________________ 10 SHARED DISPOSITIVE POWER 2,462,733 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,462,733 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [___] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 33.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN SCHEDULE 13D CUSIP NO. 67061A30 -------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Chilmark II, L.L.C. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [___] (b) [ x ] --- - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF None SHARES _______________________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,247,308 EACH _______________________________________________________________ REPORTING 9 SOLE DISPOSITIVE POWER PERSON None WITH _______________________________________________________________ 10 SHARED DISPOSITIVE POWER 2,462,733 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,462,733 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [____] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 33.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO SCHEDULE 13D CUSIP NO. 67061A30 -------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Chilmark Partners, L.L.C. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [___] (b) [ x ] --- - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF None SHARES ______________________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,247,308 EACH ______________________________________________________________ REPORTING 9 SOLE DISPOSITIVE POWER PERSON None WITH ______________________________________________________________ 10 SHARED DISPOSITIVE POWER 2,462,733 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,462,733 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [___] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 33.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO SCHEDULE 13D CUSIP NO. 67061A30 -------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David M. Schulte - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [___] (b) [ x ] --- - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [___] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF None SHARES ______________________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,247,308 EACH ______________________________________________________________ REPORTING 9 SOLE DISPOSITIVE POWER PERSON None WITH ______________________________________________________________ 10 SHARED DISPOSITIVE POWER 2,462,733 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,462,733 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [___] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 33.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN This Amendment No. 6 (this "Amendment") amends and supplements the Schedule 13D filed on September 22, 1997, as previously amended (the "Schedule 13D"), by Cape Ann Investors, L.L.C. ("Cape Ann"), Chilmark Fund II, L.P. ("Chilmark Fund"), Chilmark II, L.L.C. ("Chilmark II"), Chilmark Partners, L.L.C. ("Chilmark Partners") and David M. Schulte (collectively, the "Reporting Persons") with respect to the Common Stock, par value $.001 per share ("Common Stock"), of NutraMax Products, Inc. (the "Issuer"). All capitalized terms used in this Amendment and not otherwise defined herein have the meanings ascribed to such terms in the Schedule 13D. Item 3. Source and Amount of Funds or Other Consideration. Cape Ann expended $4,905,612.00 to acquire the 1,140,840 additional Shares of Common Stock to which this Amendment relates. The source of such funds was capital contributions from the members of Cape Ann. Item 4. Purpose of Transaction. On January 13, 1999, Cape Ann consummated the previously disclosed purchase of additional Shares from the Issuer pursuant to the 1998 Superseding Agreement, acquiring 1,140,840 additional Shares. The Reporting Persons intend to continue to review their investment in Common Stock and, from time to time depending upon certain factors, including without limitation the financial performance of the Issuer, the availability and price of shares of Common Stock, other general economic, market and investment conditions and options available to them, may determine to acquire through open market purchases or otherwise additional shares of Common Stock, or may determine to sell through the open market or otherwise, in each case, subject to applicable law and the limitations of the 1998 Superseding Agreement previously described in the Schedule 13D. Except as stated above, no Reporting Person has any plans or proposals of the type referred to in clauses (a) through (j) of Item 4 of Schedule 13D, as promulgated by the Securities and Exchange Commission. Item 5. Interest in Securities of the Issuer. (a) and (b) As of the date hereof, the Reporting Persons beneficially own 2,462,733 shares of Common Stock (2,457,733, in the case of Cape Ann), in each case including 215,425 shares issuable upon exercise of the Warrants. To the best knowledge of the Reporting Persons, there are 7,114,361 shares of Common Stock outstanding (as reported by the Issuer in its most recent Annual Report on Form 10-K, plus an aggregate of 1,441,860 additional shares issued to the Reporting Persons and others on January 13, 1999). The 2,462,733 shares beneficially owned by the Reporting Persons represent approximately 33.6% of the Common Stock issued and outstanding, including, for these purposes, the 215,425 shares of Common Stock that would be issued upon exercise of the Warrants in accordance with Rule 13d-3. Subject to the limitations of the 1998 Superseding Agreement, the Reporting Persons share the power to vote or to direct the vote of, and the power to dispose or to direct the disposition of, the Common Stock beneficially owned by them (except that Cape Ann does not share such powers with respect to the 5,000 shares of Common Stock held directly by Chilmark Fund and none of the Reporting Persons has the power currently to vote the shares issuable upon exercise of the Warrants). (c) During the last sixty days, the only transaction in Common Stock effected by the Reporting Persons (or, to the best knowledge of the Reporting Persons, any of the persons listed in Appendix A to the Schedule 13D) was the purchase, on January 13, 1999, by Cape Ann of 1,140,840 shares of Common Stock from the Issuer at a price of $4.30 per share, or an aggregate of $4,905,612.00. SIGNATURE --------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in the statement is true, complete and correct. Dated: January 14, 1999 Cape Ann Investors, L.L.C. By: /s/ David Schulte ------------------------ Name: David Schulte Title: President Chilmark Fund II, L.P. By: Chilmark II, L.L.C. By: /s/ David Schulte ------------------------ Name: David Schulte Title: President Chilmark II, L.L.C. By: /s/ David Schulte ------------------------ Name: David Schulte Title: President Chilmark Partners, L.L.C. By: /s/ David Schulte ------------------------ Name: David Schulte Title: Managing Member /s/ David Schulte ------------------------ David Schulte
EXHIBIT INDEX ------------- Exhibit Page Number Description Number - ------- ----------- ------ 1 Joint Filing Agreement, dated September 19, 1997, * among the Reporting Persons. 2 Stock Purchase Agreement. * 3 Amendment No. 1. * 4 Form of Share Purchase Agreement, dated as of * September 18, 1997. 5 October Agreement. * 6 Amendment to October Agreement. * 7 August 1998 Amendment to Stock Purchase Agreement. * 8 Purchases of Common Stock during the Sixty Days Leading up to and * including August 31, 1998. 9 1998 Superseding Agreement * 10 Letter Agreement regarding the determination of the Exercise Price of * the Warrants
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