-----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, LjoimmBKOyQTmBBTHI5k9cf6YIBHC7FeOsJbX4q5QGhtht90OM7k4r9gJogmn6Ul eoypWIgqhtn6DPoY90Nfdw== 0000903423-98-000377.txt : 19981110 0000903423-98-000377.hdr.sgml : 19981110 ACCESSION NUMBER: 0000903423-98-000377 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981030 FILED AS OF DATE: 19981109 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: 4 SEC ACT: SEC FILE NUMBER: 000-18671 FILM NUMBER: 98740715 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 COMPANY DATA: COMPANY CONFORMED NAME: CHILMARK PARTNERS LLC CENTRAL INDEX KEY: 0001046371 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 364101709 FILING VALUES: FORM TYPE: 4 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 4 1 OMB APPROVAL OMB Number: 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response......0.5 ====== 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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |_| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) ================================================================== 1. Name and Address of Reporting Person* Chilmark Partners, L.L.C. ----------------------------------------------- (Last) (First) (Middle) 875 Michigan Avenue Suite 2100 ----------------------------------------------- (Street) Chicago, Illinois 60611 ----------------------------------------------- (City) (State) (Zip) ================================================================== 2. Issuer Name and Ticker or Trading Symbol NutraMax Products, Inc. (NMPC) ---------------------------------------- ================================================================== 3. IRS or Social Security Number of Reporting Person (Voluntary) ---------------------------------------- ================================================================== 4. Statement for Month/Year October 1998 ---------------------------------------- ================================================================== 5. If Amendment, Date of Original (Month/Year) ---------------------------------------- ================================================================== 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director x 10% Owner ----- ----- Officer (give Other (specify ----- title below) ----- below) ================================================================== 7. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person ----- x Form filed by More than One Reporting Person ----- ================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
================================================================================================================================= 1. Title of 2. Transaction 3. Transaction 4. Securities Acquired 5. Amount of 6. Ownership 7. Nature of Security Date Code (A) or Disposed of (D) Securities Form: Direct Indirect (Instr. 3) (Month/Day/Year) (Instr. 8) (Instr. 3, 4 and 5) Beneficially (D) or Beneficial Owned at End of Indirect (I) Ownership ----------- ------------------------ Month (Instr. 4) (Instr. 4) (A) or (Instr. 3 and 4) Code V Amount (D) Price --------- --------------- ---- ----- -------- ------ ----- ---------------- ----------- ----------- Common Stock 8/19/98 P4* 2,500 (A) $7.50 8/20/98 P4* 2,500 (A) $7.38 8/21/98 P4* 1,500 (A) $7.75 8/24/98 P4* 20,000 (A) $7.75 8/25/98 P4* 4,100 (A) $7.75 8/26/98 P4* 4,100 (A) $7.48 8/27/98 P4* 4,100 (A) $7.00 8/28/98 P4* 12,000 (A) $6.63 Common Stock 8/31/98 P4* 47,500 (A) $7.00 1,101,468(1) (1) (1) Common Stock 5,000(2) (2) (2) - ---------------------------------------------------------------------------------------------------------------------------------
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). Page 1 of 3 SEC 1474 (7-96) FORM 4 (continued)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================================================================= 1. Title of 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriva- 6. Date Exercis- Derivative sion or action tion tive Securities Ac- able and Expi- Security Exer- Date Code quired (A) or Dis- ration Date (Instr. 3) cise (Month/ (Instr. 8) posed of (D) (Month/Day/ Price of Day/ (Instr. 3, 4 and 5) Year) Deriva- Year) ------------------ tive Se- Date Expira- curity ------------------- Exer- tion Code V (A) (D) cisable Date ------------ -------- -------- ---- ----- -------- ----- -------- -------- Warrants for $3.60 10/14/98 J** 215,425 10/14/98 10/14/03 Common Stock (right to buy)
1. Title of 7. Title and Amount of 8. Price of 9. Number of 10. Ownership Form 11. Nature of Derivative Underlying Securities Derivative derivative of Derivative Indirect Security (Instr. 3 and 4) Security Securities Security: Direct Beneficial (Instr. 3) (Instr. 5) Beneficially (D) or Indirect Ownership -------------------------- Owned at End (I) (Instr. 4) Amount or of Month (Instr. 4) Number of (Instr. 4) Title Shares ----------- ----------- -------- --------- ------------ ---------------- ---------- Warrants for Common Stock 215,425 *** 215,425 (3) (3) Common Stock (right to buy) - ---------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: * Reporting Persons inadvertently failed to timely file Form 4 relating to these transactions, which were reported separately on an amendment to Reporting Persons' Schedule 13D. ** Exercise price of previously acquired security became fixed on 10/14/98. *** Warrants issued on 10/14/97 as part of series of transactions; no specific price was set for the warrants. (1), (2) and (3) See continuation sheet. /s/ David M. Schulte 11/6/98 --------------------- -------------- ** Signature of Date Reporting Person David M. Schulte for Chilmark Partners, L.L.C. Chilmark II, L.L.C. Chilmark Fund II, L.P. and Cape Ann Investors, L.L.C. (see continuation sheet) ** 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. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. 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). Page 2 of 3 SEC 1474 (7-96) STATEMENT ATTACHED TO FORM 4 FILED WITH THE SECURITIES AND EXCHANGE COMMISSION BY CHILMARK PARTNERS, L.L.C. 875 NORTH MICHIGAN AVENUE SUITE 2100 CHICAGO, ILLINOIS 60611 ISSUER NAME: NutraMax Products, Inc. (NMPC) STATEMENT FOR MONTH/YEAR: October 1998 Continuation of Explanation of Responses: 1. These shares are owned directly by Cape Ann Investors, L.L.C. and indirectly by Chilmark Fund II, L.P. (as managing member of, and holder of a majority of the ownership interests in, Cape Ann) and by Chilmark II, L.L.C. (as sole general partner of Chilmark Fund II) and by Chilmark Partners, L.L.C. (as sole member of Chilmark II, L.L.C.). Each of Chilmark Fund II, Chilmark II and Chilmark Partners disclaims beneficial ownership of these securities under Rule 16a-1(a)(2) except to the extent of its pecuniary interest therein. 2. These shares are owned directly by Chilmark Fund II, L.P. and indirectly by Chilmark II, L.L.C. (as sole general partner of Chilmark Fund II) and by Chilmark Partners, L.L.C. (as sole member of Chilmark II, L.L.C.). Each of Chilmark II and Chilmark Partners disclaims beneficial ownership of these securities under Rule 16a-1(a)(2) except to the extent of its pecuniary interest therein. 3. These Warrants for Common Stock (right to buy) are owned directly by Cape Ann Investors, L.L.C. and indirectly by Chilmark Fund II, L.P. (as managing member of, and holder of a majority of the ownership interests in, Cape Ann) and by Chilmark II, L.L.C. (as sole general partner of Chilmark Fund II) and by Chilmark Partners, L.L.C. (as sole member of Chilmark II, L.L.C.). Each of Chilmark Fund II, Chilmark II and Chilmark Partners disclaims beneficial ownership of these securities under Rule 16a-1(a)(2) except to the extent of its pecuniary interest therein. This report is executed by David M. Schulte for each of Chilmark Partners, L.L.C. (as managing member), Chilmark II, L.L.C. (as President and as managing member of Chilmark Partners, L.L.C., the sole member of Chilmark II, L.L.C.), Chilmark Fund II, L.P. (as President of Chilmark II, L.L.C., the sole general partner of Chilmark Fund II, L.P.) and Cape Ann Investors, L.L.C. (as President). Date: November 6, 1998 /s/ David M. Schulte --------------------------- David M. Schulte, in the capacities described above Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----