-----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, FuIE168g8vsyQ9uS+RA4R0xf87KY8v7xGcP++618BRxm/f93k9IU08lwFVYREsBT bxkbReK1n62ArVl6yWK0/Q== 0000903423-99-000047.txt : 19990204 0000903423-99-000047.hdr.sgml : 19990204 ACCESSION NUMBER: 0000903423-99-000047 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990130 FILED AS OF DATE: 19990203 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: 99520427 BUSINESS ADDRESS: STREET 1: 9 BLACKBURN DRIVE CITY: GLOUCESTER STATE: MA ZIP: 01930 BUSINESS PHONE: 9782831800 MAIL ADDRESS: STREET 1: 9 BLACKBURN DRIVE CITY: GLOUCESTER STATE: MA ZIP: 01930 COMPANY DATA: COMPANY CONFORMED NAME: SCHULTE DAVID M CENTRAL INDEX KEY: 0001073273 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 8115 NORTH MICHICAN AVE STREET 2: #2100 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 3129849711 MAIL ADDRESS: STREET 1: 8115 NORTH MICHIGAN AVE STREET 2: #2100 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* David M. Schulte ----------------------------------------------- (Last) (First) (Middle) 875 North 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 January 1999 ---------------------------------------- ================================================================== 5. If Amendment, Date of Original (Month/Year) ---------------------------------------- ================================================================== 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) x Director x 10% Owner ----- ----- Officer (give Other (specify ----- title below) ----- below) ================================================================== 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 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 1/13/99 P 1,140,840 (A) $4.30 2,242,308(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 ------------ -------- -------- ---- ----- -------- ----- -------- --------
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 ------------ ----------- -------- --------- ------------ -------------- ---------- - ---------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) See continuation sheet. (2) 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). /s/ David M. Schulte 2/2/99 --------------------- -------------- ** Signature of Date Reporting Person David M. Schulte 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. Page 2 of 3 SEC 1474 (7-96) STATEMENT ATTACHED TO FORM 4 FILED WITH THE SECURITIES AND EXCHANGE COMMISSION BY DAVID M. SCHULTE 875 NORTH MICHIGAN AVENUE SUITE 2100 CHICAGO, ILLINOIS 60611 ISSUER NAME: NutraMax Products, Inc. (NMPC) STATEMENT FOR MONTH/YEAR: January 1999 Continuation of Explanation of Responses: 1. These shares are owned directly by Cape Ann Investors, L.L.C. and indirectly by David M. Schulte by virtue of his direct and indirect control over Cape Ann Investors, L.L.C. and Chilmark Fund II, L.P. (managing member of, and holder of a majority of the ownership interests in, Cape Ann), Chilmark II, L.L.C. (sole general partner of Chilmark Fund II) and Chilmark Partners, L.L.C. (sole member of Chilmark II, L.L.C.). Mr. Schulte disclaims beneficial ownership of these securities under Rule 16a-1(a)(2) except to the extent of his pecuniary interest therein. 2. These shares are owned directly by Chilmark Fund II, L.P. and indirectly by David M. Schulte by virtue of his direct and indirect control over Chilmark II, L.L.C. (sole general partner of Chilmark Fund II) and Chilmark Partners, L.L.C. (sole member of Chilmark II, L.L.C.). Mr. Schulte disclaims beneficial ownership of these securities under Rule 16a-1(a)(2) except to the extent of his pecuniary interest therein. Date: February 2, 1999 /s/ David M. Schulte -------------------------------------------- David M. Schulte Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----