-----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, O33mb01I2JaAATKHjMOiKmlgfaQwuJZLy+Jl6nEq2f8x6mZChSIx2yhZkTRNFdWu 6CQ2NLm69CetN1fHaagGpg== 0000912057-00-053831.txt : 20001218 0000912057-00-053831.hdr.sgml : 20001218 ACCESSION NUMBER: 0000912057-00-053831 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20001215 GROUP MEMBERS: BCU INVESTMENTS, L.L.C. GROUP MEMBERS: CURTIS L. CARLSON FOUNDATION GROUP MEMBERS: CURTIS L. CARLSON OCTAGON TRUST GROUP MEMBERS: DR. DEMETRE NICOLOFF GROUP MEMBERS: GEOFFREY C. GAGE GROUP MEMBERS: JAMES A. POTTER GROUP MEMBERS: JENNIFER L. NELSON TRUST GROUP MEMBERS: JULIET A. NELSON TRUST GROUP MEMBERS: KOZBERG MARC H GROUP MEMBERS: NAFCO INSURANCE COMPANY LTD. OF BERMUDA GROUP MEMBERS: NASSER J. KAZEMINY GROUP MEMBERS: REVOCABLE TRUST OF BARBARA C. GAGE GROUP MEMBERS: REVOCABLE TRUST OF DIANA NELSON GROUP MEMBERS: REVOCABLE TRUST OF EDWIN C. GAGE GROUP MEMBERS: REVOCABLE TRUST OF GLEN D. NELSON GROUP MEMBERS: RICHARD C. GAGE GROUP MEMBERS: ROBERT H. PAYMAR GROUP MEMBERS: SCOTT C. GAGE GROUP MEMBERS: WENDY M. NELSON SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BORDEN CHEMICALS & PLASTICS LIMITED PARTNERSHIP /DE/ CENTRAL INDEX KEY: 0000821202 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS, MATERIALS, SYNTH RESINS & NONVULCAN ELASTOMERS [2821] IRS NUMBER: 311269627 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-38898 FILM NUMBER: 790548 BUSINESS ADDRESS: STREET 1: HIGHWAY 73 CITY: GEISMAR STATE: LA ZIP: 70734 BUSINESS PHONE: 6142254482 MAIL ADDRESS: STREET 1: PO BOX 427 STREET 2: 180 EAST BROAD STREET 25TH FLOOR CITY: GERSMAR STATE: LA ZIP: 70734 FORMER COMPANY: FORMER CONFORMED NAME: BORDEN CHEMICALS & PLASTICS LIMITED PARTNERSHIP DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KOZBERG MARC H CENTRAL INDEX KEY: 0001072668 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 90 SOUTH SEVENTH STREET STREET 2: SUITE 4400 CITY: MINNEAPOLIS STATE: MN ZIP: 55402-4115 BUSINESS PHONE: 6123767035 MAIL ADDRESS: STREET 1: 90 SOUTH SEVENTH STREET STREET 2: SUITE 4400 CITY: MINNEAPOLIS STATE: MN ZIP: 55402-4115 SC 13D/A 1 a2033406zsc13da.txt 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment) Under the Securities Exchange Act of 1934 BORDEN CHEMICALS AND PLASTICS LIMITED PARTNERSHIP (Name of Issuer) COMMON UNIT ----------- (Title of Class of Securities) 099541 20 3 ----------- (CUSIP Number) Albert A. Woodward, Esq. Leonard, Street and Deinard, P.A. 150 South Fifth Street Suite 2300 Minneapolis, Minnesota 55402 (612) 335-1500 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) NOVEMBER 15, 2000 ----------------- (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(e), 13d-1(f) or 13d-1(g), check the following box [ ]. (Cover page continued on next 6 pages) SCHEDULE 13D ------------ CUSIP NO. 099541 20 3
- ------------------------------------------------------------- ------------------ (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only) MARC H. KOZBERG - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (2) Check the appropriate box if a member of a group (see (a) X instructions) - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (b) - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (3) SEC use only.......................................... - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (4) Source of funds (see instructions) PF - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------- ------------------ Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 140,000 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 140,000 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (11) Aggregate amount beneficially owned by each reporting 140,000 person. - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (13) Percent of class represented by amount in Row (11)... 0.4% - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------- ------------------
-2- SCHEDULE 13D ------------ CUSIP NO. 099541 20 3
- ------------------------------------------------------------- ---------------------- (1) Names of reporting persons............................ DR. DEMETRE NICOLOFF I.R.S. Identification Nos. of above persons (entities only) - ------------------------------------------------------------- ---------------------- - ------------------------------------------------------------- ---------------------- (2) Check the appropriate box if a member of a group (see (a) X instructions) - ------------------------------------------------------------- ---------------------- - ------------------------------------------------------------- ---------------------- (b) - ------------------------------------------------------------- ---------------------- - ------------------------------------------------------------- ---------------------- (3) SEC use only.......................................... - ------------------------------------------------------------- ---------------------- - ------------------------------------------------------------- ---------------------- (4) Source of funds (see instructions) PF - ------------------------------------------------------------- ---------------------- - ------------------------------------------------------------- ---------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------- ---------------------- - ------------------------------------------------------------- ---------------------- (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------- ---------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 363,387 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 363,387 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------- ---------------------- - ------------------------------------------------------------- ---------------------- (11) Aggregate amount beneficially owned by each reporting 363,387 person. - ------------------------------------------------------------- ---------------------- - ------------------------------------------------------------- ---------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- ---------------------- - ------------------------------------------------------------- ---------------------- (13) Percent of class represented by amount in Row (11)... 1.0% - ------------------------------------------------------------- ---------------------- - ------------------------------------------------------------- ---------------------- (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------- ----------------------
-3- SCHEDULE 13D - ------------ CUSIP NO. 099541 20 3
- ------------------------------------------------------------- ------------------ (1) Names of reporting persons............................ ROBERT H. PAYMAR I.R.S. Identification Nos. of above persons (entities only) - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (2) Check the appropriate box if a member of a group (see (a) X instructions) - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (b) - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (3) SEC use only.......................................... - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (4) Source of funds (see instructions) PF - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------- ------------------ Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 175,000 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 175,000 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (11) Aggregate amount beneficially owned by each reporting 175,000 person. - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (13) Percent of class represented by amount in Row (11)... 0.5% - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------- ------------------
-4- SCHEDULE 13D ------------- CUSIP NO. 099541 20 3
- ------------------------------------------------------------- ------------------ (1) Names of reporting persons............................ JAMES A. POTTER I.R.S. Identification Nos. of above persons (entities only) - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (2) Check the appropriate box if a member of a group (see (a) X instructions) - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (b) - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (3) SEC use only.......................................... - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (4) Source of funds (see instructions) PF - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------- ------------------ Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 116,837 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 116,837 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (11) Aggregate amount beneficially owned by each reporting 116,837 person. - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (13) Percent of class represented by amount in Row (11)... 0.3% - ------------------------------------------------------------- ------------------ - ------------------------------------------------------------- ------------------ (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------- ------------------
-5- SCHEDULE 13D ------------ CUSIP NO. 099541 20 3
- ------------------------------------------------------------- ------------------------ (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only) BCU INVESTMENT, L.L.C. - ------------------------------------------------------------- ------------------------ - ------------------------------------------------------------- ------------------------ (2) Check the appropriate box if a member of a group (see (a) X instructions) - ------------------------------------------------------------- ------------------------ - ------------------------------------------------------------- ------------------------ (b) - ------------------------------------------------------------- ------------------------ - ------------------------------------------------------------- ------------------------ (3) SEC use only.......................................... - ------------------------------------------------------------- ------------------------ - ------------------------------------------------------------- ------------------------ (4) Source of funds (see instructions) WC - ------------------------------------------------------------- ------------------------ - ------------------------------------------------------------- ------------------------ (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------- ------------------------ - ------------------------------------------------------------- ------------------------ (6) Citizenship or place of organization.................. MINNESOTA - ------------------------------------------------------------- ------------------------ Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 1,134,100 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 1,134,100 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------- ------------------------ - ------------------------------------------------------------- ------------------------ (11) Aggregate amount beneficially owned by each reporting 1,134,100 person. - ------------------------------------------------------------- ------------------------ - ------------------------------------------------------------- ------------------------ (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- ------------------------ - ------------------------------------------------------------- ------------------------ (13) Percent of class represented by amount in Row (11)... 3.1% - ------------------------------------------------------------- ------------------------ - ------------------------------------------------------------- ------------------------ (14) Type of reporting person (see instructions).......... PN - ------------------------------------------------------------- ------------------------
-6- SCHEDULE 13D ------------ CUSIP NO. 099541 20 3
- ------------------------------------------------------------- --------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only) NASSAR J. KAZEMINY - ------------------------------------------------------------- --------------------- - ------------------------------------------------------------- --------------------- (2) Check the appropriate box if a member of a group (see (a) X instructions) - ------------------------------------------------------------- --------------------- - ------------------------------------------------------------- --------------------- (b) - ------------------------------------------------------------- --------------------- - ------------------------------------------------------------- --------------------- (3) SEC use only.......................................... - ------------------------------------------------------------- --------------------- - ------------------------------------------------------------- --------------------- (4) Source of funds (see instructions) PF - ------------------------------------------------------------- --------------------- - ------------------------------------------------------------- --------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------- --------------------- - ------------------------------------------------------------- --------------------- (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------- --------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 1,134,100 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 1,134,100 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------- --------------------- - ------------------------------------------------------------- --------------------- (11) Aggregate amount beneficially owned by each reporting 1,134,100 person. - ------------------------------------------------------------- --------------------- - ------------------------------------------------------------- --------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- --------------------- - ------------------------------------------------------------- --------------------- (13) Percent of class represented by amount in Row (11)... 3.1% - ------------------------------------------------------------- --------------------- - ------------------------------------------------------------- --------------------- (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------- ---------------------
-7- INTRODUCTION The members of this Section 13(d) filing group (the "Holders") originally filed a Schedule 13D relating to Borden Chemicals and Plastics Limited Partnership (the "Issuer") on October 28, 1998. The original filing was amended on November 27, 1998, December 28, 1998, May 10, 1999, July 30, 1999, August 13, 1999 and November 24, 1999. This filing is the sixth amendment to the original Schedule 13D filing. Cover pages are included only to the extent that a Holder has engaged in transactions in the voting Common Units of the Issuer since the filing of the most recent Schedule 13D amendment. ITEM 2. IDENTITY AND BACKGROUND All information regarding the Holders in Item 2 of the most recent filing remains accurate, except that all references to Dougherty Summit Securities, LLC contained therein are amended to "Dougherty & Company, LLC," by virtue of the change of the name of that entity. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The Units of the Issuer were purchased by each Holder from available cash resources or working capital. ITEM 4. PURPOSE OF TRANSACTION. Except as stated below, the Holders' response to Item 4 is unchanged. Bruce Hendry, one of the Holders, has withdrawn from the Section 13(g) filing group to which this Schedule 13D/A relates. Mr. Hendry has retired from his position with Dougherty and Company, LLC. Stanley I. Barenbaum and G. James Spinner have also withdrawn from the Section 13(g) filing group. Summit Capital Appreciation Fund LP ("SCAF"), a Holder, was dissolved in June 2000. Several individual Holders received Units of the Issuer as part of distribution of SCAF's securities holdings to its partners. -8- ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Information with respect to the aggregate number, and percentage, of all outstanding Common Units beneficially owned as of December 5, 2000 by each of the Holders is set forth below:
Percentage of Name Number of Common Units Outstanding Units ---- ---------------------- ----------------- Marc H. Kozberg 140,000 0.4% Dr. Demetre Nicoloff 363,387 1.0% Robert H. Paymar 175,000 0.5% James A. Potter 116,837 @ 0.3% Curtis L. Carlson Foundation 71,300 0.2% NAFCO Insurance Company Ltd. of Bermuda 71,400 0.2% Revocable Trust of Glen D. Nelson 50,000 0.1% Curtis L. Carlson Octagon Trust 42,300 0.1% Scott C. Gage 15,000 < 0.1% Richard C. Gage 10,000 < 0.1% Revocable Trust of Diana Nelson 5,000 < 0.1% Geoffrey C. Gage 5,000 < 0.1% Wendy M. Nelson 10,000 < 0.1% Jennifer L. Nelson Trust 7,500 < 0.1% Juliet A. Nelson Trust 7,500 < 0.1% Revocable Trust of Edwin C. Gage 12,500 < 0.1% Revocable Trust of Barbara C. Gage 12,500 < 0.1% BCU Investments, L.L.C. 1,134,100 3.1% Nasser J. Kazeminy 1,134,100 # 3.1%
# Includes 1,134,100 Common Units owned by BCU Investments, L.L.C. @ Includes 17,500 Common Units owned as joint tenant with spouse, 10,000 Common Units held in spouse's IRA account and 175,000 Common Units controlled in custodial accounts of minor children. On November 14, 2000, the Issuer had 36,750,000 Common Units outstanding. The Holders, as of December 5, 2000, collectively owned 2,249,324 Units of the Issuer's Common Units, constituting approximately 6.1% of all of the outstanding voting Common Units. -9- Transactions by the Holders in Common Units of the Issuer since the most recent filing of a Schedule 13D Amendment are as follow:
Type of Number of Price/ Name Date Transaction Units Unit ---- ---- ----------- ----- ---- Marc H. Kozberg 11/24/99 Sell 6.0625 (30,000) Marc H. Kozberg 12/08/99 Buy 4.8750 7,000 Marc H. Kozberg 12/20/99 Buy 4.5625 10,000 Marc H. Kozberg 12/23/99 Buy 4.3750 5,000 Marc H. Kozberg 01/05/00 Sell 5.7500 (10,000) Marc H. Kozberg 01/07/00 Sell 6.0313 (50,000) Marc H. Kozberg 01/10/00 Sell 6.0625 (5,000) Marc H. Kozberg 04/10/00 Buy 4.1640 30,000 Marc H. Kozberg 04/11/00 Buy 4.1775 5,000 Marc H. Kozberg 04/12/00 Buy 4.0625 5,000 Marc H. Kozberg 04/19/00 Buy 3.3750 10,000 Marc H. Kozberg 05/01/00 Sell 4.0020 (50,000) Marc H. Kozberg 06/26/00 Received 30,875 from SCA Fund Marc H. Kozberg 06/30/00 Buy 4.1250 9,125 Marc H. Kozberg 08/08/00 Buy 3.7500 10,000 Marc H. Kozberg 09/27/00 Buy 1.6018 50,000 Marc H. Kozberg 11/15/00 Buy 1.6013 16,100 Marc H. Kozberg 11/16/00 Buy 1.6250 7,900 Marc H. Kozberg 11/17/00 Buy 1.6036 6,000 Marc H. Kozberg 11/29/00 Buy 1.0000 10,000 Demetre Nicoloff 02/03/00 Buy 5.1250 1,500 Demetre Nicoloff 03/31/00 Buy 4.4375 3,400 Demetre Nicoloff 04/12/00 Buy 3.9457 700 Demetre Nicoloff 04/14/00 Buy 3.6330 10,000 Demetre Nicoloff 06/27/00 Received 8,433 from SCA Fund* Demetre Nicoloff 06/30/00 Received 18,954 from SCA Fund* Demetre Nicoloff 08/11/00 Buy 3.6875 5,000 Demetre Nicoloff 10/02/00 Buy 1.8750 9,000 Demetre Nicoloff 10/02/00 Buy 1.9375 25,000 Demetre Nicoloff 11/17/00 Buy 1.6036 32,000 Demetre Nicoloff 11/17/00 Buy 1.6250 3,500 Demetre Nicoloff 11/20/00 Buy 1.5625 14,500 Demetre Nicoloff 11/20/00 Buy 1.5625 5,000 Demetre Nicoloff 11/24/00 Buy 1.5000 3,000 Demetre Nicoloff 11/24/00 Buy 1.5000 1,000 Demetre Nicoloff 11/27/00 Buy 1.3125 5,000 Demetre Nicoloff 11/28/00 Buy 1.1250 10,000 Demetre Nicoloff 11/28/00 Buy 1.2000 3,500
-10-
Type of Number of Price/ Name Date Transaction Units Unit ---- ---- ----------- ----- ---- Robert H. Paymar 03/03/00 Buy 4.9375 5,000 Robert H. Paymar 06/27/00 Received 21,063 from SCA Fund Robert H. Paymar 09/26/00 Buy 1.6018 5,100 Robert H. Paymar 11/15/00 Buy 1.6250 18,837 Robert H. Paymar 11/29/00 Buy 1.0375 25,000 BCU Investment Corp LLC 09/27/00 Buy 1.6875 100,100 BCU Investment Corp LLC 10/03/00 Buy 2.0000 15,500 BCU Investment Corp LLC 10/04/00 Buy 2.0000 46,100 James A. Potter 12/08/99 Buy 5.0000 2,000 James A. Potter 12/16/99 Buy 4.6250 700 James A. Potter 12/23/99 Buy 4.5625 1,000 James A. Potter 02/03/00 Buy 5.1237 2,500 James A. Potter 02/03/00 Buy 5.1237 2,500 James A. Potter 06/27/00 Received 3,377 from SCA Fund* James A. Potter 06/28/00 Buy 4.5000 2,500 James A. Potter 06/28/00 Buy 4.5625 2,500 James A. Potter 06/29/00 Received 5,637 from SCA Fund* James A. Potter 06/29/00 Buy 4.3750 2,500 James A. Potter 06/30/00 Buy 4.1250 1,100 James A. Potter 06/30/00 Buy 4.1875 1,623 James A. Potter 07/05/00 Buy 4.1875 1,900 James A. Potter 08/02/00 Buy 3.9375 2,500 James A. Potter 08/17/00 Buy 4.0000 1,500 James A. Potter 08/17/00 Buy 4.0000 4,000 James A. Potter 08/17/00 Buy 4.0000 3,000 James A. Potter 09/26/00 Buy 1.7500 5,000 James A. Potter 09/26/00 Buy 1.7500 5,000
* Summit Capital Appreciation Fund, L.P. was dissolved in June 2000. -11- ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. Exhibit A -- Agreement as to joint filing pursuant to Regulation Section 240.13d-1(f)(1)(iii). -12- SIGNATURES After reasonable inquiry, and to the best of each of the undersigned's knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: December ___, 2000 /s/ Marc H. Kozberg - ----------------------------------------------------- Marc H. Kozberg /s/ Dr. Demetre Nicolf - ----------------------------------------------------- Dr. Demetre Nicoloff /s/ Robert H. Paymar - ----------------------------------------------------- Robert H. Paymar /s/ James A. Potter - ----------------------------------------------------- James A. Potter REVOCABLE TRUST OF DIANA NELSON By: /s/ Diana Nelson ----------------------------------------- Diana Nelson, Trustee /s/ Geoffrey C. Gage - ----------------------------------------------------- Geoffrey C. Gage /s/ Wendy M. Nelson - ----------------------------------------------------- Wendy M. Nelson JENNIFER L. NELSON TRUST By: /s/ Curtis C. Nelson -------------------------------------------------- Curtis C. Nelson, Trustee JULIET A. NELSON TRUST By: /s/ Curtis C. Nelson -------------------------------------------------- Curtis C. Nelson, Trustee CURTIS L. CARLSON FOUNDATION By: /s/ Donna Snyder ----------------------------------------- Donna Snyder, Secretary NAFCO INSURANCE COMPANY LTD. OF BERMUDA By: /s/ Mary Stotts -------------------------------------------------- Mary Stotts, Authorized Agent REVOCABLE TRUST OF GLEN D. NELSON By: /s/ Glen D. Nelson -------------------------------------------------- Glen D. Nelson, Trustee CURTIS L. CARLSON OCTAGON TRUST By: /s/ John Flottmeier -------------------------------------------------- John Flottmeier, Trust Manager /s/ Scott C. Gage - -------------------------------------------- Scott C. Gage /s/ Richard C. Gage - ----------------------------------------------------- Richard C. Gage -13- REVOCABLE TRUST OF EDWIN C. GAGE TRUST By: /s/ John Flottmeier -------------------------------------------------- John Flottmeier, Trust Manager REVOCABLE TRUST OF BARBARA C. GAGE By: /s/ John Flottmeier -------------------------------------------------- John Flottmeier, Trust Manager BCU INVESTMENTS, L.L.C. By: /s/ Michael T. Davies -------------------------------------------------- Michael T. Davies, Secretary and Treasurer /s/ Nasser J. Kazeminy - ----------------------------------------------------- Nasser J. Kazeminy -14- EXHIBIT A AGREEMENT AS TO JOINT FILING Pursuant to Regulation Section 240.13d-1(f)(1)(iii), the undersigned acknowledge and agree that the attached Schedule 13D relating to Borden Chemicals and Plastics Limited Partnership is being filed on behalf of each of the undersigned. /s/ Marc H. Kozberg - ----------------------------------------------------- Marc H. Kozberg /s/ Dr. Demetre Nicoloff - ----------------------------------------------------- Dr. Demetre Nicoloff /s/ Robert H. Paymar - ----------------------------------------------------- Robert H. Paymar /s/ James A. Potter - ----------------------------------------------------- James A. Potter REVOCABLE TRUST OF DIANA NELSON By: /s/ Diana Nelson -------------------------------------------------- Diana Nelson, Trustee /s/ Geoffrey C. Gage - ----------------------------------------------------- Geoffrey C. Gage /s/ Wendy M. Nelson - ----------------------------------------------------- Wendy M. Nelson JENNIFER L. NELSON TRUST By: /s/ Curtis C. Nelson -------------------------------------------------- Curtis C. Nelson, Trustee CURTIS L. CARLSON FOUNDATION By: /s/ Donna Snyder ----------------------------------------- Donna Snyder, Secretary NAFCO INSURANCE COMPANY LTD. OF BERMUDA By: /s/ Mary Stotts -------------------------------------------------- Mary Stotts, Authorized Agent REVOCABLE TRUST OF GLEN D. NELSON By: /s/ Glen D. Nelson -------------------------------------------------- Glen D. Nelson, Trustee CURTIS L. CARLSON OCTAGON TRUST By: /s/ John Flottmeier -------------------------------------------------- John Flottmeier, Trust Manager /s/ Scott C. Gage - -------------------------------------------- Scott C. Gage /s/ Richard C. Gage - ----------------------------------------------------- Richard C. Gage -15- JULIET A. NELSON TRUST By: /s/ Curtis C. Nelson ----------------------------------------- Curtis C. Nelson, Trustee REVOCABLE TRUST OF EDWIN C. GAGE TRUST By: /s/ John Flottmeier ----------------------------------------- John Flottmeier, Trust Manager REVOCABLE TRUST OF BARBARA C. GAGE By: /s/ John Flottmeier ----------------------------------------- John Flottmeier, Trust Manager BCU INVESTMENTS, L.L.C. By: /s/ Michael T. Davies ----------------------------------------- Michael T. Davies, Secretary and Treasurer /s/ Nasser J. Kazemi - -------------------------------------------- Nasser J. Kazemi -16- -----END PRIVACY-ENHANCED MESSAGE-----