-----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, V9PUASF8e85QsVPE/xDBhZGWqZZcZqeDZNie93ZPS4wVWnV+IJW8yZvDI1T94Fx3 7MYKK5WLjz0I6Zf/pF+QNQ== 0001047469-98-045116.txt : 19981229 0001047469-98-045116.hdr.sgml : 19981229 ACCESSION NUMBER: 0001047469-98-045116 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19981228 GROUP MEMBERS: BCU INVESTMENTS, L.L.C. GROUP MEMBERS: BRUCE E. HENDRY GROUP MEMBERS: CATHERINE A. CELLA GROUP MEMBERS: CURTIS L. CARLSON FOUNDATION GROUP MEMBERS: CURTIS L. CARLSON OCTAGON TRUST GROUP MEMBERS: DIANA NELSON GROUP MEMBERS: DR. DEMETRE NICOLOFF GROUP MEMBERS: G. JAMES SPINNER GROUP MEMBERS: GEOFFREY C. GAGE GROUP MEMBERS: JAMES A. POTTER GROUP MEMBERS: JENNIFER L. NELSON TRUST GROUP MEMBERS: JOHN K. ELLINGBOE 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 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: STANLEY I. BARENBAUM GROUP MEMBERS: SUMMIT CAPITAL APPRECIATION FUND LP 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: 98775825 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 SC 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. Maun & Simon, PLC 2000 Midwest Plaza Building West 801 Nicollet Mall Minneapolis, Minnesota 55402 (612) 904-7400 -------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) DECEMBER 14, 1998 ----------------- (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 25 pages) SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ MARC H. KOZBERG I.R.S. Identification Nos. of above persons (entities only)............................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of (a) X a group (see 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...................... 50,000 (8) Shared voting power.................... 400,000 (9) Sole dispositive power................. 50,000 (10) Shared dispositive power.............. 400,000 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially 450,000 owned by each reporting 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)............................ 1.2% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-2- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ BRUCE E. HENDRY I.R.S. Identification Nos. of above persons (entities only)...................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 1,091,300 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 1,091,300 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 1,091,300 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 3.0% - ------------------------------------------------------------------------------- 14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-3- 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 (a) X member of a group (see 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..................... 150,000 (8) Shared voting power................... 400,000 (9) Sole dispositive power................ 150,000 (10) Shared dispositive power............. 400,000 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 550,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)........................... 1.5% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------
-4- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ G. JAMES SPINNER I.R.S. Identification Nos. of above persons (entities only)...................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X ---------------------------- (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...................... 50,000 (8) Shared voting power.................... 400,000 (9) Sole dispositive power................. 50,000 (10) Shared dispositive power.............. 400,000 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 450,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)........................... 1.2% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-5- 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 (a) X member of a group (see 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...................... 100,000 (8) Shared voting power.................... 400,000 (9) Sole dispositive power................. 100,000 (10) Shared dispositive power.............. 400,000 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 500,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 1.4% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................ IN - -------------------------------------------------------------------------------
-6- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ STANLEY I. BARENBAUM I.R.S. Identification Nos. of above persons (entities only)...................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 50,000 (8) Shared voting power.................... 400,000 (9) Sole dispositive power................. 50,000 (10) Shared dispositive power.............. 400,000 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 450,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 1.2% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................ IN - -------------------------------------------------------------------------------
-7- 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 (a) X member of a group (see 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...................... 40,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 40,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 40,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-8- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ SUMMIT CAPITAL APPRECIATION FUND LP I.R.S. Identification Nos. of above persons (entities only)....................... 41-1822728 - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 400,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 400,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 400,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 1.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. PN - -------------------------------------------------------------------------------
-9- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ CURTIS L. CARLSON FOUNDATION I.R.S. Identification Nos. of above persons (entities only)....................... 41-6028973 - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 135,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 135,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 135,000 - ------------------------------------------------------------------------------- (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)................................. OO - -------------------------------------------------------------------------------
-10- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ NAFCO INSURANCE COMPANY LTD. OF I.R.S. Identification Nos. of above BERMUDA persons (entities only)....................... 41-1692396 - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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................................. BERMUDA - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power...................... 135,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 135,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 135,000 - ------------------------------------------------------------------------------- (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)................................. IC - -------------------------------------------------------------------------------
-11- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ REVOCABLE TRUST OF GLEN D. NELSON I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 100,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 100,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 100,000 - ------------------------------------------------------------------------------- (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)................................. OO - -------------------------------------------------------------------------------
-12- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ CURTIS L. CARLSON OCTAGON TRUST I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 80,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 80,000 (10) Shared dispositive power ............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 80,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 0.2% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................ OO - -------------------------------------------------------------------------------
-13- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ SCOTT C. GAGE I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 30,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 30,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 30,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-14- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ RICHARD C. GAGE I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 20,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 20,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 20,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-15- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ DIANA NELSON I.R.S. Identification Nos. of above persons (entities only),,,,,,,,,,,,,,,,,,,,,,, - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 10,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 10,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 10,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ > 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-16- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ GEOFFREY C. GAGE I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 10,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 10,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 10,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ > 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-17- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ WENDY M. NELSON I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 20,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 20,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 20,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-18- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ JENNIFER L. NELSON TRUST I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 15,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 15,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 15,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ > 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. OO - -------------------------------------------------------------------------------
-19- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ JULIET A. NELSON TRUST I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 15,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 15,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 15,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ > 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. OO - -------------------------------------------------------------------------------
-20- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ REVOCABLE TRUST OF EDWIN C. GAGE I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 25,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 25,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 25,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. OO - -------------------------------------------------------------------------------
-21- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ REVOCABLE TRUST OF BARBARA C. GAGE I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 25,000 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 25,000 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 25,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. OO - -------------------------------------------------------------------------------
-22- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ BCU INVESTMENTS, L.L.C. I.R.S. Identification Nos. of above persons (entities only)....................... 41-1925582 - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 795,100 (8) Shared voting power.................... -0- (9) Sole dispositive power................. 795,100 (10) Shared dispositive power.............. -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 795,100 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 2.2% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. 00 - -------------------------------------------------------------------------------
-23- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ NASSER J. KAZEMINY I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... -0- (8) Shared voting power.................... 795,100 (9) Sole dispositive power................. -0- (10) Shared dispositive power.............. 795,100 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 795,100 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 1.6% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-24- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ JOHN K. ELLINGBOE I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... 11,500 (8) Shared voting power.................... 40,000 (9) Sole dispositive power................. 11,500 (10) Shared dispositive power.............. 40,000 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 51,500 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-25- SCHEDULE 13D CUSIP NO. 099541 20 3 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS................ CATHERINE A. CELLA I.R.S. Identification Nos. of above persons (entities only)....................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a (a) X member of a group (see 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...................... -0- (8) Shared voting power.................... 40,000 (9) Sole dispositive power................. -0- (10) Shared dispositive power.............. 40,000 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 40,000 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)............................ 0.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions)................................. IN - -------------------------------------------------------------------------------
-26- ITEM 1. SECURITY AND ISSUER This statement relates to the voting Common Units of Borden Chemicals and Plastics Limited Partnership (the "Issuer"), a Delaware limited partnership, having its principal place of business at Highway 73, Geismar, Louisiana 70734. ITEM 2. IDENTITY AND BACKGROUND This statement is filed jointly by the individuals and entities identified below (collectively the "Holders"): 1. Marc H. Kozberg Dougherty Summit Securities LLC 90 South Seventh Street, Suite 4000 Minneapolis, MN 55402 Mr. Kozberg is an investor and is employed by Dougherty Summit Securities LLC 2. Bruce E. Hendry Dougherty Summit Securities LLC 90 South Seventh Street, Suite 4000 Minneapolis, MN 55402 Mr. Hendry is an investor and is employed by Dougherty Summit Securities LLC 3. James A. Potter Dougherty Summit Securities LLC 90 South Seventh Street, Suite 4000 Minneapolis, MN 55402 Mr. Potter is an investor and is employed by Dougherty Summit Securities LLC 4. Dr. Demetre Nicoloff 920 East 28th Street Minneapolis, MN 55407 Dr. Nicoloff is a physician with an office at the above address. 5. G. James Spinner Dougherty Summit Securities LLC 90 South Seventh Street, Suite 4000 Minneapolis, MN 55402 Mr. Spinner is an investor and is employed by Dougherty Summit Securities LLC -27- 6. Robert H. Paymar Dougherty Summit Securities LLC 90 South Seventh Street, Suite 4000 Minneapolis, MN 55402 Mr. Paymar is an investor and is employed by Dougherty Summit Securities LLC 7. Stanley I. Barenbaum c/o Dougherty Summit Securities LLC 90 South Seventh Street, Suite 4000 Minneapolis, MN 55402 Mr. Barenbaum is an investor and is self employed 8. Summit Capital Appreciation Fund LP Dougherty Summit Securities LLC 90 South Seventh Street, Suite 4000 Minneapolis, MN 55402 Summit Capital Fund Appreciation Fund LP is a limited partnership organized in Minnesota. SCA Management Partners L.L.P., a Minnesota limited liability partnership, is the general partner of Summit Capital Appreciation Fund LP. Messrs. Kozberg, Nicoloff, Spinner, Paymar, and Barenbaum are the partners of SCA Management Partners L.L.P. 9. Curtis L. Carlson Foundation 701 Carlson Parkway Minneapolis, MN 55459-8215 Curtis L. Carlson Foundation is a foundation organized under the laws of the State of Minnesota. 10. NAFCO Insurance Company Ltd. of Bermuda 701 Carlson Parkway Minneapolis, MN 55459-8215 NAFCO Insurance Company Ltd. of Bermuda is a corporation organized under the laws of Bermuda. 11. Revocable Trust of Glen D. Nelson 701 Carlson Parkway Minneapolis, MN 55459-8215 Revocable Trust of Glen D. Nelson is a trust organized under the laws of the State of Minnesota. 12. Curtis L. Carlson Octagon Trust 701 Carlson Parkway Minneapolis, MN 55459-8215 Curtis L. Carlson Octagon Trust is a trust organized under the laws of the State of Minnesota. -28- 13. Scott C. Gage 701 Carlson Parkway Minneapolis, MN 55459-8215 Mr. Gage is an investor and is employed by Gage Marketing Group 14. Richard C. Gage 701 Carlson Parkway Minneapolis, MN 55459-8215 Mr. Gage is an investor and small business owner 15. Diana Nelson 701 Carlson Parkway Minneapolis, MN 55459-8215 Ms. Nelson is an investor 16. Geoffrey C. Gage 701 Carlson Parkway Minneapolis, MN 55459-8215 Mr. Gage is an investor and is employed by Gage Marketing Group 17. Wendy M. Nelson 701 Carlson Parkway Minneapolis, MN 55459-8215 Ms. Nelson is an investor 18. Jennifer L. Nelson Trust 701 Carlson Parkway Minneapolis, MN 55459-8215 Jennifer L. Nelson Trust is a trust organized under the laws of the State of Minnesota 19. Juliet A. Nelson Trust 701 Carlson Parkway Minneapolis, MN 55459-8215 Juliet A. Nelson Trust is a trust organized under the laws of the State of Minnesota 20. Revocable Trust of Edwin C. Gage 701 Carlson Parkway Minneapolis, MN 55459-8215 Revocable Trust of Edwin C. Gage is a trust organized under the laws of the State of Minnesota. 21. Revocable Trust of Barbara C. Gage 701 Carlson Parkway Minneapolis, MN 55459-8215 Revocable Trust of Barbara C. Gage is a trust organized under the laws of the State of Minnesota. -29- 22. BCU Investments, L.L.C. 7803 Glenroy Road Bloomington, MN 55439 BCU Investments, L.L.C. is a Minnesota limited liability company. Its sole member is Nasser J. Kazeminy. 23. Nasser J. Kazeminy c/o BCU Investments, L.L.C. 7803 Glenroy Road Bloomington, MN 55439 Mr. Kazeminy is an investor. 24. John K. Ellingboe c/o BCU Investments, L.L.C. 7803 Glenroy Road Bloomington, MN 55439 Mr. Ellingboe is an investor and employed by NJK Holding Corporation. 25. Catherine A. Cella c/o BCU Investments, L.L.C. 7803 Glenroy Road Bloomington, MN 55439 Ms. Cella is an investor. None of the above-referenced Holders has, during the past five years, been convicted in a criminal proceeding, excluding traffic violations or similar misdemeanors, nor have any of the Holders been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction where, as a result of such proceeding, any of the Holders became subject to a judgment, decree, or final order enjoining future violations of, or prohibiting or mandating activities subject to federal or state securities laws or finding any violation with respect to such laws. Each individual Holder is a citizen of the United States. Summit Capital Appreciation Fund LP is a limited partnership organized in Minnesota. Curtis L. Carlson Foundation is a foundation organized under the laws of the State of Minnesota. NAFCO Insurance Company Ltd. of Bermuda is a corporation organized under the laws of Bermuda. BCU Investments, -30- L.L.C. is a limited liability company organized under the laws of the State of Minnesota. All of the above referenced trusts are trusts organized under the laws of the State of Minnesota. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. The Common Units of the Issuer were purchased by each Holder from available cash resources or working capital. ITEM 4. PURPOSE OF TRANSACTION. See Item 3. The Holders have acquired the Common Units of the Issuer for investment purposes. The Holders specifically reserve the right to purchase additional or sell Common Units of the Issuer if they deem it in their best interest, and to communicate with other Unit holders of the Issuer regarding matters of common concern as Unit holders of the Issuer. The Holders do not have any plans or proposals respecting extraordinary corporate transactions effecting the Issuer, sale of its assets, changes in its management, capitalization, dividend policy, business or corporate structure, charter or bylaws, or the listing of the Issuer's securities or similar actions, but the Holders do intend to explore opportunities to enhance Unit holder value. To that end, the Holders intend to explore the retention of an investment banking firm to advise and assist Holders in evaluating strategies for maximizing Unit holder value. Mr. Kozberg and Mr. Hendry, intend to actively monitor management of the Issuer on behalf of the Holders and to consult with management relating to enhancement of Unit holder value. 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 23, 1998 by each of the Holders is set forth below: -31-
Percentage of Name Number of Common Units Outstanding Units ---- ---------------------- ----------------- Marc H. Kozberg 450,000 * 1.2% Bruce E. Hendry 1,091,300 3.0% Dr. Demetre Nicoloff 550,000 * 1.5% G. James Spinner 450,000 * 1.2% Robert H. Paymar 500,000 * 1.4% Stanley I. Barenbaum 450,000 * 1.2% James A. Potter 40,000 0.1% Summit Capital Appreciation Fund LP 400,000 1.1% Curtis L. Carlson Foundation 135,000 0.4% NAFCO Insurance Company Ltd. of Bermuda 135,000 0.4% Revocable Trust of Glen D. Nelson 100,000 0.3% Curtis L. Carlson Octagon Trust 80,000 0.2% Scott C. Gage 30,000 0.1% Richard C. Gage 20,000 0.1% Diana Nelson 10,000 > 0.1% Geoffrey C. Gage 10,000 > 0.1% Wendy M. Nelson 20,000 0.1% Jennifer L. Nelson Trust 15,000 > 0.1% Juliet A. Nelson Trust 15,000 > 0.1% Revocable Trust of Edwin C. Gage 25,000 0.1% Revocable Trust of Barbara C. Gage 25,000 0.1% BCU Investments, L.L.C. 795,100 2.2% Nasser J. Kazeminy 795,100 # 2.2% John K. Ellingboe 51,500 ^ 0.1% Catherine A. Cella 40,000 0.1%
* Includes 400,000 Common Units owned by Summit Capital Appreciation Fund LP. # Includes 795,100 Common Units owned by BCU Investments, L.L.C. ^ Includes 40,000 Common Units held as joint tenants The Holders' response to Items 7 through 13 of the cover pages of the statement are incorporated herein by reference. According to the Issuer's most current filing with the SEC, the Issuer has 36,750,000 Common Units outstanding. The Holders, as of December 23, 1998, collectively own 3,397,100 Units of the Issuer's Common Units, constituting approximately 8.7% of all of the outstanding voting Common Units. -32- Transactions by the Holders in Common Units of the Issuer since the most recent filing of Schedule 13D, or that were not reported in previous filings, are as follows:
TYPE OF NUMBER OF PRICE/ NAME DATE TRANSACTION UNITS UNIT ---- ---- ----------- --------- ------- John K. Ellingboe^^ 10/07/98 Buy 10,000 3.13 John K. Ellingboe^^ 10/09/98 Buy 10,000 3.13 John K. Ellingboe^^ 10/29/98 Buy 10,000 3.81 John K. Ellingboe^^ 11/20/98 Buy 10,000 4.63 Wendy L. Nelson 11/24/98 Buy 20,000 4.1875 Jennifer L. Nelson Trust 11/24/98 Buy 10,000 4.3125 Juliet A. Nelson Trust 11/24/98 Buy 10,000 4.3125 CLC Octagon Trust# 11/24/98 Sell 20,000 4.1875 CLC Octagon Trust 11/24/98 Sell 10,000 4.3125 CLC Octagon Trust 11/24/98 Sell 10,000 4.3125 John K. Ellingboe 12/09/98 Buy 11,500 4.0 Jennifer L. Nelson Trust 11/30/98 Buy 5,000 4.0417 Juliet A. Nelson Trust 11/30/98 Buy 5,000 4.0417 CLC Family Foundation* 11/30/98 Buy 10,000 4.0417 NAFCO** 11/30/98 Buy 10,000 4.0417 Revocable Trust of EDG*** 11/30/98 Buy 25,000 4.0775 Revocable Trust of BCG^ 11/30/98 Buy 25,000 4.0775 BCU, L.L.C.## 12/10/98 Buy 195,200 4.2340 BCU, L.L.C.## 12/11/98 Buy 196,700 4.4371 BCU, L.L.C.## 12/14/98 Buy 37,900 4.4589 BCU, L.L.C.## 12/15/98 Buy 30,500 4.4773 BCU, L.L.C.## 12/16/98 Buy 67,800 4.4927 BCU, L.L.C.## 12/17/98 Buy 65,900 4.4725 BCU, L.L.C.## 12/18/98 Buy 26,000 4.4952 BCU, L.L.C. 12/21/98 Buy 61,000 4.4846 BCU, L.L.C. 12/22/98 Buy 114,100 4.467 TOTAL (SELL) (40,000) TOTAL (BUY) 791,500 ------- TOTAL (NET) 751,500
* Curtis L. Carlson Family Foundation ** NAFCO Insurance Company Ltd. of Bermuda *** Revocable Trust of Edwin C. Gage # Curtis L. Carlson Octagon Trust ^ Revocable Trust of Barbara C. Gage ## BCU Investments, L.L.C. ^^ Purchased as joint tenant with Catherine A. Cella -33- The parallel buy and sell transactions on November 24, 1998 reflect a reallocation of 40,000 Units of the Issuer among members of the Group. The purchases of those Units were reflected in earlier Schedule 13D filings. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS, OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. None. 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). -34- SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Bruce E. Hendry --------------------------------------- Bruce E. Hendry SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Marc H. Kozberg --------------------------------------- Marc H. Kozberg SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Dr. Demetre Nicoloff --------------------------------------- Dr. Demetre Nicoloff SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ G. James Spinner --------------------------------------- G. James Spinner -35- SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Robert H. Paymar --------------------------------------- Robert H. Paymar SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Stanley I. Barenbaum --------------------------------------- Stanley I. Barenbaum SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ James A. Potter --------------------------------------- James A. Potter -36- SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 SUMMIT CAPITAL APPRECIATION FUND LP By: SCA Management Partners L.L.P. By: /s/ Marc H. Kozberg -------------------------------- Marc H. Kozberg, a partner SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 CURTIS L. CARLSON FOUNDATION By: /s/ Donna Snyder ------------------------------------ Donna Snyder, Secretary SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 NAFCO INSURANCE COMPANY LTD. OF BERMUDA By: /s/ Mary Stotts ------------------------------------ Mary Stotts, Authorized Agent -37- SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 REVOCABLE TRUST OF GLEN D. NELSON By: /s/ Glen D. Nelson ------------------------------------ Glen D. Nelson, Trustee SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 CURTIS L. CARLSON OCTAGON TRUST By: /s/ John Flottmeier ------------------------------------ John Flottmeier, Trust Manager SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Scott C. Gage --------------------------------------- Scott C. Gage -38- SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Richard C. Gage --------------------------------------- Richard C. Gage SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Diana L. Nelson --------------------------------------- Diana Nelson SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Geoffrey C. Gage --------------------------------------- Geoffrey C. Gage SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Wendy M. Nelson --------------------------------------- Wendy M. Nelson -39- SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 JENNIFER L. NELSON TRUST By: /s/ Curtis C. Nelson ----------------------------------- Curtis C. Nelson Trustee ----------------, ---------------- SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 JULIET A. NELSON TRUST By: /s/ Curtis C. Nelson ----------------------------------- Curtis C. Nelson Trustee ----------------, ---------------- SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 REVOCABLE TRUST OF EDWIN C. GAGE TRUST By: /s/ John Flottmeier ----------------------------------- John Flottmeier Trust Manager ----------------, ---------------- -40- SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 REVOCABLE TRUST OF BARBARA C. GAGE By: /s/ John Flottmeier ----------------------------------- John Flottmeier Trust Manager ----------------, ---------------- SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 BCU INVESTMENTS, L.L.C. By: /s/ Nasser J. Kazeminy ----------------------------------- Nasser J. Kazeminy, Chairman SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Nasser J. Kazeminy ----------------------------------- Nasser J. Kazeminy -41- SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ John K. Ellingboe ----------------------------------- John K. Ellingboe SIGNATURE After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 28, 1998 /s/ Catherine A. Cella ----------------------------------- Catherine A. Cella -42- 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/ Bruce E. Hendry ----------------------------------- Bruce E. Hendry /s/ Marc H. Kozberg ----------------------------------- Marc H. Kozberg /s/ Dr. Demetre Nicoloff ----------------------------------- Dr. Demetre Nicoloff /s/ G. James Spinner ----------------------------------- G. James Spinner /s/ Robert H. Paymar ----------------------------------- Robert H. Paymar /s/ Stanley I. Barenbaum ----------------------------------- Stanley I. Barenbaum /s/ James A. Potter ----------------------------------- James A. Potter SUMMIT CAPITAL APPRECIATION FUND LP By: SCA Management Partners L.L.P. By: /s/ Marc H. Kozberg --------------------------- Marc H. Kozberg, a partner -43- CURTIS L. CARLSON FOUNDATION By: /s/ Donna D. 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 /s/ Diana L. Nelson -------------------------------- Diana Nelson /s/ Geoffrey C. Gage -------------------------------- Geoffrey C. Gage /s/ Wendy M. Nelson -------------------------------- Wendy M. Nelson -44- 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 ----------------, ------------ REVOCABLE TRUST OF EDWIN C. GAGE 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/ Nasser J. Kazeminy ------------------------------ Nasser J. Kazeminy, Chairman /s/ Nasser J. Kazeminy ---------------------------------- Nasser J. Kazeminy /s/ John K. Ellingboe ---------------------------------- John K. Ellingboe /s/ Catherine A. Cella ---------------------------------- Catherine A. Cella -45- -----END PRIVACY-ENHANCED MESSAGE-----