-----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, Ku9ythLsaYChvfmaMuYiGRAeAZIJeRGvKBcauDAv5WTVLDA9PF5iswZON2858dUy dgoev2aFpPcML4MhH8d+mg== 0001047469-99-029147.txt : 19990802 0001047469-99-029147.hdr.sgml : 19990802 ACCESSION NUMBER: 0001047469-99-029147 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990730 GROUP MEMBERS: BCU INVESTMENTS, L.L.C. GROUP MEMBERS: BRUCE E. HENDRY GROUP MEMBERS: CURTIS L. CARLSON FOUNDATION GROUP MEMBERS: CURTIS L. CARLSON OCTAGON TRUST 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: 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: 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: 99673569 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) July 27, 1999 ------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. (Cover page continued on next 8 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 (a) X 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.............................. 245,000 (9) Sole dispositive power........................... 50,000 (10) Shared dispositive power........................ 245,000 - ----------------------------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 295,000 - ----------------------------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- --------------------------------------- (13) Percent of class represented by amount in Row (11)... 0.8% - ----------------------------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - -----------------------------------------------------------------------------------------------------
-2- SCHEDULE 13D CUSIP NO. 099541 20 3 - ----------------------------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only)........................................... BRUCE E. HENDRY - ----------------------------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a (a) X 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................................ 1,191,300 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 1,191,300 (10) Shared dispositive power........................ -0- - ----------------------------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 1,191,300 - ----------------------------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- --------------------------------------- (13) Percent of class represented by amount in Row (11)... 3.2% - ----------------------------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - -----------------------------------------------------------------------------------------------------
-3- SCHEDULE 13D CUSIP NO. 099541 20 3 - ----------------------------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only)........................................... DR. DEMETRE NICOLOFF - ----------------------------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a (a) X 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................................ 142,700 (8) Shared voting power.............................. 245,000 (9) Sole dispositive power........................... 142,700 (10) Shared dispositive power........................ 245,000 - ----------------------------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 387,700 - ----------------------------------------------------------------------------------------------------- (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).......... IN - -----------------------------------------------------------------------------------------------------
-4- SCHEDULE 13D CUSIP NO. 099541 20 3 - ----------------------------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only)........................................... G. JAMES SPINNER - ----------------------------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a (a) X 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.............................. 245,000 (9) Sole dispositive power........................... 50,000 (10) Shared dispositive power........................ 245,000 - ----------------------------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 295,000 - ----------------------------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- --------------------------------------- (13) Percent of class represented by amount in Row (11)... 0.8% - ----------------------------------------------------------------------------------------------------- (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)........................................... ROBERT H. PAYMAR - ----------------------------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a (a) X 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.............................. 245,000 (9) Sole dispositive power........................... 100,000 (10) Shared dispositive power........................ 245,000 - ----------------------------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 345,000 - ----------------------------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- --------------------------------------- (13) Percent of class represented by amount in Row (11)... 0.9% - ----------------------------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - -----------------------------------------------------------------------------------------------------
-6- SCHEDULE 13D CUSIP NO. 099541 20 3 - ----------------------------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only)........................................... STANLEY I. BARENBAUM - ----------------------------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a (a) X 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.............................. 245,000 (9) Sole dispositive power........................... 30,000 (10) Shared dispositive power........................ 245,000 - ----------------------------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 275,000 - ----------------------------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- --------------------------------------- (13) Percent of class represented by amount in Row (11)... 0.7% - ----------------------------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - -----------------------------------------------------------------------------------------------------
-7- SCHEDULE 13D CUSIP NO. 099541 20 3 - ----------------------------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only)........................................... JAMES A. POTTER - ----------------------------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a (a) X 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................................ 60,000 (8) Shared voting power.............................. 245,000 (9) Sole dispositive power........................... 60,000 (10) Shared dispositive power........................ 245,000 - ----------------------------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 305,000 - ----------------------------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- --------------------------------------- (13) Percent of class represented by amount in Row (11)... 0.8% - ----------------------------------------------------------------------------------------------------- (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 member of a (a) X 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................................ 245,000 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 245,000 (10) Shared dispositive power........................ -0- - ----------------------------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 245,000 - ----------------------------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------- --------------------------------------- (13) Percent of class represented by amount in Row (11)... 0.7% - ----------------------------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... PN - -----------------------------------------------------------------------------------------------------
-9- 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 and May 10, 1999. This filing is the fourth 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. The Holders' responses to Items 1-4, and 6 remain unchanged. ITEM 2. IDENTITY AND BACKGROUND James A. Potter is now a partner in SCA Management Partners, L.L.P. ("SCA"), which is the general partner of Summit Capital Appreciation Fund, LP. The partners in SCA are now Messrs. Potter, Kozberg, Nicoloff, Spinner, Paymar and Barenbaum. All other information regarding the Holders in Item 2 of the most recent filing remains accurate. -10- 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 July 29, 1999 by each of the Holders is set forth below:
Percentage of Name Number of Common Units Outstanding Units ---- ---------------------- ----------------- Marc H. Kozberg 295,000 * 0.8% Bruce E. Hendry 1,191,300 3.2% Dr. Demetre Nicoloff 387,700 * 1.1% G. James Spinner 295,000 * 0.8% Robert H. Paymar 345,000 *^ 0.9% Stanley I. Barenbaum 275,000 * 0.7% James A. Potter 305,000 *@ 0.8% Summit Capital Appreciation Fund LP 245,000 0.7% 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. 695,100 2.2% Nasser J. Kazeminy 695,100 # 2.2%
* Includes 245,000 Common Units owned by Summit Capital Appreciation Fund LP. # Includes 695,100 Common Units owned by BCU Investments, L.L.C. ^ Includes 32,600 Common Units subject to call options at $10.00 per Unit expiring November 20, 1999 and 1,300 Common Units subject to call options at $10.00 per Unit expiring February 19, 2000. @ Includes 5,000 Common Units owned as joint tenant with spouse and 5,000 Common Units controlled in custodial accounts of minor children. On May 10, 1999, the Issuer had 36,750,000 Common Units outstanding. The Holders, as of July 29, 1999, collectively own 2,884,100 Units of the Issuer's Common Units, constituting approximately 7.8% of all of the outstanding voting Common Units. The Holders' most recent Schedule 13D Amendment indicated that the Holders collectively owned 2,546,400 Units representing 6.9% of the outstanding Units of the Issuer. These numbers are erroneous. The correct numbers should have been 2,446,400 and 6.7% respectively. -11- Transactions by the Holders in Common Units of the Issuer since the most recent filing of a Schedule 13D Amendment are as follows:
TYPE OF NUMBER OF PRICE/ NAME DATE TRANSACTION UNITS UNIT ---- ---- ----------- ----- ---- Robert H. Paymar 05/07/99 Sell 35,000 8.8750 Robert H. Paymar 05/28/99 Buy 10,000 6.8125 Dr. Demetre Nicoloff 06/01/99 Buy 2,400 6.7059 Bruce E. Hendry 06/09/99 Buy 15,000 7.1250 Bruce E. Hendry 06/10/99 Buy 30,000 7.0000 Bruce E. Hendry 06/11/99 Buy 12,000 7.0625 Bruce E. Hendry 06/11/99 Buy 3,000 7.0000 Bruce E. Hendry 06/14/99 Buy 10,000 7.0000 Bruce E. Hendry 06/15/99 Buy 10,000 7.0000 Summit Capital* 06/18/99 Buy 20,300 6.8759 Bruce E. Hendry 06/21/99 Buy 20,000 6.9375 Dr. Demetre Nicoloff 06/21/99 Buy 30,000 6.9375 Summit Capital* 06/21/99 Buy 4,700 6.9375 James A. Potter 06/29/99 Buy 2,000 7.0625 James A. Potter 06/29/99 Buy 1,000 7.0625 James A. Potter 06/29/99 Buy 1,000 7.0625 James A. Potter 06/29/99 Buy 1,000 7.0625 Dr. Demetre Nicoloff 06/30/99 Buy 3,300 7.0000 Summit Capital* 07/13/99 Buy 20,500 6.8415 Summit Capital* 07/14/99 Buy 4,500 6.8125 Marc H. Kozberg 07/20/99 Buy 28,000 5.9507 Dr. Demetre Nicoloff 07/20/99 Buy 5,000 5.9506 Dr. Demetre Nicoloff 07/20/99 Buy 27,000 5.9506 Robert H. Paymar 07/20/99 Buy 10,000 5.9507 Summit Capital* 07/20/99 Buy 25,000 5.9507 Stanley I. Barenbaum 07/21/99 Buy 30,000 5.6354 Marc H. Kozberg 07/21/99 Buy 12,000 5.6354 Robert H. Paymar 07/21/99 Buy 10,000 5.6250 Summit Capital* 07/21/99 Buy 10,000 5.6354 Marc H. Kozberg 07/22/99 Buy 10,000 5.7495 Robert H. Paymar 07/22/99 Buy 5,000 5.8125 James A. Potter 07/22/99 Buy 5,000 5.9375 Summit Capital* 07/22/99 Buy 3,400 5.7495 Summit Capital* 07/23/99 Buy 11,600 5.7500 Summit Capital* 07/27/99 Buy 20,000 5.5938 TOTAL (SELL) (30,000) TOTAL (BUY) 412,700 -------- TOTAL (NET) (382,700)
* Summit Capital Appreciation Fund, LP -12- Additionally, Robert A. Paymar has engaged in transactions in options of the Issuer. As of the date of the last Schedule 13D Amendment, Mr. Paymar had sold options to purchase 50,000 Units at $10.00 expiring November 20, 1999. As the net effect of his transactions in options, as of July 28, 1999, Mr. Paymar had sold options to purchase 32,600 Units at $10.00 expiring November 20, 1999 and options to purchase 1,300 Units at $10.00 expiring February 19, 2000. Mr. Paymar engaged in the following transactions since the most recent Schedule 13D Amendment:
OPTION DATE ACTION AMOUNT PRICE BCU Nov 7.5 Call 05/07/99 Sell -1500 $2.6875 BCU Nov 7.5 Call 06/02/99 Buy 500 $1.2500 BCU Feb 10 Call 06/22/99 Sell -2000 $1.1875 BCU Feb 10 Call 06/23/99 Sell -1000 $1.1250 BCU Nov 7.5 Call 06/24/99 Buy 1000 $1.3125 BCU Feb 10 Call 07/14/99 Buy 700 $0.5625 BCU Nov 10 Call 07/15/99 Buy 5000 $0.3125 BCU Nov 10 Call 07/16/99 Buy 1500 $0.3125 BCU Nov 10 Call 07/19/99 Buy 400 $0.2500 BCU Nov 10 Call 07/20/99 Buy 5000 $0.1250 BCU Nov 10 Call 07/21/99 Buy 500 $0.1250 BCU Feb 10 Call 07/22/99 Buy 1000 $0.2500 BCU Nov 10 Call 07/23/99 Buy 5000 $0.1875
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). -13- 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: July 30, 1999 /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: July 30, 1999 /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: July 30, 1999 /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: July 30, 1999 /s/ G. James Spinner ------------------------- G. James Spinner -14- 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: July 30, 1999 /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: July 30, 1999 /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: July 30, 1999 /s/ James A. Potter ------------------------- James A. Potter -15- 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: July 30, 1999 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: July 30, 1999 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: July 30, 1999 NAFCO INSURANCE COMPANY LTD. OF BERMUDA By: /s/ Mary Stotts --------------------------------------- Mary Stotts, Authorized Agent -16- 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: July 30, 1999 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: July 30, 1999 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: July 30, 1999 /s/ Scott C. Gage --------------------------------------- Scott C. Gage -17- 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: July 30, 1999 /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: July 30, 1999 REVOCABLE TRUST OF DIANA NELSON By: /s/ Diana Nelson --------------------------------------- Diana 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: July 30, 1999 /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: July 30, 1999 /s/ Wendy M. Nelson --------------------------------------- Wendy M. Nelson -18- 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: July 30, 1999 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: July 30, 1999 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: July 30, 1999 REVOCABLE TRUST OF EDWIN C. GAGE TRUST By: /s/ John Flottmeier --------------------------------------- John Flottmeier, Trust Manager -19- 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: July 30, 1999 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: July 30, 1999 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: July 30, 1999 /s/ Nasser J. Kazeminy --------------------------------------- Nasser J. Kazeminy -20- 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 -21- 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 REVOCABLE TRUST OF DIANA NELSON By: /s/ Diana Nelson ---------------------------------------- Diana Nelson, Trustee /s/ Geoffrey C. Gage ------------------------------------------- Geoffrey C. Gage /s/ Wendy M. Nelsoni ------------------------------------------- Wendy M. Nelson -22- 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 -23- -----END PRIVACY-ENHANCED MESSAGE-----