-----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, Ssqdr9R1XwjcWcm/DAKaIgZim1/v37NSkD+wsPejZ9jZglGtJd/XZPsQZwoQGrup VUmf7QM4R+kSMaSzLG+83A== /in/edgar/work/20000710/0000950130-00-003816/0000950130-00-003816.txt : 20000712 0000950130-00-003816.hdr.sgml : 20000712 ACCESSION NUMBER: 0000950130-00-003816 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000630 FILED AS OF DATE: 20000710 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA LABORATORIES INC CENTRAL INDEX KEY: 0000821995 STANDARD INDUSTRIAL CLASSIFICATION: [2834 ] IRS NUMBER: 592758596 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-10352 FILM NUMBER: 670516 BUSINESS ADDRESS: STREET 1: 2875 NORWEST 191 STREET STE 400 CITY: AVENTURA STATE: FL ZIP: 33180 BUSINESS PHONE: 3059336089 MAIL ADDRESS: STREET 1: 2875 NORWEST 191 STREET STE 400 CITY: AVENTURA STATE: FL ZIP: 33180 COMPANY DATA: COMPANY CONFORMED NAME: KNOTT DAVID M CENTRAL INDEX KEY: 0000808722 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OTHER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 4 1 0001.txt FORM 4 /------------------------------/ / OMB APPROVAL / /------------------------------/ / OMB Number: 3235-0287 / / Expires: Sept. 30, 1998 / / Estimated average burden / / hours per response...... 0.5 / /------------------------------/ +--------+ | FORM 4 | U.S. SECURITIES AND EXCHANGE COMMISSION +--------+ WASHINGTON, D.C. 20549 [X] Check this box if no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP to Section 16. Form 4 or Form 5 Filed pursuant to Section 16(a) of the Securities obligations may Exchange Act of 1934, Section 17(a) of the continue. See Public Utility Holding Company Act of 1935 or Instruction 1(b). Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Knott David M. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 485 Underhill Blvd., Suite 205 - -------------------------------------------------------------------------------- (Street) Syosset, NY 11791 - -------------------------------------------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Columbia Laboratories, Inc. (COB) ----------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ###-##-#### -------------- 4. Statement for Month/Year June, 2000 --------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) --------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ___ Director ___ Officer ___ 10% Owner _X_ Other (give title below) (specify below) Former Member of a ------------------ group described on ------------------ page 2 ------ ---------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) _____ Form filed by One Reporting Person __X__ Form filed by More than One Reporting Person Table I--Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Title 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature of action action or Disposed of (D) Securities ship of In- Security Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Instr. 3) (Month/ (Instr. 8) Owned at Direct Bene- Day/ ----------------------------------------------- End of (D) or ficial Year) Month Indirect Owner- Code V Amount (A) or Price (Instr. 3 and 4) (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 6/15/00 P 18,100 A $5.41 I (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 6/15/00 P 11,900 A $5.41 I (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 778,800(3) - ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. SEC 1473 (7-96)Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) Page 1 of 3 pages SEC 1474 (8/92) Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ----------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- Security (Instr. 3) sion or action tion Code ative Securities Exercise Date (Instr. 8) Acquired (A) or Price of (Month/ Disposed of (D) Deriv- Day/ (Instr. 3, 4, and 5) ative Year) Security --------------------------------------------------- Code V (A) (D) - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - -----------------------------------------------------------------------------------------------------------------------------
Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ------------------------------------------------------------------------------------------------------------------------------------ 6. Date Exer- 7. Title and Amount of 8. Price 9. Number 10. Owner- 11. Na- cisable and Underlying Securities of of Deriv- ship ture Expiration (Instr. 3 and 4) Deriv- ative Form of In- Date ative Secur- of De- direct (Month/Day/ Secur- ities rivative Bene- Year) ity Bene- Securities ficial (Instr. ficially Bene- Owner- -------------------------------------------- 5) Owned ficially ship Date Expira- Amount or at End Owned at (Instr. Exer- tion Title Number of of End of 4) cisable Date Shares Month Month(1) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: David M. Knott, Knott Partners, L.P., Dorset Management Corporation, and Matterhorn Offshore Fund Limited (the "Reporting Persons") may be deemed to have been members of a "group" for purposes of Section 13(d) of the Exchange Act. Each of the Reporting Persons disclaims beneficial ownership of the securities beneficially owned by any other Reporting Person. The "group" may also have included other persons identified in a Schedule 13D filed by Mr. Knott on July 16, 1998, and amended on October 13, 1998, November 23, 1998, December 18, 1998, January 20, 1999, February 8, 1999 and June 30, 2000, whose transactions are not being reported herein. Such other persons' beneficial ownership, when combined with Mr. Knott's beneficial ownership, may have exceeded 10% of the Issuer's outstanding common stock. The Reporting Persons disclaim beneficial ownership of the securities beneficially owned by such other persons whose transactions are not being reported herein. The term of the agreement (the "Agreement") entered into among Columbia Laboratories, Inc. (the "Company"), such other persons, Knott Partners, L.P. and Mr. Knott, pursuant to which the Company agreed to take certain actions with respect to the nomination of directors to the Board of Directors, the composition of committees of the Board of Directors and certain other matters, expired of its own terms immediately preceding the Company's 2000 Annual Meeting of Stockholders, which was held on May 31, 2000. Accordingly, any "group" collectively owning more than 10% of the Company's shares of which they might previously have been deemed to be members no longer exists and the Reporting Persons are no longer subject to Section 16 and have no Form 4 or Form 5 filing obligations. (1) These securities may be beneficially owned by Dorset Management Corporation. Pursuant to Rule 13d-3 under the Exchange Act, Dorset Management Corporation may be a beneficial owner of the shares directly owned by its clients for whom it exercises discretionary trading authority. (2) These securities may be beneficially owned by Mr. Knott. Pursuant to Rule 13d-3 under the Exchange Act, Mr. Knott may be a beneficial owner of all of the securities beneficially owned by Dorset Management Corporation and Knott Partners, L.P., as those companies sole shareholder/director and sole general partner, respectively. (3) Amount shown does not include shares of common stock underlying derivative securities. Of the 778,800 shares which may be benefically owned by Mr. Knott pursuant to Rule 13d-3 at the end of the month reported herein, Matterhorn Offshore Fund Limited beneficially owns 108,000 of such shares; Dorset Management Corporation may be deemed to beneficially own 420,000 of such shares; and Knott Partners, L.P. beneficially owns 342,000 of such shares. * Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ David M. Knott July 10, 2000 ------------------------------- ----------------- **Signature of Reporting Person Date See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2 of 3 pages SEC 1474(8/92) Joint Filer Information ----------------------- Name: Knott Partners, L.P. Address: 485 Underhill Blvd., Suite 205 Syosset, New York 11791 Designated Filer: David M. Knott Issuer Ticker Symbol: Columbia Laboratories, Inc. (COB) Statement for Month/Year: June, 2000 Signature: KNOTT PARTNERS, L.P. By: /s/ David M. Knott ----------------------------------------- David M. Knott, General Partner Name: Dorset Management Corporation Address: 485 Underhill Blvd., Suite 205 Syosset, New York 11791 Designated Filer: David M. Knott Issuer Ticker Symbol: Columbia Laboratories, Inc. (COB) Statement for Month/Year: June, 2000 Signature: DORSET MANAGEMENT CORPORATION By: /s/ David M. Knott ----------------------------------------- David M. Knott, President Name: Matterhorn Offshore Fund Limited Address: c/o Citco Fund Service (Curacao) N.V. Kaya Flamboyan 9 P.O. Box 707 Curacao, Netherland Antilles Designated Filer: David M. Knott Issuer Ticker Symbol: Columbia Laboratories, Inc. (COB) Statement for Month/Year: June, 2000 Signature: MATTERHORN OFFSHORE FUND LIMITED By: INTER CARRIBEAN SERVICES, LTD. As Sole Director By: /s/ Declan Quilligan ----------------------------------------- Declan Quilligan By: /s/ Clare McAdam ----------------------------------------- Clare McAdam -----END PRIVACY-ENHANCED MESSAGE-----