-----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, UsrS/ECbfC9ulB33QRpWGepvXgioB181wYkD2Dk+loZMNG+g11WRY+zbVlFwG+Qu JUE47KYzYj5DPbin26iNcg== 0000932799-98-000045.txt : 19980317 0000932799-98-000045.hdr.sgml : 19980317 ACCESSION NUMBER: 0000932799-98-000045 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980313 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ENVIROGEN INC CENTRAL INDEX KEY: 0000863815 STANDARD INDUSTRIAL CLASSIFICATION: HAZARDOUS WASTE MANAGEMENT [4955] IRS NUMBER: 222899415 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-42780 FILM NUMBER: 98564998 BUSINESS ADDRESS: STREET 1: 4100 QUAKERBRIDGE RD STREET 2: PRINCETON RESEARCH CENTER CITY: LAWRENCEVILLE STATE: NJ ZIP: 08648 BUSINESS PHONE: 6099369300 MAIL ADDRESS: STREET 1: PRINCETON RESEARCH CENTER STREET 2: 4100 QUAKERBRIDGE RD CITY: LAWRENCEVILLE STATE: NJ ZIP: 08648 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALLEN & CO INC/ALLEN HOLDING INC CENTRAL INDEX KEY: 0000904807 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128328300 MAIL ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) ENVIROGEN, INC. (Name of Issuer) Common Stock, Par Value, $0.01 Per Share (Title of Class of Securities) 294040100 (CUSIP Number) Gaetano J. Casillo Allen & Company Incorporated 711 Fifth Avenue, New York, New York 10022, (212) 830-8300 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 31, 1997 (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 Section 13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ]. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Section 240.13d-7(b) for other parties to whom copies are to be sent. * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 28 Pages AMENDMENT NO. 6 TO THE SCHEDULE 13D - ------------------- -------------------- CUSIP No. 294040100 Page 2 of 28 Pages - ------------------- -------------------- ============================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Allen Holding Inc. - ----------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [x] - ----------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - ----------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - ----------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - ----------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 - ----------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - ----------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 - ----------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ----------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,797,250 (Includes 706,578 warrants to purchase 706,578 shares of the Issuer's Common Stock). - ----------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.7% - ----------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* HC =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) AMENDMENT NO. 6 TO THE SCHEDULE 13D - ------------------ ------------------- CUSIP No. 294040100 Page 3 of 28 Pages - ------------------- -------------------- ============================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Allen & Company Incorporated - ----------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [x] - ----------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - ----------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - ----------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - ------------------------------------------------------------------------------ NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER 2,797,250 (Includes 706,578 warrants to purchase 706,578 shares of the Issuer's Common Stock) - ----------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - ----------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 2,797,250 (Includes 706,578 warrants to purchase 706,578 shares of the Issuer's Common Stock). - ----------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ----------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,797,250 (Includes 706,578 warrants to purchase 706,578 shares of the Issuer's Common Stock). - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.7% - ----------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO, BD. - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) AMENDMENT NO. 6 TO THE SCHEDULE 13D - ------------------- --------------------- CUSIP No. 294040100 Page 4 of 28 Pages - ------------------- --------------------- ============================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Allen Capital L.P. - ----------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [x] - ----------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - ----------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - ----------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------ NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER 0 - ----------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - ----------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 - ----------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ----------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ----------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ----------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN ============================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) AMENDMENT NO. 6 TO THE SCHEDULE 13D - ------------------- ---------------------- CUSIP No. 294040100 Page 5 of 28 Pages - ------------------- ---------------------- ============================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Allen Capital (International) L.P. - ----------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [x] - ----------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - ----------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - ----------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands - ------------------------------------------------------------------------------ NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER 0 - ----------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - ----------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 - ----------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ----------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ----------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ----------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN ============================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) Page 6 of 28 Pages AMENDMENT NO. 6 TO THE SCHEDULE 13D The Reporting Persons, consisting of Allen & Company Incorporated ("ACI"), Allen Holding Inc. ("AHI"), Allen Capital L.P. ("Capital") and Allen Capital (International) L.P. ("International") hereby amend their Schedule 13D relating to the Common Stock, $0.01 per share of Envirogen, Inc. as set forth below. Item 5. Interest in Securities of the Issuer (a) As of the close of business on October 9, 1996, the Reporting Persons, by virtue of the language of Rule 13d-3(d)(1)(i), may be deemed to own beneficially in the aggregate the number and percentage of the Issuer's Common Stock set forth opposite their names below (based upon the number Issuer's Quarterly Report on Form 10-Q for the period ended June 30, 1996 which reported the number of shares of Common Stock outstanding to be 12,868,640).
============================================================================== Name Shares of Common Stock Percentage - ------------------------------------------------------------------------------ Allen Holding Inc. 2,797,250(1) 11.7% - ------------------------------------------------------------------------------ Allen & Company Incorporated(1) 2,797,250(2) 11.7% - ------------------------------------------------------------------------------ Allen Capital L.P. 0 0% - ------------------------------------------------------------------------------ Allen Capital (International) L.P. 0 0% ==============================================================================
(1) Represents shares of the Issuer's Common Stock owned by ACI. (2) Does not include shares owned by officers and directors of ACI with respect to which ACI disclaims beneficial ownership. Includes 706,578 warrants to purchase 706,578 shares of the Issuer's Common Stock. A total of 16,913 shares of the Issuer's Common Stock and warrants to purchase 487,678 shares of the Issuer's Common Stock are held in ACI's market maker account. (c) Trades made by ACI in the past 60 days in its capacity as a market maker are reflected in Exhibit J attached hereto and incorporated herein by reference. Item 7. Material to be filed as Exhibits Exhibit A -- Directors and Executive Officers of Allen Holding Inc. and Allen & Company Incorporated. Exhibit J -- Trades made by ACI in the past 60 days in its capacity as a market marker. Page 7 of 28 Pages After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Dated: March 6, 1998 ALLEN HOLDING INC. By: ------------------------- Gaetano J. Casillo Vice President ALLEN & COMPANY INCORPORATED By: ------------------------- Gaetano J. Casillo Vice President ALLEN CAPITAL L.P. By: Allen Capital Incorporated By: -------------------------- Ellen Lynch ALLEN CAPITAL (INTERNATIONAL) L.P. By: Allen Capital (International) Inc. By: -------------------------- Ellen Lynch Page 7 of 28 Pages After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Dated: March 6, 1998 ALLEN HOLDING INC. /s/ Gaetano J. Casillo By: ------------------------- Gaetano J. Casillo Vice President ALLEN & COMPANY INCORPORATED /s/ Gaetano J. Casillo By: ------------------------- Gaetano J. Casillo Vice President ALLEN CAPITAL L.P. By: Allen Capital Incorporated By: /s/ Ellen Lynch ------------------------------ Ellen Lynch ALLEN CAPITAL (INTERNATIONAL) L.P. By: Allen Capital (International) Inc. /s/ Ellen Lynch By: -------------------------- Ellen Lynch 114649 Page 8 of 28 Pages EXHIBIT A OFFICERS AND DIRECTORS OF ALLEN & COMPANY INCORPORATED Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Herbert A. Allen x President, Managing Director, Director, Chief Executive Officer Herbert A. Allen III x Vice President, Director Grace Allen x Director Eran S. Ashany x Vice President, Director Jonathan S. Bean x Vice President, Director Edmund M. Bleich x Vice President Denise Calvo-Silver x Vice President, Director Dominick J. Cantalupo x Co-Chief Operations Officer, Vice President Marvyn Carton x Director - Emeritus Gaetano J. Casillo x Chief Compliance Officer, Vice President Robert H. Cosgriff x Chief Administrative Officer, Executive Vice President, Managing Director, Director Richard M. Crooks, Jr. x Director Thalia V. Crooks x Vice President, Director Mary L. Cullen x Vice President, Secretary, Director Robert Dean x Vice President - Elect Orin F. Devereux x Vice President, Director Daniel Englander x Vice President - Elect Howard M. Felson x Assistant Secretary, Vice President Anthony J. Ferrante x Treasurer Richard Fields x Executive Vice President, Managing Director, Director Page 9 of 28 Pages Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Paul A. Gould x Executive Vice President, Managing Director, Director John G. Hall x Vice President, Director Daniel P. Harley x Vice President John H. Josephson x Vice President, Director Clark R. Keough x Vice President, Director Donald R. Keough x Chairman of the Board, Managing Director, Director Dara Khosrowshahi x Vice President, Director Kaveh A. Khosrowshahi x Vice President, Director Neal Kopp x Vice President Irwin H. Kramer x Executive Vice President, Managing Director, Director Terry Allen Kramer x Director Suzanne G. Kucera x Vice President - Elect, Director Robert J. Kurz x Vice President William F. Leimkuhler x Assistant Secretary, Vice President, General Counsel LeRoy Kim x Vice President - Elect Jonathan Lipton x Vice President - Elect Jeffrey J. Logan x Vice President - Elect Sharon K. Losee x Vice President Dan W. Lufkin x Special Advisor to the Board of Directors Ellen F. Lynch x Vice President Robert A. Mackie x Executive Vice President, Managing Director, Director James C. Maiden, Jr. x Vice President Terence C. McCarthy x Co-Chief Operations Officer, Vice President Page 10 of 28 Pages Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Robert C. Miller x Vice President, Director Terrence Morris x Vice President - Elect Brian J. Murphy x Vice President, Director Louis J. Mustacchio x Vice President Walter T. O'Hara, Jr. x Executive Vice President, Managing Director, Director Glenn A. Okun x Vice President, Director Nancy B. Peretsman x Executive Vice President, Managing Director, Director Patrick S. Perry x Vice President, Director Pamela M. Plager x Vice President, Director Eugene Protash x Vice President, Assistant Secretary James W. Quinn x Director, Vice President, Assistant Secretary Bradley A. Roberts x Director - Elect, Vice President - Elect Philip D. Scaturro x Executive Vice President, Managing Director, Director John A. Schneider x Executive Vice President, Managing Director, Director Enrique F. Senior x Executive Vice President, Managing Director, Director Stanley S. Shuman x Executive Vice President, Managing Director, Director John M. Simon x Executive Vice President, Managing Director, Director Daniel Selmonosky x Vice President, Director Ian G. Smith x Vice President - Elect Lauren M. Tyler x Vice President, Director Dennis J. Warfield x Vice President,Chief Information Officer Page 11 of 28 Pages Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Kim M. Weiland x Executive Vice President, Managing Director, Director, Chief Financial Officer Edward D. Weinberger x Vice President, Director Harold M. Wit x Executive Vice President, Managing Director, Director
x 711 Fifth Avenue, New York, New York 10022-3194. xx All the Executive Officers and Directors of Allen & Company Incorporated are U.S. citizens unless otherwise indicated. Page 12 of 28 Pages OFFICERS AND DIRECTORS OF ALLEN HOLDING INC. Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Herbert A. Allen x President, Managing Director, Director, Chief Executive Officer Herbert A. Allen, III x Vice President, Director Grace Allen x Director Eran S. Ashany x Vice President Jonathan S. Bean x Vice President - Elect Robert E. Beers x Vice President - Elect Edmund M. Bleich x Vice President Denise Calvo-Silver x Vice President, Director Dominick J. Cantalupo x Co-Chief Operations Officer, Vice President Marvyn Carton x Director - Emeritus Gaetano J. Casillo x Chief Compliance Officer, Vice President Robert H. Cosgriff x Chief Administrative Officer, Executive Vice President, Managing Director, Director Richard M. Crooks, Jr. x Director Thalia V. Crooks x Vice President, Director Mary L. Cullen x Vice President, Secretary, Director Robert Dean x Vice President - Elect Orin F. Devereux x Vice President, Director Daniel Englander x Vice President, - Elect Howard M. Felson x Assistant Secretary, Vice President Anthony J. Ferrante x Treasurer Richard L. Fields x Executive Vice President, Managing Director, Director Executive Vice President, Managing Director, Director Page 13 of 28 Pages Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) John G. Hall x Vice President - Elect, Director Daniel P. Harley x Vice President John H. Josephson x Vice President, Director Donald R. Keough x Chairman, Director Clark R. Keough x Vice President, Director Dara Khosrowshahi x Vice President, Director Kaveh A. Khosrowshahi x Vice President, Director Neal Kopp x Vice President Irwin H. Kramer x Executive Vice President, Managing Director, Director Terry Allen Kramer x Director Suzanne G. Kucera x Vice President - Elect, Director Robert J. Kurz x Vice President P. Don Lattimer x Executive Vice President, Managing Director, Director William F. Leimkuhler x Assistant Secretary, Vice President, General Counsel LeRoy Kim x Vice President - Elect Jonathan Lipton x Vice President - Elect Jeffrey J. Logan x Vice President - Elect Sharon K. Losee x Vice President Dan W. Lufkin x Special Advisor to the Board of Directors Ellen F. Lynch x Vice President Robert A. Mackie x Executive Vice President, Managing Director, Director James C. Maiden, Jr. x Vice President Terence C. McCarthy x Co-Chief Operations Officer, Vice President Vice President - Elect, Director Page 14 of 28 Pages Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Robert C. Miller x Vice President, Director Terrence Morris x Vice President - Elect Brian J. Murphy x Vice President, Director Louis J. Mustacchio x Vice President Walter T. O'Hara x Executive Vice President, Managing Director, Director Glenn A. Okun x Vice President, Director Nancy B. Peretsman x Executive Vice President, Managing Director, Director Patrick S. Perry x Vice President, Director Pamela M. Plager x Vice President, Director Eugene Protash x Assistant Secretary, Vice President James W. Quinn x Vice President, Assistant Secretary, Director Bradley A. Roberts x Director - Elect, Vice President - Elect Philip D. Scaturro x Executive Vice President, Managing Director, Director John A. Schneider x Executive Vice President, Managing Director, Director Daniel Selmonosky x Vice President, Director Enrique F. Senior x Executive Vice President, Managing Director, Director Stanley S. Shuman x Executive Vice President, Managing Director, Director John M. Simon x Executive Vice President, Managing Director, Director Ian G. Smith x Vice President - Elect Lauren M. Tyler x Vice President, Director Page 15 of 28 Pages Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Dennis J. Warfield x Vice President, Chief Information Officer Kim M. Weiland x Vice President, Director, Chief Financial Officer Edward D. Weinberger x Vice President, Managing Director, Director Harold M. Wit x Executive Vice President, Managing Director, Director
x 711 Fifth Avenue, New York, New York 10022-3194. xx All the Executive Officers and Directors of Allen Holding, Inc. are U.S. citizens unless otherwise indicated. ALLEN TRADE DATE HISTORY REPORT PAGE : 16 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------- 10/30/97 11/04/97 B 6D E461066 294040100000 ENVG 1000 2.5 ENVIROGEN INC SNET WE MAKE A MKT IN THIS SECURI 10/31/97 11/05/97 S 6D E461066 294040100000 ENVG 1800 2.625 ENVIROGEN INC WE MAKE A MKT IN THIS SECURITY 10/31/97 11/05/97 S 6D E461066 294040100000 ENVG 1800 2.625 ENVIROGEN INC WE MAKE A MKT IN THIS SECURITY 11/05/97 11/10/97 B 6D E461066 294040100000 ENVG 2200 2.625 ENVIROGEN INC WE MAKE A MKT IN THIS SECURITY 11/06/97 11/12/97 B 6D E461066 294040100000 ENVG 2500 2.5625 ENVIROGEN INC WE MAKE A MKT IN THIS SECURITY 11/06/97 11/12/97 B 6D E461066 294040100000 ENVG 7500 2.625 ENVIROGEN INC WE MAKE A MKT IN THIS SECURITY 11/07/97 11/13/97 B 6D E461066 294040100000 ENVG 1000 2.625 ENVIROGEN INC 11/07/97 11/13/97 S 6D E461066 294040100000 ENVG 400 2.5 ENVIROGEN INC SNET ALLEN TRADE DATE HISTORY REPORT PAGE : 17 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------- 11/07/97 11/13/97 S 6D E461066 294040100000 ENVG 500 2.53125 ENVIROGEN INC SNET 11/07/97 11/13/97 S 6D E461066 294040100000 ENVG 1000 2.5 ENVIROGEN INC SNET 11/07/97 11/13/97 S 6D E461066 294040100000 ENVG 1000 2.5 ENVIROGEN INC SNET 11/07/97 11/13/97 S 6D E461066 294040100000 ENVG 1000 2.625 ENVIROGEN INC 11/07/97 11/13/97 S 6D E461066 294040100000 ENVG 2100 2.5 ENVIROGEN INC SNET 11/10/97 11/14/97 S 6D E461066 294040100000 ENVG 2000 2.5625 ENVIROGEN INC SNET 11/12/97 11/17/97 B 6D E461066 294040100000 ENVG 4000 2.625 ENVIROGEN INC 11/12/97 11/17/97 S 6D E461066 294040100000 ENVG 400 2.625 ENVIROGEN INC SNET 11/12/97 11/17/97 S 6D E461066 294040100000 ENVG 500 2.625 ENVIROGEN INC SNET ALLEN TRADE DATE HISTORY REPORT PAGE : 18 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------ 11/12/97 11/17/97 S 6D E461066 294040100000 ENVG 2000 2.625 ENVIROGEN INC SNET 11/17/97 11/20/97 B 6D E461066 294040100000 ENVG 1000 2.53125 ENVIROGEN INC 11/17/97 11/20/97 B 6D E461066 294040100000 ENVG 3500 2.53125 ENVIROGEN INC 11/17/97 11/20/97 S 6D E461066 294040100000 ENVG 1000 2.53125 ENVIROGEN INC SNET 11/17/97 11/20/97 S 6D E461066 294040100000 ENVG 3000 2.53125 ENVIROGEN INC SNET 11/18/97 11/21/97 S 6D E461066 294040100000 ENVG 1200 2.5625 ENVIROGEN INC 11/20/97 11/25/97 B 6D E461066 294040100000 ENVG 500 2.3125 ENVIROGEN INC SNET 11/20/97 11/25/97 S 6D E461066 294040100000 ENVG 100 2.40625 ENVIROGEN INC 11/21/97 11/26/97 B 6D E461066 294040100000 ENVG 500 2.1875 ENVIROGEN INC SNET ALLEN TRADE DATE HISTORY REPORT PAGE : 19 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ----- 11/26/97 12/02/97 B 7N E461066 294040100000 ENVG 5000 2 ENVIROGEN INC 11/26/97 12/02/97 S 7N E461066 294040100000 ENVG 5000 2 ENVIROGEN INC 12/03/97 12/08/97 B 6D E461066 294040100000 ENVG 500 2.0625 ENVIROGEN INC 12/05/97 12/10/97 B 6N E461066 294040100000 ENVG 10000 1.9688 ENVIROGEN INC 12/05/97 12/10/97 S 6N E461066 294040100000 ENVG 10000 1.9688 ENVIROGEN INC 12/05/97 12/10/97 B 6D E461066 294040100000 ENVG 500 1.875 ENVIROGEN INC 12/05/97 12/10/97 B 6D E461066 294040100000 ENVG 2000 1.9375 ENVIROGEN INC 12/05/97 12/10/97 S 6D E461066 294040100000 ENVG 300 1.96875 ENVIROGEN INC *** 12/05/97 12/10/97 S 6D E461066 294040100000 ENVG 800 1.9375 ENVIROGEN INC 12/08/97 12/11/97 B 6D E461066 294040100000 ENVG 500 2 ENVIROGEN INC ALLEN TRADE DATE HISTORY REPORT PAGE : 20 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------- 12/08/97 12/11/97 B 6D E461066 294040100000 ENVG 1000 2.03125 ENVIROGEN INC 12/08/97 12/11/97 B 6D E461066 294040100000 ENVG 1000 2.03125 ENVIROGEN INC 12/08/97 12/11/97 B 6D E461066 294040100000 ENVG 2000 2 ENVIROGEN INC 12/08/97 12/11/97 B 6D E461066 294040100000 ENVG 2000 2 ENVIROGEN INC 12/09/97 12/12/97 B 6D E461066 294040100000 ENVG 500 1.9375 ENVIROGEN INC 12/10/97 12/15/97 B 6D E461066 294040100000 ENVG 300 1.9375 ENVIROGEN INC 12/11/97 12/12/97 B 7N E461066 294040100000 ENVG 400 1.875 ENVIROGEN INC 0020000519000-CUSTOMER A/C 12/11/97 12/12/97 B 7N E461066 294040100000 ENVG 1000 1.7 ENVIROGEN INC 0020000519000-CUSTOMER A/C 12/11/97 12/12/97 S 7N E461066 294040100000 ENVG 400 1.875 ENVIROGEN INC 12/11/97 12/12/97 S 7N E461066 294040100000 ENVG 1000 1.7 ENVIROGEN INC ALLEN TRADE DATE HISTORY REPORT PAGE : 21 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------ 12/11/97 12/16/97 B 6N E461066 294040100000 ENVG 5000 1.5937 ENVIROGEN INC 12/11/97 12/16/97 S 6N E461066 294040100000 ENVG 5000 1.5937 ENVIROGEN INC 12/11/97 12/16/97 B 6D E461066 294040100000 ENVG 200 1.6875 ENVIROGEN INC 12/11/97 12/16/97 B 6D E461066 294040100000 ENVG 200 1.75 ENVIROGEN INC 12/11/97 12/16/97 B 6D E461066 294040100000 ENVG 300 1.75 ENVIROGEN INC 12/11/97 12/16/97 B 6D E461066 294040100000 ENVG 500 1.4375 ENVIROGEN INC 12/11/97 12/16/97 B 6D E461066 294040100000 ENVG 500 1.5625 ENVIROGEN INC 12/11/97 12/16/97 B 6D E461066 294040100000 ENVG 500 1.5625 ENVIROGEN INC 12/11/97 12/16/97 B 6D E461066 294040100000 ENVG 500 1.8125 ENVIROGEN INC 12/11/97 12/16/97 B 6D E461066 294040100000 ENVG 3000 1.3125 ENVIROGEN INC 12/11/97 12/16/97 B 6D E461066 294040100000 ENVG 5000 1.5625 ENVIROGEN INC ALLEN TRADE DATE HISTORY REPORT PAGE : 22 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------ 12/11/97 12/16/97 S 6D E461066 294040100000 ENVG 500 1.875 ENVIROGEN INC 12/12/97 12/17/97 B 6D E461066 294040100000 ENVG 3000 1.75 ENVIROGEN INC 12/12/97 12/17/97 B 6D E461066 294040100000 ENVG 10000 1.75 ENVIROGEN INC 12/12/97 12/17/97 S 6D E461066 294040100000 ENVG 1800 1.8125 ENVIROGEN INC 12/12/97 12/17/97 S 6D E461066 294040100000 ENVG 3000 1.8125 ENVIROGEN INC 12/12/97 12/17/97 S 6D E461066 294040100000 ENVG 9000 1.8125 ENVIROGEN INC 12/16/97 12/19/97 B 6D E461066 294040100000 ENVG 2000 1.75 ENVIROGEN INC 12/16/97 12/19/97 S 6D E461066 294040100000 ENVG 2000 1.75 ENVIROGEN INC 12/18/97 12/23/97 B 6D E461066 294040100000 ENVG 1000 1.6875 ENVIROGEN INC 12/18/97 12/23/97 B 6D E461066 294040100000 ENVG 2500 1.6875 ENVIROGEN INC 12/18/97 12/23/97 B 6H E461066 294040100000 ENVG 3500 1.71875 ENVIROGEN INC ALLEN TRADE DATE HISTORY REPORT PAGE : 23 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------- 12/19/97 12/23/97 B CXL 6H E461066 294040100000 ENVG 3500 1.71875 ENVIROGEN INC 12/19/97 12/23/97 S 6H E461066 294040100000 ENVG 3500 1.71875 ENVIROGEN INC AS OF 12/18/97 12/19/97 12/24/97 B 6D E461066 294040100000 ENVG 1000 1.625 ENVIROGEN INC 12/19/97 12/24/97 B 6D E461066 294040100000 ENVG 1290 1.6875 ENVIROGEN INC 12/19/97 12/24/97 B 6D E461066 294040100000 ENVG 1500 1.625 ENVIROGEN INC 12/19/97 12/24/97 B 6D E461066 294040100000 ENVG 1500 1.625 ENVIROGEN INC 12/19/97 12/24/97 B 6D E461066 294040100000 ENVG 1500 1.6875 ENVIROGEN INC 12/19/97 12/24/97 B 6D E461066 294040100000 ENVG 2000 1.6875 ENVIROGEN INC 12/19/97 12/24/97 B 6D E461066 294040100000 ENVG 2500 1.6875 ENVIROGEN INC 12/19/97 12/24/97 B 6D E461066 294040100000 ENVG 2600 1.6875 ENVIROGEN INC ALLEN TRADE DATE HISTORY REPORT PAGE : 24 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------- 12/19/97 12/24/97 S 6H E461066 294040100000 ENVG 17400 1.6875 ENVIROGEN INC 12/22/97 12/23/97 S CXL 6H E461066 294040100000 ENVG 3500 1.71875 ENVIROGEN INC AS OF 12/18/97 12/22/97 12/26/97 B 6D E461066 294040100000 ENVG 100 1.625 ENVIROGEN INC 12/22/97 12/26/97 B 6D E461066 294040100000 ENVG 500 1.625 ENVIROGEN INC 12/22/97 12/26/97 B 6D E461066 294040100000 ENVG 1000 1.625 ENVIROGEN INC 12/22/97 12/26/97 B 6D E461066 294040100000 ENVG 2000 1.5625 ENVIROGEN INC 12/22/97 12/26/97 B 6D E461066 294040100000 ENVG 2000 1.5625 ENVIROGEN INC 12/22/97 12/26/97 B 6D E461066 294040100000 ENVG 3300 1.625 ENVIROGEN INC 12/22/97 12/26/97 B 6D E461066 294040100000 ENVG 8500 1.625 ENVIROGEN INC 12/22/97 12/26/97 S 6D E461066 294040100000 ENVG 5000 1.625 ENVIROGEN INC 12/23/97 12/29/97 B 6D E461066 294040100000 ENVG 1000 1.625 ENVIROGEN INC ALLEN TRADE DATE HISTORY REPORT PAGE : 25 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------ 12/23/97 12/29/97 B 6D E461066 294040100000 ENVG 1500 1.625 ENVIROGEN INC 12/23/97 12/29/97 B 6D E461066 294040100000 ENVG 3000 1.625 ENVIROGEN INC 12/23/97 12/29/97 B 6D E461066 294040100000 ENVG 3500 1.625 ENVIROGEN INC 12/23/97 12/29/97 B 6D E461066 294040100000 ENVG 5000 1.59375 ENVIROGEN INC 12/23/97 12/29/97 B 6D E461066 294040100000 ENVG 5000 1.625 ENVIROGEN INC 12/23/97 12/29/97 S 6D E461066 294040100000 ENVG 2800 1.625 ENVIROGEN INC 12/23/97 12/29/97 S 6D E461066 294040100000 ENVG 5000 1.6875 ENVIROGEN INC 12/23/97 12/29/97 S 6H E461066 294040100000 ENVG 12600 1.65625 ENVIROGEN INC 12/24/97 12/30/97 B 6D E461066 294040100000 ENVG 500 1.625 ENVIROGEN INC 12/26/97 12/31/97 B 6D E461066 294040100000 ENVG 2500 1.53125 ENVIROGEN INC 12/29/97 01/02/98 B 6D E461066 294040100000 ENVG 500 1.5 ENVIROGEN INC ALLEN TRADE DATE HISTORY REPORT PAGE : 26 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------- 12/29/97 01/02/98 B 6D E461066 294040100000 ENVG 500 1.53125 ENVIROGEN INC 12/29/97 01/02/98 B 6D E461066 294040100000 ENVG 900 1.53125 ENVIROGEN INC 12/29/97 01/02/98 B 6D E461066 294040100000 ENVG 1000 1.4375 ENVIROGEN INC 12/29/97 01/02/98 B 6D E461066 294040100000 ENVG 1000 1.53125 ENVIROGEN INC 12/29/97 01/02/98 B 6D E461066 294040100000 ENVG 4000 1.5 ENVIROGEN INC 12/29/97 01/02/98 B 6D E461066 294040100000 ENVG 5000 1.53125 ENVIROGEN INC 12/29/97 01/02/98 B 6D E461066 294040100000 ENVG 10000 1.53125 ENVIROGEN INC 12/29/97 01/02/98 B 6D E461066 294040100000 ENVG 17300 1.46875 ENVIROGEN INC 12/29/97 01/02/98 S 6D E461066 294040100000 ENVG 1000 1.53125 ENVIROGEN INC 12/29/97 01/02/98 S 6D E461066 294040100000 ENVG 5000 1.5625 ENVIROGEN INC 12/30/97 01/05/98 B 6D E461066 294040100000 ENVG 200 1.5 ENVIROGEN INC ALLEN TRADE DATE HISTORY REPORT PAGE : 27 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------ 12/30/97 01/05/98 B 6D E461066 294040100000 ENVG 300 1.5625 ENVIROGEN INC 2/30/97 01/05/98 B 6D E461066 294040100000 ENVG 500 1.46875 ENVIROGEN INC 12/30/97 01/05/98 B 6D E461066 294040100000 ENVG 500 1.5 ENVIROGEN INC 12/30/97 01/05/98 B 6D E461066 294040100000 ENVG 500 1.5625 ENVIROGEN INC 12/30/97 01/05/98 B 6D E461066 294040100000 ENVG 2500 1.46875 ENVIROGEN INC 12/30/97 01/05/98 B 6D E461066 294040100000 ENVG 4000 1.5 ENVIROGEN INC 12/30/97 01/05/98 B 6D E461066 294040100000 ENVG 5000 1.46875 ENVIROGEN INC 12/30/97 01/05/98 S 6D E461066 294040100000 ENVG 3500 1.4375 ENVIROGEN INC 12/31/97 01/06/98 B 6D E461066 294040100000 ENVG 1000 1.59375 ENVIROGEN INC 12/31/97 01/06/98 B 6D E461066 294040100000 ENVG 1000 1.625 ENVIROGEN INC 12/31/97 01/06/98 B 6D E461066 294040100000 ENVG 6800 1.46875 ENVIROGEN INC ALLEN TRADE DATE HISTORY REPORT PAGE : 28 DATE : 03-11-1998 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- ------- 12/31/97 01/06/98 S 6D E461066 294040100000 ENVG 1000 1.65625 ENVIROGEN INC 114649 -----END PRIVACY-ENHANCED MESSAGE-----