-----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, T00j38I3AXAql7riRWlKFiOm9clF9EXpjCUH6bXV2KCSZJzad1dFD+fruJfP7pQ2 J7Gp/zehz1kEmYgB7NZNpQ== 0000950123-02-003468.txt : 20020415 0000950123-02-003468.hdr.sgml : 20020415 ACCESSION NUMBER: 0000950123-02-003468 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020405 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MILLER LLOYD I III CENTRAL INDEX KEY: 0000949119 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 4650 GORDON DRIVE CITY: NAPLES STATE: FL ZIP: 33940 BUSINESS PHONE: 9412628577 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SYNERGY BRANDS INC CENTRAL INDEX KEY: 0000870228 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-GROCERIES & GENERAL LINE [5141] IRS NUMBER: 222993066 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42354 FILM NUMBER: 02603334 BUSINESS ADDRESS: STREET 1: 40 UNDERHILL BLVD CITY: SYOSSET STATE: NY ZIP: 11791 BUSINESS PHONE: 5166821980 MAIL ADDRESS: STREET 1: 40 UNDERHILL BLVD CITY: SYOSSET STATE: NY ZIP: 11791 FORMER COMPANY: FORMER CONFORMED NAME: KRANTOR CORP DATE OF NAME CHANGE: 19930328 FORMER COMPANY: FORMER CONFORMED NAME: DELTA VENTURES INC DATE OF NAME CHANGE: 19600201 SC 13D/A 1 y58717a3sc13da.txt AMENDMENT #3 TO SCHEDULE 13D: SYNERGY/MILLER SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 3)(1) Synergy Brands Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 87159E303 - -------------------------------------------------------------------------------- (CUSIP Number) Lloyd I. Miller, III, 4550 Gordon Drive, Naples, Florida, 34102 (Tel.) (941) 263-8860 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) March 26, 2002 - -------------------------------------------------------------------------------- (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 that 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 [_]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 5 Pages) - ---------- (1) 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 purpose of Section 18 of the Securities Exchange Act of 1934 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). CUSIP No. 87159E303 13D Page 2 of 5 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Lloyd I. Miller, III ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF-OO** - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 754,730*** SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 512,894*** ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 754,730*** PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 512,894*** - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,267,624 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [-] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 24.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN-IA-OO** - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! **SEE RESPONSE TO ITEM 3 IN THE ORIGINAL SCHEDULE 13D. ***SEE RESPONSE TO ITEM 5, HEREIN. Page 3 of 5 AMENDMENT NO. 3 TO THE ORIGINAL REPORT ON SCHEDULE 13D Item 1. Security and Issuer This constitutes Amendment No. 3 (the "Amendment") to the statement on Schedule 13D, filed on behalf of Lloyd I. Miller, III ("Miller"), dated September 26, 2001 (the "Statement"), relating to the Common Stock, par value $0.001 (the "Shares") of Synergy Brands Inc. (the "Company"). The Company has its principal executive offices at 1175 Walt Whitman Rd., Melville, NY 11747. Unless specifically amended hereby, the disclosure set forth in the Statement shall remain unchanged. Item 4. Purpose of the Transaction Miller considers his beneficial ownership reported herein of the 1,267,624 Shares as an investment in the ordinary course of business. From time to time, Miller may acquire additional securities of the Company or dispose of all or some of the securities of the Company which he beneficially owns. The purpose of this Amendment is to report that since the filing of Amendment No. 2 to the Statement on March 7, 2002 ("Amendment No. 2"), Miller purchased additional shares and a material change occurred in the percentage of Shares beneficially owned by Miller. Pursuant to the Company's Annual Report on Form 10K for the fiscal year ended December 31, 2001, the number of issued and outstanding Shares on March 31, 2002 was 5,150,484 (including the 100,000 Shares which Miller does not actually own, but has a right to purchase with respect to the warrants Miller beneficially owns, the "Warrants"). As a result of additional purchases of Shares since the filing of Amendment No. 2, Miller has acquired more than 1% of the outstanding Shares of the Company, and the percentage of Shares beneficially owned by Miller on April 1, 2002 was 24.6%. Item 5. Interest in Securities of the Issuer (a) Miller is deemed to beneficially own 1,267,624 Shares (24.6% of the outstanding Shares, based on 5,150,484 Shares outstanding, including the Warrants). As of the date hereof, 303,886 of such beneficially owned Shares are owned of record by Trust A-4; 47,008 of such beneficially owned Shares are owned of record by Trust C; 300,000 of such beneficially owned Shares are owned of record by Milfam I, L.P. (including 60,000 Warrants); 129,800 of such beneficially owned Shares are owned of record by Milfam II, L.P.; 324,930 of such beneficially owned Shares are owned of record by Miller directly (including 20,000 Warrants); and 162,000 of such beneficially owned Shares are owned of record by Dail Miller (including 20,000 Warrants). (b) Miller has or may be deemed to have shared voting power and shared dispositive power for all such shares held of record by Trust A-4,Trust C and Dail Miller. Miller has or may be deemed to have sole voting power and sole dispositive power for all such shares held of record by Milfam I, L.P., Milfam II, L.P., and Miller directly. Page 4 of 5 (c) The table below details the purchases of Shares directly effected by Miller in the past 60 days.
TRUST A-4 - ---------------------------------------------------------------------------------------------------------- Date of Transaction Number of Shares Purchased Price Per Share - ---------------------------------------------------------------------------------------------------------- February 4, 2002 5,600 $1.25 - ---------------------------------------------------------------------------------------------------------- February 27, 2002 10,000 $1.33 - ---------------------------------------------------------------------------------------------------------- March 13, 2002 5,000 $1.14 - ---------------------------------------------------------------------------------------------------------- March 26, 2002 35,738 $1.00 - ----------------------------------------------------------------------------------------------------------
LLOYD I. MILLER, III - ---------------------------------------------------------------------------------------------------------- Date of Transaction Number of Shares Purchased Price Per Share - ---------------------------------------------------------------------------------------------------------- February 25, 2002 20,000 $1.25 - ---------------------------------------------------------------------------------------------------------- March 26, 2002 36,000 $1.00 - ---------------------------------------------------------------------------------------------------------- March 27, 2002 67,778 $1.00 - ---------------------------------------------------------------------------------------------------------- March 28, 2002 15,000 $1.00 - ---------------------------------------------------------------------------------------------------------- April 1, 2002 4,200 $1.00 - ----------------------------------------------------------------------------------------------------------
MILFAM II, L.P. - ---------------------------------------------------------------------------------------------------------- Date of Transaction Number of Shares Purchased Price Per Share - ---------------------------------------------------------------------------------------------------------- February 6, 2002 10,300 $1.25 - ---------------------------------------------------------------------------------------------------------- March 14, 2002 1,900 $1.14632 - ---------------------------------------------------------------------------------------------------------- March 27, 2002 44,500 $1.00 - ----------------------------------------------------------------------------------------------------------
DAIL MILLER - ---------------------------------------------------------------------------------------------------------- Date of Transaction Number of Shares Purchased Price Per Share - ---------------------------------------------------------------------------------------------------------- March 27, 2002 60,000 $1.00 - ----------------------------------------------------------------------------------------------------------
(d) Persons other than Miller have the right to receive and the power to direct the receipt of dividends from, or the proceeds from, the sale of, such securities. Page 5 of 5 After reasonable inquiry and to the best knowledge and belief of the undersigned, I certify that the information set forth in this statement is true, complete and correct. Dated: April 5, 2002 /s/ Lloyd I. Miller, III ----------------------------- Lloyd I. Miller, III -----END PRIVACY-ENHANCED MESSAGE-----