4 1 y60271e4.txt LLOYD I MILLER III OMB APPROVAL ------------------------- OMB Number: 3235-0287 ------------------------- Expires: October 31, 2001 ------------------------- Estimated average burden hours per response...0.5 ------------------------- FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* Miller, III Lloyd I. -------------------------------------------------------------------------------- (Last) (First) (Middle) 4550 Gordon Drive -------------------------------------------------------------------------------- (Street) Naples Fl. 34102 -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Synergy Brands Inc. - SYBR -------------------------------------------------------------------------------- ________________________________________________________________________________ 3. IRS or Social Security Number of Reporting Person, if an entity (Voluntary) ###-##-#### ________________________________________________________________________________ 4. Statement for Month/Year April/2002 --------------------------------------------------------------------------- ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [_] Director [x] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check Applicable Line) [x] Form filed by One Reporting Person [_] Form filed by More than One Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (Month/Day/Year) Code V (D) and 4) (Instr.4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4/25/02 P 20,500 A $0.83 324,386(1) I By Lloyd I. Miller Trust A-4 ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4/5/02 P 6,800 A $1.00 136,600(1) I By Millfam II, L.P. ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4/1/02 P 4,200 A $1.00 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4/23/02 P 50,000 A $0.75 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 4/25/02 P 20,500 A $0.83 375,430 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 142,000(1) I By Dail Miller ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 47,008(1) I By Lloyd I. Miller III , Trust C ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 240,000(1) I By Milfam I, L.P. ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. 1 of 2 (OVER) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stocks $1.25 9/24/01 A V 20,000 Immed 9/24/06 Common 20,000 20,000 I(1) By Dail Warrants Stock Miller (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Common Stocks $1.25 9/24/01 A V 60,000 Immed 9/24/06 Common 60,000 60,000 I(1) By Milfam Warrants Stock I, L.P. (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Common Stocks $1.25 9/24/01 A V 20,000 Immed 9/24/06 Common 20,000 20,000 D Warrants Stock (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== Explanation of Responses: (1) The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. This filing shall not be deemed an admission that the reporting person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any equity securities covered by this filing.
/s/Lloyd I. Miller, III 5/3/02 --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. 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. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. 2 of 2