-----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, VlxTEY8ZZtwq3cfpzO8dBjyMOv2nFD4kgL5KKIolaP3U8ARSL4D98VnUnnCuYTFk CBt+kybrk6U97eTG8P3yaQ== 0000950109-98-004489.txt : 19980902 0000950109-98-004489.hdr.sgml : 19980902 ACCESSION NUMBER: 0000950109-98-004489 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980901 SROS: NYSE GROUP MEMBERS: CARDIAC PACEMAKERS, INC. GROUP MEMBERS: GUIDANT CORP GROUP MEMBERS: PEGASUS ACQUISITIONS CORP. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: INCONTROL INC CENTRAL INDEX KEY: 0000871629 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 911501619 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-47733 FILM NUMBER: 98702522 BUSINESS ADDRESS: STREET 1: 6675 185TH AVE NE SUITE 100 CITY: REDMOND STATE: WA ZIP: 98052 BUSINESS PHONE: 2068619800 MAIL ADDRESS: STREET 1: 6675 185TH AVENUE STREET 2: SUITE 100 CITY: REDMOND STATE: WA ZIP: 98052-6734 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GUIDANT CORP CENTRAL INDEX KEY: 0000929987 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 351931722 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 111 MONUMENT CIRCLE STREET 2: 29TH FLOOR CITY: INDIANAPOLIS STATE: IN ZIP: 46204-5129 BUSINESS PHONE: 3179712000 MAIL ADDRESS: STREET 1: P O BOX 44906 STREET 2: 29TH FLOOR CITY: INDIANAPOLIS STATE: IN ZIP: 46244-0906 SC 13D 1 SCHEDULE 13-D 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) INCONTROL, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 45336L103 - -------------------------------------------------------------------------------- (CUSIP Number) J.B. King, Esq. Guidant Corporation 111 Monument Circle, 29th Floor Indianapolis, Indiana 46204 (317) 971-2000 with a copy to: Bernard E. Kury Jonathan L. Freedman Dewey Ballantine LLP 1301 Avenue of the Americas New York, NY 10019-6092 (212) 259-8000 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 10, 1998 - -------------------------------------------------------------------------------- (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 [_] . 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 9) SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 45336L103 PAGE 2 OF 9 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: Pegasus Acquisitions Corp. 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Applied For - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [_] Not Applicable (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS 4 AF - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 State of Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 1,962,198* ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 1,962,198* - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,962,198* - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 12 [_] Not Applicable - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 9.4%* - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 CO - ------------------------------------------------------------------------------ INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. *See "Item 5 - Interest in Securities of Issuer" herein. SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 45336L103 PAGE 3 OF 9 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: Cardiac Pacemakers, Inc. 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 41-1344804 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [_] Not Applicable (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS 4 AF - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 State of Minnesota - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 1,962,198* ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 1,962,198* - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,962,198* - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 12 [_] Not Applicable - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 9.4%* - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 CO - ------------------------------------------------------------------------------ INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. *See "Item 5 - Interest in Securities of Issuer" herein. SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 45336L103 PAGE 4 OF 9 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: Guidant Corporation 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 35-1931722 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [_] Not Applicable (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 WC/BK - ------------------------------------------------------------------------------ SOURCE OF FUNDS 4 - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 State of Indiana - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 1,962,198* ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 1,962,198* - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,962,198* - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 12 [_] Not Applicable - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 9.4%* - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 CO - ------------------------------------------------------------------------------ INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. * See "Item 5 - Interest in Securities of Issuer" herein. This Statement is filed in replacement of the Statement on Schedule 13D filed as part of a combined Schedule 14D-1 and Schedule 13D (registration no. 05-47733), as amended (the "Combined Schedule 14D-1 and Schedule 13D"), filed by Pegasus Acquisitions Corp., a Delaware corporation ("Purchaser") Cardiac Pacemakers, Inc., a Minnesota corporation ("CPI") and Guidant Corporation, an Indiana corporation ("Parent"), with the Securities and Exchange Commission on August 17, 1998. This Statement relates to the tender offer by Purchaser to purchase all outstanding Shares (as defined below) of InControl, Inc. at $6 per Share, net to the seller in cash, without interest, upon the terms and subject to the conditions set forth in the Offer to Purchase dated August 17, 1998, as amended (the "Offer to Purchase"), incorporated by reference as Exhibit (a)(1) of the Combined Schedule 14D-1 and Schedule 13D, and in the related Letter of Transmittal, incorporated by reference as Exhibit(a)(2) of the Combined Schedule 14D-1 and Schedule 13D (which, together with the Offer to Purchase and the Combined Schedule 14D-1 and Schedule 13D, constitute the "Offer"). ITEM 1. SECURITY AND ISSUER This Statement relates to the common stock, par value $0.01 per share (the "Shares"), of InControl, Inc., a Delaware corporation (the "Company"). The address of the principal executive offices of the Company is 6675 185th Avenue, N.E., Redmond, Washington 98052. The information set forth in the "Introduction" of the Offer to Purchase is incorporated herein by reference. ITEM 2. IDENTITY AND BACKGROUND. (a)-(c) and (f) This Statement is being filed by Purchaser, CPI and Parent. The information set forth in "Section 9. Certain Information Concerning Purchaser and Parent" of the Offer to Purchase and in Schedule I (Directors and Executive Officers of Purchaser, CPI and Parent) to the Offer to Purchase ("Schedule I") is incorporated herein by reference. (d)-(e) During the last five years, none of Purchaser, CPI or Parent nor, to the best knowledge of Purchaser, CPI and Parent, respectively, any executive officer or director of Purchaser, CPI or Parent listed in Schedule I (which is incorporated herein by reference) has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which such person was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or state securities laws or finding any violation of such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. The information set forth in "Section 10. Source and Amount of Funds" of the Offer to Purchase is incorporated herein by reference. ITEM 4. PURPOSE OF THE TRANSACTION. (a)-(j) The information set forth in the "Introduction," "Section 7. Effect of the Offer on the Market for the Shares, Stock Exchange Listing and Exchange Act Registration and Margin Securities" and "Section 12. Purpose of the Offer and the Merger; Plans for the Company; the Merger Agreement; the Shareholder Agreement; the Credit Agreement; Other Matters" of the Offer to Purchase is incorporated herein by reference. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a)-(d) The information set forth in the "Introduction," "Section 11. Background" and "Section 12. Purpose of the Offer and the Merger; Plans for the Company; the Merger Agreement; the Shareholder Agreement; the Credit Agreement; Other Matters" of the Offer to Purchase and in Schedule I to the Offer to Purchase is incorporated herein by reference. On August 10, 1998, Parent and Purchaser entered into a Shareholder Agreement (the "Shareholder Agreement") with certain stockholders of the Company (collectively, the "Selling Stockholders"), pursuant to which the Selling Stockholders have agreed to validly tender (and not to withdraw) pursuant to and in accordance with the terms of the Offer all of the shares beneficially owned by them. The Selling Stockholders beneficially own approximately 1,962,198 Shares, representing approximately 9.4% in the aggregate of the Company's outstanding Shares (assuming the exercise of all such Selling Stockholders' options subject to the Shareholder Agreement). The Shareholder Agreement is described more fully in "Section 12. Purpose of the Offer and the Merger; Plans for the Company; the Merger Agreement; the Shareholder Agreement; the Credit Agreement; Other Matters" of the Offer to Purchase. (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. The information set forth in the "Introduction," "Section 11. Background" and "Section 12. Purpose of the Offer and the Merger; Plans for the Company; the Merger Agreement; the Shareholder Agreement; the Credit Agreement; Other Matters" of the Offer to Purchase is incorporated herein by reference. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. (1) Offer to Purchase.* (2) Letter of Transmittal.* (3) Notice of Guaranteed Delivery.* (4) Letter to Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees.* (5) Letter to Clients for use by Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees.* (6) Guidelines for Certification of Taxpayer Identification Number on Substitute Form W-9.* (7) Form of Summary Advertisement dated August 17, 1998.* (8) Text of Joint Press Release dated August 11, 1998, issued by Parent and the Company.* (9) Agreement and Plan of Merger, dated as of August 10, 1998, among Parent, Purchaser and the Issuer.* (10) Form of Shareholder Agreement.* (11) Credit Agreement, dated as of August 10, 1998, by and between Parent and the Company.* (12) Letter Agreement, dated August 14, 1998, between Parent, Purchaser and the Company.* _______________________ * Incorporated by reference to Combined Schedule 14D-1 and Schedule 13D (registration no. 05-47733) filed on August 17, 1998. SIGNATURE After due inquiry and to the best of my knowledge and belief, each of the undersigned certifies that the information set forth in this Statement is true, complete and correct. Dated: September 1, 1998 PEGASUS ACQUISITIONS CORP. By: /s/ A. Jay Graf --------------------------------------- A. Jay Graf President CARDIAC PACEMAKERS, INC. By: /s/ A. Jay Graf --------------------------------------- A. Jay Graf President and Chief Executive Officer GUIDANT CORPORATION By: /s/ A. Jay Graf --------------------------------------- A. Jay Graf Vice President EXHIBIT INDEX ------------- (1) Offer to Purchase.* (2) Letter of Transmittal.* (3) Notice of Guaranteed Delivery.* (4) Letter to Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees.* (5) Letter to Clients for use by Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees.* (6) Guidelines for Certification of Taxpayer Identification Number on Substitute Form W-9.* (7) Form of Summary Advertisement dated August 17, 1998.* (8) Text of Joint Press Release dated August 11, 1998, issued by Parent and the Company.* (9) Agreement and Plan of Merger, dated as of August 10, 1998, among Parent, Purchaser and the Issuer.* (10) Form of Shareholder Agreement.* (11) Credit Agreement, dated as of August 10, 1998, by and between Parent and the Company.* (12) Letter Agreement, dated August 14, 1998, between Parent, Purchaser and the Company.* _______________________ * Incorporated by reference to Combined Schedule 14D-1 and Schedule 13D (registration no. 05-47733) filed on August 17, 1998. -----END PRIVACY-ENHANCED MESSAGE-----