-----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, O81hM+XT31Zd8wJGr33t+g+1QdFdpUIPSsO4UmdXddVpD59U8OqeGXrXcWVvpsbY lW6HOM/6F9YoonhLvQVgWg== 0000950136-01-501363.txt : 20010913 0000950136-01-501363.hdr.sgml : 20010913 ACCESSION NUMBER: 0000950136-01-501363 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010821 FILED AS OF DATE: 20010912 COMPANY DATA: COMPANY CONFORMED NAME: MERCK KGAA /FI CENTRAL INDEX KEY: 0001004059 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 64271 DARMSTADT CITY: GERMANY HRB 6164 STATE: I8 MAIL ADDRESS: STREET 1: 64271 DARMSTADT CITY: GERMANY STATE: I8 ZIP: 00000 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PHARMACEUTICAL RESOURCES INC CENTRAL INDEX KEY: 0000878088 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 223122182 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10827 FILM NUMBER: 1735739 BUSINESS ADDRESS: STREET 1: ONE RAM RIDGE RD CITY: SPRING VALLEY STATE: NY ZIP: 10977 BUSINESS PHONE: 9144257100 MAIL ADDRESS: STREET 1: ONE RAM RIDGE RD CITY: SPRING VALLEY STATE: NY ZIP: 10977 4 1 file001.txt FORM 4 FORM 4 _________________________________ | OMB APPROVAL | [ ] CHECK THIS BOX IF NO LONGER SUBJECT _________________________________ TO SECTION 16. FORM 4 OR FORM 5 | OMB Number: 3235-0287 | OBLIGATIONS MAY CONTINUE. SEE | Expires: December 31, 2001 | INSTRUCTION 1(b). | Estimated average burden | | hours per response....... 0.5 | _________________________________ 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 (Print or Type Responses) - ------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Merck KGaA - ----------------------------------------------------- (Last) (First) (Middle) Frankfurter Strasse 250 - ----------------------------------------------------- (Street) 64293 Darmstadt Germany - ----------------------------------------------------- (City) (State) (Zip) - ------------------------------------------------------------------------------- 2. Issuer Name AND Ticker or Trading Symbol Pharmaceutical Resources, Inc. PRX - ------------------------------------------------------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 98-0233737 - ------------------------------------------------------------------------------- 4. Statement for Month/Year August/2001 - ------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) July/1998 - ------------------------------------------------------------------------------- 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 - --------------------------------------------------------------------------------------------------------------------------------- 5. Amount of 6. Owner- Securities ship 2. Trans- 3. Trans- 4. Securities Acquired (A) Beneficially Form: action action or Disposed of (D) Owned at Direct 7. Nature of Date Code (Instr. 3, 4 and 5) End of (D) or Indirect 1. Title of Security (Month/ (Instr. 8) -------------------------- Month Indirect Beneficial (Instr. 3) Day/ ---------- Amount (A) or Price (Instr. (I) Ownership Year) Code V (D) 3 and 4) (Instr. 4) (Instr. 4) - --------------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------------- Common Stock 8/21/01 X 820,000 A $2.00 820,000 D - --------------------------------------------------------------------------------------------------------------------------------- Common Stock 8/21/01 X 351,040 A $2.00 600,740(a) I See (b) below - --------------------------------------------------------------------------------------------------------------------------------- Common Stock 8/21/01 X 99,700 A $6.00 600,740(a) I See (b) below - --------------------------------------------------------------------------------------------------------------------------------- Common Stock 8/21/01 X 150,000 A $10.00 600,740(a) I See (b) below - --------------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------------- (a) Aggregate amount of securities indirectly owned and required to be reported by the date of this form. (b) By Genpharm Inc., an Ontario corporation and a subsidiary of Merck KGaA. Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (over) * If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (3-99) 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 CONTROL NUMBER.
FORM 4 (continued)
TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G. PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ----------------------------------------------------------------------------------------------------------------------------------- 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. - ----------------------------------------------------------------------------------------------------------------------------------- Title and Ownership Number of Date Exer- Amount of Form of Derivative cisable and Underlying Number of Deriv- Securities Expiration Securities Price Derivative ative Conver- Trans- Acquired (A) Date (Month/ (Instr. 3 of Securities Security: sion or Trans- action or Disposed Day/Year) and 4) Deriv- Benefi- Direct Exercise action Code of (D) -------------- -------------- ative cially (D) or Nature of Title of Price of Date (Instr. (Instr. 3, Date Amount Secur- Owned at Indirect Indirect Derivative Deriv- (Month/ 8) 4 and 5) Exer- Expir- or Num- ity End of (I) Beneficial Security ative Day/ -------- ---------- cis- ation ber of (Instr. Month (Instr. Ownership (Instr. 3) Security Year) Code V (A) (D) able Date Title Shares 5) (Instr. 4) 4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Common Option $2.00 8/21/01 X 820,000 7/10/01 4/30/03 Stock 820,000 0 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Option $2.00 8/21/01 X 351,040 7/10/01 4/30/03 Stock 351,040 0 I See (iii) - ----------------------------------------------------------------------------------------------------------------------------------- Common Warrant $6.00 8/21/01 X 99,700 See (i) 10/16/02 Stock 99,700 0 I See (iii) - ----------------------------------------------------------------------------------------------------------------------------------- Common Warrant $10.00 8/21/01 X 150,000 See (ii) 10/16/02 Stock 150,000 0 I See (iii) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - -----------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (i) Became exercisable on achievement of certain sales targets set forth in Warrant Agreement dated October 16, 1992 between Issuer and Genpharm Inc., an Ontario corporation and a subsidiary of Merck KGaA. (ii) Became exercisable on achievement of certain sales targets under distribution agreement dated April 30, 1993 between Issuer and The Generics Group B.V., an affiliate of Genpharm Inc. (iii) Indirectly owned derivative securities were owned of record by Genpharm Inc. ** 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. /s/ Klaus-Peter Brandis 9/10/01 ---------------------------------------- -------------------- ** Signature of Reporting Person Date Name: Klaus-Peter Brandis Title: Head of Legal Department -----END PRIVACY-ENHANCED MESSAGE-----