-----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, V1WlWtTEO7R9C2iRVjB0AQto5a2pd6/OxmFGIhO/2orBU/FLVWhBRYcEZexV+3B2 jvJWC1uof7d4YdACug3XKA== 0000933259-97-000028.txt : 19970423 0000933259-97-000028.hdr.sgml : 19970423 ACCESSION NUMBER: 0000933259-97-000028 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970421 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CHRYSALIS INTERNATIONAL CORP CENTRAL INDEX KEY: 0000880456 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 222877973 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42040 FILM NUMBER: 97584008 BUSINESS ADDRESS: STREET 1: 575 ROUTE 28 CITY: RARITAN STATE: NJ ZIP: 08869 BUSINESS PHONE: 9087227900 MAIL ADDRESS: STREET 1: 575 RT 28 CITY: RARITAN STATE: NJ ZIP: 08869 FORMER COMPANY: FORMER CONFORMED NAME: DNX CORP DATE OF NAME CHANGE: 19930328 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HACKEL ALEC CENTRAL INDEX KEY: 0001027912 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: FLUELIWEG 3 STREET 2: 6045 MEGGEN SWITZERLAND BUSINESS PHONE: 2128356180 MAIL ADDRESS: STREET 1: PIPER & MARBURY L.L.P STREET 2: 1251 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020-1104 SC 13D/A 1 AMENDMENT NO. 1 TO SCHEDULE 13D - ------------------------- OMB APPROVAL - ------------------------- - ------------------------- OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per form 14.90 - -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to SCHEDULE 13D Under the Securities Exchange Act of 1934* Chrysalis International Corporation - --------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value per share - --------------------------------------------------------------------------- (Title of Class of Securities) 171188 10 5 ----------------------------------- (CUSIP Number) Ray A. Mantle, Esq. Piper & Marbury L.L.P. 1251 Avenue of the Americas New York, New York 10020-1104 (212) 835-6180 - --------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 18, 1996 -------------------------------------------- (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(b)(3) or (4), check the following box |_|. Check the following box if a fee is being paid with the statement |_|. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) 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 purpose 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 7 CUSIP No. 171188 10 5 Schedule 13D - --------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Mr. Alec Hackel - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |X| (b) |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Switzerland - --------------------------------------------------------------------------- -------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 955,293.3 -------------------------------------------------------------- -------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 2,647,448 -------------------------------------------------------------- -------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 955,293.3 -------------------------------------------------------------- -------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 2,647,448 -------------------------------------------------------------- - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,647,448 - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 23.3% - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - --------------------------------------------------------------------------- Page 2 of 7 CUSIP No. 171188 10 5 Schedule 13D - --------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Dr. Jack Barbut - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |X| (b) |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Switzerland - --------------------------------------------------------------------------- -------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 1,005,293.3 -------------------------------------------------------------- -------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 2,647,448 -------------------------------------------------------------- -------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 1,005,293.3 -------------------------------------------------------------- -------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 2,647,448 -------------------------------------------------------------- - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,647,448 - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 23.3% - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - --------------------------------------------------------------------------- Page 3 of 7 CUSIP No. 171188 10 5 Schedule 13D - --------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Dr. John Christian Jensen - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |X| (b) |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION The United States of America - --------------------------------------------------------------------------- -------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 686,861.5 -------------------------------------------------------------- -------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 2,647,448 -------------------------------------------------------------- -------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 686,861.5 -------------------------------------------------------------- -------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 2,647,448 -------------------------------------------------------------- - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,647,448 - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_| - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 23.3% - --------------------------------------------------------------------------- - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - --------------------------------------------------------------------------- Page 4 of 7 Item 3. Source and Amount of Funds or Other Consideration. Stock options for 50,000 shares of Chrysalis' Common Stock each were granted to Dr. Barbut and Dr. Jensen effective as of December 18, 1996 pursuant to Chrysalis' Incentive Stock Option Plan ("ISO Plan") and the employment agreements of Dr. Barbut and Dr. Jensen. The stock options have a term of 10 years expiring December 18, 2006 and an exercise price of $5.0625 per share. The options vest at the rate of 25% per year upon the grant anniversary date. Item 4. Purposes of Transaction. The stock options granted to Dr. Barbut and Dr. Jensen under Chrysalis' ISO Plan were pursuant to the terms of their employment agreements and Chrysalis' policy regarding the use of stock options as part of executive compensation packages for key personnel. Item 5. Interest in Securities of the Issuer. Mr. Hackel (a) Amount Beneficially Owned 2,647,448 Percent of Class 23.3% (b) Number of shares as to which such person has: (i) sole power to vote or direct the vote 955,293.3 (ii) shared power to vote or direct the vote 2,647,448 (iii)sole power to dispose or to direct the disposition of 955,293.3 (iv) shared power to dispose or to direct the disposition of 2,647,448 Dr. Barbut (a) Amount Beneficially Owned 2,647,448 Percent of Class 23.3% (b) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 1,005,293.3 (ii) shared power to vote or to direct the vote 2,647,448 (iii)sole power to dispose or to direct the disposition of 1,005,293.3 (iv) shared power to dispose or to direct the disposition of 2,647,448 Page 5 of 7 Dr. Jensen (a) Amount Beneficially Owned 2,647,448 Percent of Class 23.3% (b) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 686,861.5 (ii) shared power to vote or to direct the vote 2,647,448 (iii)sole power to dispose or to direct the disposition of 686,861.5 (iv) shared power to dispose or to direct the disposition of 2,647,448 (c) Not applicable. (d) No person except for Messrs. Hackel, Barbut and Jensen, is known to have a right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Chrysalis Common Stock owned by Messrs. Hackel, Barbut and Jensen. (e) Not applicable. (f) Citizenship Mr. Hackel is a citizen of Switzerland, Dr. Barbut is a citizen of Switzerland resident in the United States of America and Dr. Jensen is a citizen of the United States of America resident in Switzerland. Item 7. Material to be Filed as Exhibits. None. Page 6 of 7 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: April 21, 1997 MR. ALEC HACKEL By: /s/ Ray A. Mantle, Esq. Attorney-in-Fact Date: April 21, 1997 DR. JACK BARBUT By: /s/Ray A. Mantle, Esq. Attorney-in-Fact Date: April 21, 1997 DR. JOHN CHRISTIAN JENSEN By: /s/Ray A. Mantle, Esq. Attorney-in-Fact Page 7 of 7 -----END PRIVACY-ENHANCED MESSAGE-----