-----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, FVTKNh2G04lBxHAtVEbM8itiLF4UgrFBBBAZzrEaYbIcJx8cMkPzJGd0uRK0AIOl BToifZnjtF6Dv+VaAcYPMA== 0000769993-98-000311.txt : 19981211 0000769993-98-000311.hdr.sgml : 19981211 ACCESSION NUMBER: 0000769993-98-000311 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981130 FILED AS OF DATE: 19981210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED ANALYTICAL INDUSTRIES INC CENTRAL INDEX KEY: 0001013243 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 042687849 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-21185 FILM NUMBER: 98767647 BUSINESS ADDRESS: STREET 1: 5051 NEW CENTRE DR CITY: WILMINGTON STATE: NC ZIP: 28403 BUSINESS PHONE: 9103931606 MAIL ADDRESS: STREET 1: 5051 NEW CENTRE DR CITY: WILMINGTON STATE: NC ZIP: 28403 COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP LP CENTRAL INDEX KEY: 0000904571 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OWNER IRS NUMBER: 133501777 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 4 1 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 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). ================================================================================ 1. Name and Address of Reporting Person* The Goldman Sachs Group, L.P. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 85 Broad Street - -------------------------------------------------------------------------------- (Street) New York, New York 10004 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Applied Analytical Industries, Inc. (AAII) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ================================================================================ 4. Statement for Month/Year November/1998 ================================================================================ 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) [ ] Form filed by One Reporting Person [ X ] 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. | |2. | Transaction| (Instr. 3, 4 and 5) |Beneficially |Direct |Nature of | |Transaction | Code | -------------------------------|Owned at End |(D) or |Indirect | 1. |Date | (Instr. 8) | | (A) | |of Month |Indirect |Beneficial| Title of Security |(Month/Day/ | -----------| Amount | or | Price |(Instr. 3 |(I) |Ownership | (Instr. 3) |Year) | Code | V | | (D) | |and 4) |(Instr.4)|(Instr. 4)| - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | Common Stock | 11/10/98 | J(01) | | 114.452632 | A | $17.125 | 114.452632 | 01 | 01 | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | Common Stock | | | | | | | 150 | 02 | 02 | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | Common Stock | | | | | | | 2,276,832 | 03 | 03 | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). FORM 4 (continued)
==================================================================================================================================== Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | ==================================================================================================================================== | | | | | | | |9. |10. | | | | | | | | | |Number |Owner-| | | | | | | | | |of |ship | | |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) | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ====================================================================================================================================
Instruction 4(b)(v) list of other Reporting Persons: This statement is being filed by GS Capital Partners II, L.P. ("GSCP"), GS Capital Partners II Offshore, L.P.("GSCP II Offshore"), GS Capital Partners II (Germany) C.L.P. ("GSCP II Germany", and together with GSCP and GSCP II Offshore, "GSCPII"), GS Advisors, L.P. ("GS Advisors"), GS Advisors II (Cayman), L.P. ("GS Advisors Cayman"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, L.P. ("GS Group" and, together with GSCPII, GS Advisors, GS Advisors Cayman, GS oHG and Goldman Sachs, the "Reporting Persons"). The principal business address of each of Goldman Sachs, GS Group, GSCP and GS Advisors is 85 Broad Street, New York, New York 10004. The principal business address for each of GSCP II Offshore and GS Advisors Cayman is c/o Maples and Calder, P.O. Box 309, Grand Cayman, Cayman Islands. The principal business address for each of GSCP II Germany and GS oHG is Messeturm Friedrich-Ebert-Anlage 49,60308 Frankfurt am Main, Germany. Explanation of Responses: 01: Goldman Sachs and GS Group may be deemed to own beneficially and indirectly 114.452632 shares of Common Stock which were acquired in a privately negotiated acquisition by and are beneficially and directly owned by the Greene Street 1998 Exchange Fund, L.P. ("Greene Street 1998"). Goldman Sachs is the investment manager of Greene Street 1998. An affiliate of Goldman Sachs and GS Group is the general partner of Greene Street 1998. GS Group is the general partner of and owns a 99% interest in Goldman Sachs. The 114.452632 shares reported herein as indirectly beneficially owned by Goldman Sachs and GS Group represents GS Group's proportionate interest in the shares of the Issuer owned by Greene Street 1998. 02: Goldman Sachs and GS Group may be deemed to own beneficially and indirectly 150 shares of Common Stock which are beneficially and directly owned by the Greene Street Exchange Fund, L.P. ("Greene Street"). Goldman Sachs is the investment manager of Greene Street. An affiliate of Goldman Sachs and GS Group is the general partner of Greene Street. GS Group is the general partner of and owns a 99% interest in Goldman Sachs. The 150 shares reported herein as indirectly beneficially owned by Goldman Sachs and GS Group represent GS Group's proportionate interest in the shares of the Issuer owned by Greene Street. 03: Goldman Sachs and GS Group may be deemed to own beneficially and indirectly in the aggregate 2,276,832 shares of Common Stock through GSCPII and certain other limited partnerships (the "Other Limited Partnerships" and together with GSCP, GSCP II Offshore and GSCP II Germany, the "Limited Partnerships") of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner. Goldman Sachs is the investment manager of GSCPII. GS Group is the general partner of and owns a 99% interest in Goldman Sachs. Goldman Sachs and GS Group each disclaim beneficial ownership of the shares of Common Stock owned by the Limited Partnerships except to the extent of their pecuniary interest therein. GSCP may be deemed to own beneficially and directly and its general partner, GS Advisors, may be deemed to own beneficially and indirectly 1,428,549 shares of Common Stock. GSCP II Offshore may be deemed to own beneficially and directly and its general partner, GS Advisors Cayman, may be deemed to own beneficially and indirectly 567,908 shares of Common Stock. GSCP II Germany may be deemed to own beneficially and directly and its managing partner, GS oHG, may be deemed to own beneficially and indirectly 52,691 shares of Common Stock. Each of GS Advisors, GS Advisors Cayman and GS oHG disclaim beneficial ownership of the securities reported herein except to the extent of its pecuniary interest in such securities. SIGNATURES: GOLDMAN, SACHS & CO. By: s/ Roger S. Begelman --------------------- Name: Roger S. Begelman Title: Attorney-in-fact THE GOLDMAN SACHS GROUP, L.P. By: s/ Roger S. Begelman --------------------- Name: Roger S. Begelman Title: Attorney-in-fact GS CAPITAL PARTNERS II, L.P. By: s/ Roger S. Begelman --------------------- Name: Roger S. Begelman Title: Attorney-in-fact GS CAPITAL PARTNERS II OFFSHORE, L.P. By: s/ Roger S. Begelman --------------------- Name: Roger S. Begelman Title: Attorney-in-fact GS CAPITAL PARTNERS II (GERMANY) CIVIL LAW PARTNERSHIP (with limitation of liability) By: s/ Roger S. Begelman --------------------- Name: Roger S. Begelman Title: Attorney-in-fact GS ADVISORS, L.P. By: s/ Roger S. Begelman --------------------- Name: Roger S. Begelman Title: Attorney-in-fact GS ADVISORS II (Cayman), L.P. By: s/ Roger S. Begelman --------------------- Name: Roger S. Begelman Title: Attorney-in-fact GOLDMAN, SACHS & CO. oHG By: s/ Roger S. Begelman --------------------- Name: Roger S. Begelman Title: Attorney-in-fact Date: December 10, 1998 ** 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 procedures. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to Rule 101(b)(4) of Regulation S-T. -----END PRIVACY-ENHANCED MESSAGE-----