4/A//SEC Filing
GLENCORE FINANCE AG 4/A
Accession 0000914121-04-001199
CIK 0000716823other
Filed
Jun 20, 8:00 PM ET
Accepted
Jun 21, 4:46 PM ET
Size
14.6 KB
Accession
0000914121-04-001199
Insider Transaction Report
Form 4/AAmended
GLENCORE FINANCE AG
10% Owner
Transactions
- Conversion
Common Stock
2004-06-10$2.00/sh−10,500,000$21,000,000→ 0 total - Conversion
Common Stock
2004-04-15$2.00/sh+10,500,000$21,000,000→ 10,500,000 total - Conversion
Series A Notes
2004-04-15$21000000.00/sh→ 0 totalExercise: $2.00From: 2004-03-12Exp: 2007-03-15→ Common Stock (10,500,000 underlying) - Award
Series B Convertible Preferred Stock
2004-06-10$200.00/sh+350,000$70,000,000→ 350,000 totalExercise: $2.00From: 2004-06-10Exp: 2011-06-10→ Common Stock (35,000,000 underlying)
Footnotes (5)
- [F1]This Form 4 reflects changes in beneficial ownership from the Form 3 filed on March 22, 2004 by Glencore International AG. This Form 4 is filed jointly by Glencore Finance AG, Glencore International AG and Glencore Holding AG. Glencore Finance AG, Glencore International AG and Glencore Holding AG are affiliates of each other. Glencore Finance AG, Glencore International AG, Glencore Holding AG, Mizuho International plc and Mizuho Securities Co., Ltd. have jointly filed an Amendment No. 1 to Schedule 13D in connection with their beneficial ownership of Series B Convertible Preferred Stock issued by Milacron Inc. Glencore Finance AG, Glencore International AG and Glencore Holding AG disclaim beneficial ownership of any Series B Convertible Preferred Stock that is beneficially owned by Mizuho International plc and Mizuho Securities Co., Ltd.
- [F2]Reporting Persons: (i) Reporting Owner Name/Address: Glencore Finance AG, Baarermattstrasse 3, CH-6341, Baar, Switzerland, Relationships -- 10% Owner; (ii) Reporting Owner Name/Address: Glencore International AG, Baarermattstrasse 3, CH-6341, Baar, Switzerland, Relationships -- 10% Owner; and (iii) Reporting Owner Name/Address: Glencore Holding AG, Baarermattstrasse 3, CH-6341, Baar, Switzerland, Relationships -- 10% Owner.
- [F3]On April 15, 2004, Glencore Finance AG converted $21,000,000 principal face amount of Series A Notes into 10,500,000 shares of common stock of Milacron Inc. at a conversion price of $2.00 per share of common stock.
- [F4]On June 10, 2004, Glencore Finance AG exchanged (i) 10,500,000 shares of common stock of Milacron Inc. and (ii) $49,000,000 principal face amount of Series B Notes purchased from Milacron Inc. pursuant to the Note Purchase Agreement described in Note 5 below, for 350,000 shares of Series B Convertible Preferred Stock.
- [F5]Pursuant to a Participation Agreement, dated March 16, 2004, between Glencore Finance AG and Triage Offshore Fund, Ltd., Glencore Finance AG sold an undivided participation interest of 17.8571428% of all securities issued by Milacron to Glencore Finance AG pursuant to the Note Purchase Agreement, dated March 12, 2004, by and among Milacron, Glencore Finance AG and Mizuho International plc. A copy of the Note Purchase Agreement is attached as Exhibit 10.49 to the Annual Report on Form 10-K filed on March 15, 2004 by Milacron Inc. for the fiscal year ended December 31, 2003. A copy of the participation agreement is attached as Exhibit 6 to the Amendment No. 1 to Schedule 13D filed on June 21, 2004 by Glencore Finance AG, Glencore International AG, Glencore Holding AG, Mizuho International plc and Mizuho Securities Co., Ltd.
Documents
Issuer
MILACRON INC
CIK 0000716823
Entity typeother
IncorporatedSwitzerland
Related Parties
1- filerCIK 0001284714
Filing Metadata
- Form type
- 4/A
- Filed
- Jun 20, 8:00 PM ET
- Accepted
- Jun 21, 4:46 PM ET
- Size
- 14.6 KB