-----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, JcaTe4tOKg5xx/dralxD5q1R2GDFThWzfRilgZxCUIeKlYAYqFTel4d4Mgqot0Eq ThTopi39fT5Kdpuh45jHWg== 0000950168-01-000301.txt : 20010223 0000950168-01-000301.hdr.sgml : 20010223 ACCESSION NUMBER: 0000950168-01-000301 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: CLARE A. PLACHETKA GROUP MEMBERS: JOHN R. PLACHETKA GROUP MEMBERS: SILVER HILL INVESTMENTS LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: POZEN INC /NC CENTRAL INDEX KEY: 0001059790 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 621657552 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-59871 FILM NUMBER: 1545524 BUSINESS ADDRESS: STREET 1: 6330 QUADRANGLE DR STREET 2: SUITE 240 CITY: CHAPEL HILL STATE: NC ZIP: 27514 BUSINESS PHONE: 9194900012 MAIL ADDRESS: STREET 1: 6330 QUADRANGLE DR STREET 2: SUITE 240 CITY: CHAPEL HILL STATE: NC ZIP: 27514 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SILVER HILL INVESTMENTS LLC CENTRAL INDEX KEY: 0001135012 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 321 SILVER CREEK TRAIL CITY: CHAPEL HILL STATE: NC ZIP: 27514 BUSINESS PHONE: 9194900012X219 MAIL ADDRESS: STREET 1: 321 SILVER CREEK TRAIL CITY: CHAPEL HILL STATE: NC ZIP: 27514 SC 13G 1 0001.txt SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------------- SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENT FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 POZEN, Inc. ---------------- (Name of Issuer) Class A Common Stock, $.001 Par Value ----------------------------------------- (Title of Class of Securities) 73941U102 ------------ (CUSIP Number) October 10, 2000 ------------------ Date of Event Which Requires Filing of this Statement Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) - -------------------------- The information required in 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. 13G CUSIP No. 73941U102 Page 2 of 8 Pages - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON/ 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entities Only) SILVER HILL INVESTMENTS, LLC - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] 2 (b) [ ] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - -------------------------------------------------------------------------------- | SOLE VOTING POWER | 5 | 0 Number of |--------------------------------------------------- Shares | SHARED VOTING POWER Beneficially | 6 Owned by | 3,855,508 Each |--------------------------------------------------- Reporting | SOLE DISPOSITIVE POWER Person | 7 With | 0 |--------------------------------------------------- | SHARED DISPOSITIVE POWER | 8 | 3,855,508 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 3,855,508 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 10 N/A - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 14.0% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON 12 CO - -------------------------------------------------------------------------------- 13G CUSIP No. 73941U102 Page 3 of 8 Pages - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON/ 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entities Only) JOHN R. PLACHETKA - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] 2 (b) [ ] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - -------------------------------------------------------------------------------- | SOLE VOTING POWER | 5 | 0 Number of |--------------------------------------------------- Shares | SHARED VOTING POWER Beneficially | 6 Owned by | 3,855,508 Each |--------------------------------------------------- Reporting | SOLE DISPOSITIVE POWER Person | 7 With | 0 |--------------------------------------------------- | SHARED DISPOSITIVE POWER | 8 | 3,855,508 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 3,855,508 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 10 N/A - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 14.0% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON 12 IN - -------------------------------------------------------------------------------- 13G CUSIP No. 73941U102 Page 4 of 8 Pages - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON/ 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entities Only) CLARE A. PLACHETKA - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] 2 (b) [ ] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - -------------------------------------------------------------------------------- | SOLE VOTING POWER | 5 | 0 Number of |--------------------------------------------------- Shares | SHARED VOTING POWER Beneficially | 6 Owned by | 3,855,508 Each |--------------------------------------------------- Reporting | SOLE DISPOSITIVE POWER Person | 7 With | 0 |--------------------------------------------------- | SHARED DISPOSITIVE POWER | 8 | 3,855,508 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 3,855,508 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 10 N/A - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 14.0% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON 12 IN - -------------------------------------------------------------------------------- 13G CUSIP No. 73941U102 Page 5 of 8 Pages Item 1(a). Name of Issuer POZEN, Inc. Item 1(b). Address of Issuer's Principal Executive Offices 6330 Quadrangle Drive, Suite 240 Chapel Hill, North Carolina 27514 Item 2(a). Name of Person Filing The persons filing this Schedule 13G are: (1) SILVER HILL INVESTMENTS, LLC (2) JOHN R. PLACHETKA (3) CLARE A. PLACHETKA Item 2(b). Address of Principal Business Office (1) SILVER HILL INVESTMENTS, LLC 321 Silver Creek Trail Chapel Hill, North Carolina 27514 (2) JOHN R. PLACHETKA c/o POZEN, Inc. 6330 Quadrangle Drive, Suite 240 Chapel Hill, North Carolina 27514 (3) CLARE A. PLACHETKA 321 Silver Creek Trail Chapel Hill, North Carolina 27514 13G CUSIP No. 73941U102 Page 6 of 8 Pages Item 2(c). Citizenship John R. Plachetka and Clare A. Plachetka are citizens of the United States. Silver Hill Investments, LLC was formed under the laws of the State of North Carolina. Item 2(d). Title of Class of Securities Common Stock, par value $.001 per share Item 2(e). CUSIP Number 73941U102 Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: N/A If this statement is filed pursuant to Rule 13d-1(c), check this box: [ ] Item 4. Ownership. (a) Amount beneficially owned: As of the date of the filing of this Schedule 13G, Silver Hill Investments, LLC, John R. Plachetka and Clare A. Plachetka beneficially own 3,855,508 shares of the Company's Common Stock. John R. Plachetka and Clare A. Plachetka are co-managers of Silver Hill Investments, LLC. Silver Hill Investments, LLC, owns the 3,855,508 shares of Common Stock reported as beneficially owned by the filing persons on this Schedule 13G. Silver Hill Investments, LLC is 50% owned by the John R. Plachetka Irrevocable Trust; 40% owned by the Revocable Declaration of Trust u/a dated 1-31-2000, John R. Plachetka, trustee; and 10% owned by the Revocable Declaration of Trust u/a dated 1-31-2000, Clare A. Plachetka, trustee. John R. Plachetka and Clare A. Plachetka are husband and wife. (b) Percent of Class: Silver Hill Investments, LLC, John R. Plachetka and Clare A. Plachetka beneficially own 14.0% of the Company's Common Stock. 13G CUSIP No. 73941U102 Page 7 of 8 Pages (c) Number of shares as to which such persons have: Silver Hill Investments, LLC, John R. Plachetka and Clare A. Plachetka have: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 3,855,508 shares of Common Stock (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 3,855,508 shares of Common Stock Item 5. Ownership of Five Percent or Less of a Class. N/A Item 6. Ownership of More than Five Percent on Behalf of Another Person. N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. N/A Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A 13G CUSIP No. 73941U102 Page 8 of 8 Pages Item 10. Certifications. N/A SIGNATURES 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. Silver Hill Investments, LLC By: /s/ JOHN R. PLACHETKA ---------------------------- John R. Plachetka Manager Dated: February 14, 2001 By: /s/ JOHN R. PLACHETKA ---------------------------- John R. Plachetka Dated: February 14, 2001 By: /s/ CLARE A. PLACHETKA ---------------------------- Clare A. Plachetka Dated: February 14, 2001 Exhibit A JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is used in the Schedule 13G) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock, par value $0.001 per share, of POZEN, Inc., and that this Agreement be included as an Exhibit to such joint filing. This Agreement may be executed in any number of counterparts all of which taken together shall constitute one and the same instrument. IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this 14th day of February, 2001. Silver Hill Investments, LLC By: /s/ JOHN R. PLACHETKA ---------------------------- John R. Plachetka Manager Dated: February 14, 2001 By: /s/ JOHN R. PLACHETKA ---------------------------- John R. Plachetka Dated: February 14, 2001 By: /s/ CLARE A. PLACHETKA ---------------------------- Clare A. Plachetka Dated: February 14, 2001 -----END PRIVACY-ENHANCED MESSAGE-----