-----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, I9AnRWipA0wKJE1XtWrw3qtbjxwd67HQkmLhdv4Jg+XLIXbFF3DLkAiDbOI8Kr9p dDvp8GAVS0g8tdd/kxe8Ug== 0000927016-01-001113.txt : 20010228 0000927016-01-001113.hdr.sgml : 20010228 ACCESSION NUMBER: 0000927016-01-001113 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010227 GROUP MEMBERS: AMERICAN OPPORTUNITY TRUST PLC GROUP MEMBERS: CHRISTOPHER HARWOOD BERNARD MILLS GROUP MEMBERS: CONSULTA (CHANNEL ISLANDS) LIMITED GROUP MEMBERS: GROWTH FINANCIAL SERVICES LIMITED GROUP MEMBERS: J O HAMBRO CAPITAL MANAGEMENT (HOLDINGS) LIMITED GROUP MEMBERS: J O HAMBRO CAPITAL MANAGEMENT LIMITED GROUP MEMBERS: J O HAMBRO CAPITAL MANAGEMENT LTD GROUP MEMBERS: NORTH ATLANTIC SMALLER COMPANIES INVESTMENT TRUST GROUP MEMBERS: ORYX INTERNATIONAL GROWTH FUND LIMITED GROUP MEMBERS: THE TRIDENT NORTH ATLANTIC FUND SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENTEK INC CENTRAL INDEX KEY: 0001077552 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 020505547 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-56261 FILM NUMBER: 1555594 BUSINESS ADDRESS: STREET 1: LIBERTY LANE CITY: HAMPTON STATE: NH ZIP: 03842 BUSINESS PHONE: 6039292606 MAIL ADDRESS: STREET 1: LIBERTY LANE CITY: HAMPTON STATE: NH ZIP: 03842 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: J O HAMBRO CAPITAL MANAGEMENT LTD CENTRAL INDEX KEY: 0000940755 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: X0 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 10 PARK PLACE CITY: LONDON STATE: X0 MAIL ADDRESS: STREET 1: 10 PARK PLACE STREET 2: SW1A1LP CITY: LONDON STATE: X0 FORMER COMPANY: FORMER CONFORMED NAME: HAMBRO J O & PARTNERS LTD DATE OF NAME CHANGE: 19960206 SC 13G 1 0001.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Information to be Included in Statements Filed Pursuant to Rules 13d-1(b) and (c) and Amendments Thereto Filed Pursuant to 13d-2(b) (Amendment No. )* GENTEK INC. ________________________________________________________________ (Name of issuer) Common Stock, par value $.01 per share ________________________________________________________________ (Title of class of securities) 37245X104 _____________________________ (CUSIP number) October 3, 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) [X] Rule 13d-1(c) [_] Rule 13d-1(d) - ----------------------- -------------------- CUSIP NO. 37245X104 13G Page 2 of 19 Pages ---------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) J O Hambro Capital Management (Holdings) Limited No IRS Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2. (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. England - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 1,038,700 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 1,038,700 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 1,038,700 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11. 5.1% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12. HC, CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ----------------------- -------------------- CUSIP NO. 37245X104 13G Page 3 of 19 Pages - ----------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) J O Hambro Capital Management Limited No IRS Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2. (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. England - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 1,038,700 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 1,038,700 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 1,038,700 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11. 5.1% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12. IA, CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ----------------------- -------------------- CUSIP NO. 37245X104 13G Page 4 of 19 Pages - ----------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Growth Financial Services Limited No IRS Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2. (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. England - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 430,000 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 430,000 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 430,000 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11. 2.1% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12. CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ----------------------- -------------------- CUSIP NO. 37245X104 13G Page 5 of 19 Pages - ----------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) North Atlantic Smaller Companies Investment Trust plc No IRS Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2. (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. England - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 430,000 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 430,000 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 430,000 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11. 2.1% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12. IV, CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ----------------------- -------------------- CUSIP NO. 37245X104 13G Page 6 of 19 Pages - ----------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) American Opportunity Trust plc No IRS Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2. (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. England - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 120,000 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 120,000 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 120,000 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11. 0.6% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12. IV, CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------------------ ------------------------ CUSIP No. 37245X104 13G Page 7 of 19 Pages - ------------------------------ ------------------------ - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Christopher Harwood Bernard Mills No IRS Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2. (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. England - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 1,038,700 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 1,038,700 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 1,038,700 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11. 5.1% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12. IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------------------ ------------------------ CUSIP NoO. 37245X104 13G Page 8 of 19 Pages - ------------------------------ ------------------------ - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Oryx International Growth Fund Limited No IRS Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2. (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. Guernsey (Channel Islands) - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 110,000 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 110,000 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 110,000 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11. 0.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12. IV, CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------------------ ------------------------ CUSIP No. 37245X104 13G Page 9 of 19 Pages - ------------------------------ ------------------------ - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Consulta (Channel Islands) Limited No IRS Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2. (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. Guernsey (Channel Islands) - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 110,000 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 110,000 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 110,000 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11. 0.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12. IA, CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------------------ ------------------------ CUSIP No. 37245X104 13G Page 10 of 19 Pages - ------------------------------ ------------------------ - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) The Trident North Atlantic Fund No I.R.S. Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2. (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. Cayman Islands - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 100,000 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 100,000 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 100,000 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11. 0.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12. IV, CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! STATEMENT ON SCHEDULE 13G ------------------------- Item 1(a). Name of Issuer: -------------- Gentek Inc. (the "Company"). Item 1(b). Address of Issuer's Principal Executive Offices: ----------------------------------------------- Liberty Lane, Hampton, New Hampshire, 03842 Item 2(a). Name of Person Filing: --------------------- This Statement is filed on behalf of the following nine persons, who are collectively referred to as the "Filing Parties": 1. J O Hambro Capital Management (Holdings) Limited ("Holdings") is a corporation organized under the laws of England with its principal office and business at Ryder Court, 114 Ryder Street, London, SW1Y 6QB England. Holdings functions as the ultimate holding company for J O Hambro Capital Management. 2. J O Hambro Capital Management Limited ("J O Hambro Capital Management"), formerly named J O Hambro & Partners Limited, is a corporation organized under the laws of England with its principal office and business at Ryder Court, 114 Ryder Street, London, SW1Y 6QB England. J O Hambro Capital Management is principally engaged in the business of investment management and advising. It serves as co-investment adviser to NASCIT and American Opportunity Trust and as investment adviser Oryx as well as certain private clients. 3. Christopher Harwood Bernard Mills is a British citizen whose business address is Ryder Court, 14 Ryder Street, London SW1Y 6QB England. His principal employment includes service as executive director of NASCIT, as a director of J O Hambro Capital Management, The Trident North Atlantic Fund and Oryx, and as co-investment adviser to NASCIT and American Opportunity Trust. 4. Growth Financial Services Limited ("GFS"), formerly named Growth Investment Management Limited, is a corporation organized under the laws of England with its principal office at 77 Middle Street, Brockham, Surrey RH3 7HL England and with its principal business at Ryder Court, 14 Ryder Street, London SW1Y 6QB England. GFS has undertaken to provide the services of Christopher Mills to NASCIT. 5. North Atlantic Smaller Companies Investment Trust plc ("NASCIT"), formerly named Consolidated Venture Trust plc, is a corporation organized under the laws of England with its principal office and business at Ryder Court, 14 Ryder Street, London SW1Y 6QB England. NASCIT is a publicly-held investment trust company. Christopher Harwood Bernard Mills and J O Hambro Capital Management serve as co-investment advisers to NASCIT. 6. American Opportunity Trust plc ("American Opportunity Trust"), formerly named Leveraged Opportunity Trust plc, is a corporation organized under the laws of England with its principal office and business at Ryder Court, 14 Ryder Street, London SW1Y 6QB England. American Page 11 of 19 Pages Opportunity Trust is a publicly-held investment trust company. Christopher Harwood Bernard Mills and J O Hambro Capital Management serve as co- investment advisers to American Opportunity Trust. 7. Oryx International Growth Fund Limited ("Oryx") is a corporation organized under the laws of the Island of Guernsey with its principal office and business at Bermuda House, St. Julian's Avenue, St. Peter Port, Guernsey. Oryx is a closed-end investment company. J O Hambro Capital Management and Consulta serve as investment advisers to Oryx. 8. Consulta (Channel Islands) Limited ("Consulta") is a corporation organized under the laws of the Island of Guernsey with its principal office and business at Bermuda House, St. Julian's Avenue, St. Peter Port, Guernsey. Consulta is principally engaged in the business of investment management and advising and serving as investment manager of Oryx. 9. The Trident North Atlantic Fund ("Trident North Atlantic") is an open-ended investment Company incorporated in the Cayman Islands with its principal office and business at P.O. Box 309 Ugland House, George Town, Grand Cayman, Cayman Islands. Trident is a publicly-held regulated Mutual Fund. Christopher Harwood Bernard Mills serves as a director of Trident North Atlantic and J O Hambro Capital Management serves as an investment adviser to Trident North Atlantic. Item 2(b). Address of Principal Business Office or, if None, Residence: ----------------------------------------------------------- The principal business address of the Filing Parties is c/o J O Hambro Capital Management Limited, Ryder Court, 14 Ryder Street, London SW1Y 6QB England. Item 2(c). Citizenship: ----------- England Item 2(d). Title of Class of Securities: ---------------------------- Common Stock, par value $.01 per share. Item 2(e). CUSIP Number: ------------ 37245X104 Item 3. If the statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), ----------------------------------------------------------------- check whether the person filing is a: ------------------------------------ Not Applicable. Page 12 of 19 Pages Item 4. Ownership: --------- The aggregate number and percentage of the outstanding Common Stock of the Company beneficially owned by each of the Filing Parties as of February 8, 2001 are as follows:
Number of Number of Number of Shares: Shares: Sole Aggregate Shares: Sole Shared or Shared Filing Number of Power to Power to Power to Approximate Party Shares: Vote Vote Dispose Percentage* - ------------------------------ ----------- -------------- --------- ------------ ------------ Holdings 1,038,700 0 1,038,700 1,038,700 5.1% J O Hambro Capital Management 1,038,700 0 1,038,700 1,038,700 5.1% Christopher H.B. Mills 1,038,700 0 1,038,700 1,038,700 5.1% American Opportunity Trust 120,000 0 120,000 120,000 0.6% GFS 430,000 0 430,000 430,000 2.1% NASCIT 430,000 0 430,000 430,000 2.1% Oryx 110,000 0 110,000 110,000 0.5% Consulta 110,000 0 110,000 110,000 0.5% Trident North Atlantic 100,000 0 100,000 100,000 0.5% - ---------------------------------------------------------------------------------------------------
* Based 20,323,389 shares of Common Stock, par value $.01 per share, outstanding as of September 30, 2000, which is based on information reported in the Company's Quarterly Report on Form 10-Q for the period ended November 10, 2000. Item 5. Ownership of Five Percent or Less of a Class: -------------------------------------------- If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [_]. Item 6. Ownership of More than Five Percent on Behalf of Another Person: --------------------------------------------------------------- As co-investment advisers to NASCIT, Christopher Harwood Bernard Mills and J O Hambro Capital Management share the right to transfer and vote the shares of Common Stock of the Company pursuant to an agreement entered into among NASCIT, GFS and Christopher Mills and an agreement entered into between NASCIT and J O Hambro Capital Management, each dated as of January 7, 1993, respectively. As co-investment advisers to American Opportunity Trust, Christopher Harwood Bernard Mills and J O Hambro Capital Management share the right to transfer and vote the shares of Common Stock of the Company pursuant to an agreement dated as of January 7, 1993 between American Opportunity Trust and J O Hambro Capital Management. Page 13 of 19 Pages As investment manager for Oryx, Consulta has the right to transfer and vote the shares of Common Stock of the Company pursuant to an agreement dated as of February 16, 1995 between Oryx and Consulta. As investment adviser to Oryx, J O Hambro Capital Management has the right to transfer the shares of Common Stock of the Company pursuant to an agreement dated as of February 16, 1995 between J O Hambro Capital Management and Consulta. As investment manager for certain of its private clients, J O Hambro Capital Management has the right to transfer and vote the shares of Common Stock of the Company pursuant to either agreements or arrangements entered into with such private clients. Item 7. Identification and Classification of the Subsidiary Which --------------------------------------------------------- Acquired the Security Being Reported on by the Parent Holding ------------------------------------------------------------- Company: ------- Not Applicable. Item 8. Identification and Classification of Members of the Group: --------------------------------------------------------- See Item 2(a). Item 9. Notice of Dissolution of Group: ------------------------------ Not Applicable. Item 10. Certification: ------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 14 of 19 Pages 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. Dated: February 27, 2001 J O HAMBRO CAPITAL MANAGEMENT LIMITED By: /s/ R.G. Barrett --------------------------------------- Name: R.G. Barrett Title: Director Executed on behalf of the parties hereto pursuant to the Joint Filing Agreement filed herewith. EXHIBITS The following documents are filed herewith: (a) Joint Filing Agreement dated as of February 27, 2001 among Holdings, J O Hambro Capital Management, NASCIT, GFS, American Opportunity Trust, Christopher Harwood Bernard Mills, Oryx, Consulta, and Trident North Atlantic. Page 16 of 19 Pages JOINT FILING AGREEMENT Page 17 of 19 Pages JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G dated February 27, 2001 with respect to the shares of Common Stock, $0.01 par value, of Gentek Inc. and any further amendments thereto executed by each or any of us shall be filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. This Agreement may be executed in separate counterparts, each of which shall be deemed an original, but all of which shall constitute one and the same instrument. Date: February 27, 2001 NORTH ATLANTIC SMALLER COMPANIES INVESTMENT TRUST PLC By: J O Hambro Capital Management Limited, Its investment advisor By: /s/ R. G. Barrett --------------------------------------------- Name: R.G. Barrett Title: Director Date: February 27, 2001 J O HAMBRO CAPITAL MANAGEMENT LIMITED By: /s/ R. G. Barrett ------------------------------------ Name: R.G. Barrett Title: Director Date: February 27, 2001 J O HAMBRO & CAPITAL MANAGEMENT (HOLDINGS) LIMITED By: /s/ R. G. Barrett --------------------------------------------- Name: R.G. Barrett Title: Director Date: February 27, 2001 GROWTH FINANCIAL SERVICES LIMITED By: /s/ C. H. B. Mills --------------------------------------------- Name: C.H.B. Mills Title: Director Date: February 27, 2001 AMERICAN OPPORTUNITY TRUST PLC By: J O Hambro Capital Management Limited, Its investment advisor By: /s/ R. G. Barrett ------------------------------------ Name: R.G. Barrett Title: Director Date: February 27, 2001 CHRISTOPHER H. B. MILLS /s/ C. H. B. Mills ------------------------------------------------ Date: February 27, 2001 ORYX INTERNATIONAL GROWTH FUND LIMITED By: J O Hambro Capital Management Limited, Its investment advisor By: /s/ R. G. Barrett --------------------------------------------- Name: R.G. Barrett Title: Director Date: February 27, 2001 CONSULTA (CHANNEL ISLANDS) LTD By: /s/ Barry Carroll --------------------------------------------- Name: Barry Carroll Title: Director Date: February 27, 2001 THE TRIDENT NORTH ATLANTIC FUND By: J O Hambro Capital Management Limited, Its investment advisor By: /s/ R. G. Barrett -------------------------------------- Name: R.G. Barrett Title: Director -----END PRIVACY-ENHANCED MESSAGE-----