-----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, ImR7KsL+kPue07BHYNXKEFWNUrIbpNkmz2FGwfSRiR0kze7jOyiPCsD9Fv4n3IlS 5PgLtnnMZSgaZoZMuI3LeA== 0000914121-06-001082.txt : 20060411 0000914121-06-001082.hdr.sgml : 20060411 20060411140946 ACCESSION NUMBER: 0000914121-06-001082 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20060411 DATE AS OF CHANGE: 20060411 GROUP MEMBERS: GLENCORE HOLDING AG GROUP MEMBERS: GLENCORE INTERNATIONAL AG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MILACRON INC CENTRAL INDEX KEY: 0000716823 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 311062125 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-40853 FILM NUMBER: 06753293 BUSINESS ADDRESS: STREET 1: 2090 FLORENCE AVENUE STREET 2: PO BOX 63716 CITY: CINCINNATI STATE: OH ZIP: 45206 BUSINESS PHONE: 5134875000 MAIL ADDRESS: STREET 1: 2090 FLORENCE AVENUE STREET 2: P.O. BOX 63716 CITY: CINCINNATI STATE: OH ZIP: 45206 FORMER COMPANY: FORMER CONFORMED NAME: CINCINNATI MILACRON INC /DE/ DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: CINCINNATI MILACRON HOLDINGS INC DATE OF NAME CHANGE: 19830503 FORMER COMPANY: FORMER CONFORMED NAME: CINCINNATI MILLING MACHINE CO DATE OF NAME CHANGE: 19600201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GLENCORE FINANCE AG CENTRAL INDEX KEY: 0001284714 IRS NUMBER: 00000000 STATE OF INCORPORATION: V8 FILING VALUES: FORM TYPE: SC 13D/A SC 13D/A 1 gl894078-13da4.txt AMENDMENT NO. 4 TO GEN. STATE. OF BEN. OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) Milacron Inc. ------------------------------------------------------------------------ (Name of Issuer) Common Shares - Par Value $.01 ------------------------------------------------------------------------ (Title of Class of Securities) 598709103 (CUSIP Number) Steven N. Isaacs Matthew M. Weber Glencore Finance AG Cadwalader, Wickersham & Taft LLP Baarermattstrasse 3 One World Financial Center CH-6341 Baar New York, New York 10281 Switzerland (212) 504-6000 011-41-41-709-2340 ------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) March 31, 2006 --------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. SCHEDULE 13D - ---------------------------- ------------------------- CUSIP No. 598709103 Page 2 of 11 - ---------------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Glencore Finance AG - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a)[X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) (See Item #3) AF - -------------------------------------------------------------------------------- 5 CHECK 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 0 ------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 33,432,142 (1) OWNED BY ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 0 WITH ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 33,432,142 (1) - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 33,432,142 (1) - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)[X] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 30.55% (2) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - -------------------------------------------------------------------------------- (1) Shares reported are shares of common stock on a fully diluted, as-converted basis, together with 575,000 shares of common stock issuable upon exercise of the Contingent Warrants (as defined below) beneficially owned by Glencore (as defined below). (2) If calculated strictly in accordance with Rule 13d-3(d)(1)(i), such that Glencore, but no other person, is deemed to have exercised its derivative rights, then Glencore would be deemed to beneficially own 39.46% of the common stock of Milacron (as defined below). - -------------------------------------------------------------------------------- - ---------------------------- ------------------------- CUSIP No. 598709103 Page 3 of 11 - ---------------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Glencore International AG - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a)[X] (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) (See Item #3) AF - -------------------------------------------------------------------------------- 5 CHECK 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 0 ------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 33,432,142 (1) OWNED BY ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 0 WITH ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 33,432,142 (1) - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 33,432,142 (1) - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)[X] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 30.55% (2) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO, HC - -------------------------------------------------------------------------------- (1) Shares reported are shares of common stock on a fully diluted, as-converted basis, together with 575,000 shares of common stock issuable upon exercise of the Contingent Warrants beneficially owned by Glencore. (2) If calculated strictly in accordance with Rule 13d-3(d)(1)(i), such that Glencore, but no other person, is deemed to have exercised its derivative rights, then Glencore would be deemed to beneficially own 39.46% of the common stock of Milacron. - -------------------------------------------------------------------------------- - ---------------------------- ------------------------- CUSIP No. 598709103 Page 4 of 11 - ---------------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Glencore Holding AG - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a)[X] (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) (See Item #3) AF - -------------------------------------------------------------------------------- 5 CHECK 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 0 NUMBER OF ------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 33,432,142 (1) EACH ------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 0 ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 33,432,142 (1) - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 33,432,142 (1) - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)[X] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 30.55% (2) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO, HC - -------------------------------------------------------------------------------- (1) Shares reported are shares of common stock on a fully diluted, as-converted basis, together with 575,000 shares of common stock issuable upon exercise of the Contingent Warrants beneficially owned by Glencore. (2) If calculated strictly in accordance with Rule 13d-3(d)(1)(i), such that Glencore, but no other person, is deemed to have exercised its derivative rights, then Glencore would be deemed to beneficially own 39.46% of the common stock of Milacron. - -------------------------------------------------------------------------------- SCHEDULE 13D - ---------------------------- ------------------------- CUSIP No. 598709103 Page 5 of 11 - ---------------------------- ------------------------- INTRODUCTION This Amendment No. 4 to Schedule 13D amends Amendment No. 3 to Schedule 13D filed by (i) Glencore Finance AG ("Glencore Finance"), Glencore International AG ("Glencore International") and Glencore Holding AG ("Glencore Holding", and collectively with Glencore Finance and Glencore International, "Glencore"), and (ii) Mizuho International PLC and Mizuho Securities Co., Ltd. on March 22, 2006. This Amendment No. 4 relates to the beneficial ownership by Glencore of common shares issuable upon exercise of the Contingent Warrants issued by Milacron Inc. ("Milacron"). On March 31, 2006, Glencore received a notice from Milacron stating that the Contingent Warrants had become immediately exercisable in accordance with the terms and conditions thereof. As a result, Glencore is disclosing its beneficial ownership of shares of Common Stock issuable upon exercise of its Contingent Warrants. Accordingly, Item 5 of Amendment No. 3 to Schedule 13D is hereby amended as follows: ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) Milacron has 51,285,132 shares of Common Stock (as defined below) outstanding as of March 1, 2006, according to Milacron's Form 10-K for the fiscal year ended December 31, 2005. The total number of shares of Common Stock that Glencore beneficially owns is 33,432,142 shares, comprised of 32,857,142 shares represented by the Series B Convertible Preferred Stock (on an as-converted basis) held by it, together with 575,000 shares represented by the Contingent Warrants (as defined below) held by it. In the aggregate, Glencore's beneficial ownership of common shares represents approximately 30.55% of Milacron's total outstanding shares of common stock as of the date hereof (the "Common Stock"), after taking into account (i) the approximately 57,142,857 shares of Common Stock issuable upon conversion of the Series B Convertible Preferred Stock and (ii) the 1,000,000 shares of restricted Common Stock issuable upon exercise of the Contingent Warrants. (b) Glencore Finance has shared power with Glencore International and Glencore Holding to vote, or to direct the voting of, all of the shares of Series B Convertible Preferred Stock reported as beneficially owned by Glencore. Glencore Finance has shared power with Glencore International and Glencore Holding to dispose of, or to direct the disposition of, all of the shares of Series B Convertible Preferred Stock reported as beneficially owned by Glencore. (c) On March 31, 2006, Milacron delivered a notice to Glencore stating that the Contingent Warrants had become immediately exercisable. Neither Glencore nor, to the best of Glencore's knowledge, any person listed on Annex 1 has effected any transactions in the Series B Convertible Preferred Stock or the Common Stock during the past sixty days. SCHEDULE 13D - ---------------------------- ------------------------- CUSIP No. 598709103 Page 6 of 11 - ---------------------------- ------------------------- (d) Not applicable. (e) Not applicable. 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 11, 2006 GLENCORE FINANCE AG By: /s/ Barbara Wolfensberger -------------------------------------- Name: Barbara Wolfensberger Title: Director By: /s/ Steven N. Isaacs -------------------------------------- Name: Steven N. Isaacs Title: Director GLENCORE INTERNATIONAL AG By: /s/ Lotti Grenacher -------------------------------------- Name: Lotti Grenacher Title: Officer By: /s/ Andreas Hubmann -------------------------------------- Name: Andreas Hubmann Title: Officer SCHEDULE 13D - ---------------------------- ------------------------- CUSIP No. 598709103 Page 7 of 11 - ---------------------------- ------------------------- GLENCORE HOLDING AG By: /s/ Willy R. Strothotte -------------------------------------- Name: Willy R. Strothotte Title: Chairman GLENCORE HOLDING AG By: /s/ Ivan Glasenberg -------------------------------------- Name: Ivan Glasenberg Title: Director SCHEDULE 13D - ---------------------------- ------------------------- CUSIP No. 598709103 Page 8 of 11 - ---------------------------- ------------------------- Annex 1 Set forth below are the names, business addresses and present principal occupations of the executive officers and directors of Glencore Finance, Glencore International and Glencore Holding. The executive officers of Glencore Holding are the directors of Glencore Holding. The executive officers of Glencore International are the persons listed as directors whose principal occupation is with Glencore International. The executive officer of Glencore Finance is the person listed as director whose principal occupation is with Glencore Finance. Unless otherwise indicated, the present principal occupation of each person is with Glencore International. If no business address is given, the director's or executive officer's address is Baarermattstrasse 3, CH-6341, Baar, Switzerland. Unless otherwise indicated, all of the persons listed below are citizens of Switzerland.
Directors of Glencore Finance Name Principal Occupation Business Address Citizenship - ------------------------------ -------------------------- ----------------------- --------------- Steven N. Isaacs Chairman and Managing South Africa Director of Glencore Finance AG Andreas P. Hubmann Officer of Glencore International AG -- Accounting Barbara A. Wolfensberger In-house Counsel of Glencore International AG
Directors of Glencore International Name Principal Occupation Business Address Citizenship - ------------------------------ -------------------------- ----------------------- --------------- Willy R. Strothotte Chairman Germany Ivan Glasenberg Chief Executive Officer Australia Zbynek E. Zak Non-Executive Director Peter A. Pestalozzi Attorney, Pestalozzi Loewenstrasse 1 Lachenal Patry CH-8001 Zurich, Switzerland Craig A. Davis Chairman & Chief 2511 Garden Road, USA Executive Officer of Bldg. A, Suite 200, Century Aluminum Company Monterey, CA 93940
SCHEDULE 13D - ---------------------------- ------------------------- CUSIP No. 598709103 Page 9 of 11 - ---------------------------- -------------------------
Directors of Glencore Holding Name Principal Occupation Business Address Citizenship - ------------------------------ -------------------------- ----------------------- --------------- Willy R. Strothotte Chairman Germany Ivan Glasenberg Chief Executive Officer Australia Zbynek E. Zak Non-Executive Director Peter A. Pestalozzi Attorney, Pestalozzi Loewenstrasse 1 Lachenal Patry CH-8001 Zurich, Switzerland Craig A. Davis Chairman & Chief 2511 Garden Road, USA Executive Officer of Bldg. A, Suite 200, Century Aluminum Company Monterey, CA 93940 Andreas P. Hubmann Officer of Glencore International AG -- Accounting
EX-1 2 gl894078-ex1.txt JOINT FILING AGREEMENT SCHEDULE 13D - ---------------------------- ------------------------- CUSIP No. 598709103 Page 10 of 11 - ---------------------------- ------------------------- Exhibit 1 Joint Filing Agreement Pursuant to Rule 13d-1(k) The undersigned persons (the "Reporting Persons") hereby agree that a joint statement on this Amendment No. 4 to Schedule 13D, and any amendments thereto, is to be filed. Each of the Reporting Persons is responsible for the completeness and accuracy of the information concerning each of them contained therein, but none of the Reporting Persons is responsible for the completeness or accuracy of the information concerning any other Reporting Person. Date: April 11, 2006 GLENCORE FINANCE AG By: /s/ Steven Isaacs ---------------------------------------- Name: Steven Isaacs Title: Director By: /s/ Barbara Wolfensberger Name: Barbara Wolfensberger Title: Director GLENCORE INTERNATIONAL AG By: /s/ Lotti Grenacher ---------------------------------------- Name: Lotti Grenacher Title: Officer By: /s/ Andreas Hubmann ---------------------------------------- Name: Andreas Hubmann Title: Officer SCHEDULE 13D - ---------------------------- ------------------------- CUSIP No. 598709103 Page 11 of 11 - ---------------------------- ------------------------- GLENCORE HOLDING AG By: /s/ Willy R. Strothotte ---------------------------------------- Name: Willy R. Strothotte Title: Chairman By: /s/ Ivan Glasenberg ---------------------------------------- Name: Ivan Glasenberg Title: Director -----END PRIVACY-ENHANCED MESSAGE-----