-----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, VYWEjz7Qab0uOUGYZC03vxufBUpesKSz7N4Og9KuRQIrq0mXCdY9zoeD2/HqScl4 Qne1dfTk00TYMMQsK45rnQ== 0001005477-01-003801.txt : 20010626 0001005477-01-003801.hdr.sgml : 20010626 ACCESSION NUMBER: 0001005477-01-003801 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010625 GROUP MEMBERS: BERLEX LABORATORIES INC GROUP MEMBERS: SCHERING BERLIN INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BRADLEY PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000864268 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 222581418 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-43138 FILM NUMBER: 1666509 BUSINESS ADDRESS: STREET 1: 383 RTE 46 WEST CITY: FAIRFIELD STATE: NJ ZIP: 07004 BUSINESS PHONE: 9738821505 MAIL ADDRESS: STREET 1: 383 ROUTE 46 WEST CITY: FAIRFIELD STATE: NJ ZIP: 08816 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERLEX LABORATORIES INC CENTRAL INDEX KEY: 0001029862 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 222273583 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: P O BOX 1000 CITY: MONTVILLE STATE: NJ ZIP: 07045-1000 BUSINESS PHONE: 9734872000 MAIL ADDRESS: STREET 1: BERLEX LABORATORIES STREET 2: P O BOX 1000 CITY: MONTVILLE STATE: NJ ZIP: 07045-1000 SC 13D/A 1 0001.txt AMENDMENT NO. 2 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURUSANT TO RULE 13d-2(a) (Amendment No. 2) BRADLEY PHARMACEUTICALS, INC. ----------------------------- (Name of Issuer) Class A Common Stock, No Par Value ---------------------------------- (Title of Class of Securities) 10457 6 10 3 ------------ (CUSIP Number) Berlex Laboratories, Inc. 340 Changebridge Road, P.O. Box 1000 Montville, New Jersey 07045-1000 Attention: Frank Curtis, Esq. (973) 487-2591 -------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) - with a copy to - Jerry Genberg, Esq. Sills Cummis Zuckerman Radin Tischman Epstein & Gross, P.A. One Riverfront Plaza Newark, New Jersey 07102 (973) 643-7000 June 15, 2001 ------------- (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box |_| 1 CUSIP NO. 10457 6 10 3 SCHEDULE 13D Page 2 of 11 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) BERLEX LABORATORIES, INC. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* SC/OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 1,970,000 (See Item 5) -------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY -------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 1,970,000 (See Item 5) WITH -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,970,000 (See Item 5) - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 23.8% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 10457 6 10 3 SCHEDULE 13D Page 3 of 11 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) SCHERING BERLIN INC. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* SC/OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 1,970,000 (See Item 5) -------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY -------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 1,970,000 (See Item 5) WITH -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,970,000 (See Item 5) - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 23.8% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D This Amendment is filed on behalf of Berlex Laboratories, Inc., a Delaware corporation, and its affiliate and amends and supplements the Schedule 13D dated December 31, 1996, as amended by Schedule 13D Amendment No.1 filed as of September 27, 1997, with respect to the Class A Common Stock of Bradley Pharmaceuticals, Inc. Unless otherwise defined herein, all capitalized terms shall have the meanings ascribed to them in the Schedule 13D, as amended. Cover Page. The responses set forth in disclosure items 7, 9, 11 and 13 of the Schedule 13D cover page are hereby amended and restated as follows: (7) 1,970,000 (See Item 5) (9) 1,970,000 (See Item 5) (11) 1,970,000 (See Item 5) (13) 23.8% Item 2. Identity and Background. Schedule 1 to the Schedule 13D, as amended, is hereby deleted in its entirety and replaced with Schedule 1 attached to this Amendment No. 2. All statements made in the Schedule 13D, as amended, regarding the persons listed on Schedule 1 are hereby incorporated by reference and made with respect to the persons listed on Schedule 1 attached to this Amendment No. 2. Item 4. Purpose of Transaction Item 4 is amended and restated in its entirety as follows: Berlex acquired its Class A Common Stock for investment purposes in connection with Amendment No. 5 and Amendment No. 6 (as described in Item 3). Berlex does not, nor does it seek to, exercise control over the Issuer through its ownership of Class A Common Stock. Berlex intends continuously to review its investment in the Issuer, and, from time to time, continue to sell shares of Class A Common Stock if it so decides based on market conditions and other relevant factors. In reaching any decision with respect to its investment, Berlex will take into consideration various factors, such as the Issuer's business prospects and financial position, other developments concerning the Issuer, the price level of the Class A Common Stock, available opportunities to acquire or dispose of the Class A Common Stock or realize trading profits, conditions in the securities markets, and general economic and industry conditions. Depending upon the results of its review of any or all of the aforementioned factors, Berlex may decide to purchase additional Common Stock in the open market, through privately negotiated transactions with third parties or otherwise, or to sell at any time, in the open market, through privately negotiated 4 transactions with third parties or otherwise, all or a portion of the Class A Common Stock now owned or hereafter acquired by Berlex, including sales in the open market pursuant to Rule 144(k) promulgated under the Securities Act of 1933 and sales upon the effectiveness of the registration statement relating to Berlex's Class A Common Stock (the "Registration Statement"), which Registration Statement the Issuer has agreed to use its best efforts to file on or prior to September 30, 1997 (as described in Item 6). Other than as described above in this Item 4, Berlex's agreement to vote its shares of Class A Common Stock in favor of the proposal to be made by the Issuer to reincorporate the Issuer in Delaware (as described in Item 3), and shares which may be acquired upon the exercise of the Warrant, if issued (as described in Item 3), neither Reporting Person has any present plans or proposals which relate to or would result in any transaction, change or event specified in clauses (a) through (j) of Item 4 of the Schedule 13D. Item 5. Interest in Securities of the Company Item 5 is amended and restated in its entirety as follows: (a) As of June 22, 2001, the Reporting Persons are the beneficial owners of 1,970,000 shares of Class A Common Stock (including 1,220,000 shares and 750,000 shares issuable upon exercise of the Warrant (described in Item 3), representing approximately 23.8% of the total issued and outstanding Class A Common Stock of the Issuer. The calculation of the foregoing percentage is based upon the number of shares of Class A Common Stock of the Issuer as reflected in the Issuer's Form 10-QSB for the quarterly period ended March 31, 2001. (b) Berlex possesses the sole power to vote and the sole power to dispose of the 1,970,000 shares of Class A Common Stock beneficially owned by it; provided however, that Berlex may vote the shares of Class A Common Stock beneficially owned by it only as permitted under Section 9 of Amendment No. 6 (described in Item 6 below). (c) To the best knowledge of the Reporting Persons, except for those sales made by Berlex in reliance on Rule 144(k) as set forth on Schedule 2, there have been no transactions by any Reporting Person or by any other person named on Schedule 1 attached hereto in securities of the Issuer during the past 60 days. (d) Berlex has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Class A Common Stock owned by it. (e) Not applicable. 5 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. Dated: June 22, 2001 BERLEX LABORATORIES, INC. By: /s/ John Nicholson ------------------ Name: John Nicholson Title: Treasurer 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: June 22, 2001 SCHERING BERLIN INC. By: /s/ John Nicholson ------------------ Name: John Nicholson Title: Treasurer 6 SCHEDULE 1 ================================================================================ A. EXECUTIVE OFFICERS AND DIRECTORS OF BERLEX LABORATORIES, INC. The name, business address, citizenship and present principal occupation or employment (in addition to any set forth in Section B of this Schedule 1) of each executive officer and director of Berlex Laboratories, Inc. is set forth below.
============================================================================================================ Name and Business Address Citizenship Title and Principal Occupation or Employment ============================================================================================================ Lutz Lingnau Germany Chairman of the Board of Directors Schering Berlin Inc. Berlex Laboratories, Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Robert A. Chabora USA Director; Vice President and Secretary Schering Berlin Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Jorge Engel Germany Director; Vice President Schering Berlin Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Wolfgang Kunze Germany Director; Vice President and Chief Schering Berlin Inc. Financial Officer 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Elise Klein USA Vice President Berlex Laboratories, Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000
7 - ------------------------------------------------------------------------------------------------------------ Dr. Jeff Latts USA Vice President Berlex Laboratories, Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Robert Milos USA Vice President Berlex Laboratories, Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Reinhard Franzen Germany Vice President Berlex Laboratories, Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ John Nicholson USA Treasurer Schering Berlin Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Dr. Wolfgang Kehr Germany Vice President Berlex Laboratories, Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Karling Alice Leung USA Vice President Berlex Laboratories, Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ John Rotondo USA Vice President Berlex Laboratories, Inc. 340 Changebridge Road
8 - ------------------------------------------------------------------------------------------------------------ P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------
B. EXECUTIVE OFFICERS AND DIRECTORS OF SCHERING BERLIN INC. The name, business address, citizenship and present principal occupation or employment (in addition to any set forth in Section A of this Schedule 1) of each executive officer and director of Schering Berlin Inc. is set forth below. - ------------------------------------------------------------------------------------------------------------ Lutz Lingnau Germany President and Chief Executive Officer; Schering Berlin Inc. Vice Chairman of the Board of Directors; 340 Changebridge Road Member of Executive Board of Schering AG, P.O. Box 1000 Germany Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Robert A. Chabora USA Executive Vice-President; Secretary and Schering Berlin Inc. General Counsel 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Wolfgang Kunze Germany Director; Executive Vice-President and Schering Berlin Inc. Chief Financial Officer 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ John Nicholson USA Treasurer Schering Berlin Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Dr. Hubertus Erlen Germany Chairman of the Board of Directors; Schering AG, Germany Chairman of Executive Board of Schering Millerstrasse 178 AG, Germany D-13350 Berlin Germany - ------------------------------------------------------------------------------------------------------------
9 - ------------------------------------------------------------------------------------------------------------ Dr. Ulrich Koestlin Germany Director; Member of Executive Board of Schering AG, Germany Schering AG, Germany Millerstrasse 178 D-13350 Berlin Germany - ------------------------------------------------------------------------------------------------------------ Prof. Dr. Klaus Pohle Germany Director; Vice-Chairman of the Executive Schering AG, Germany Board of Schering AG, Germany Millerstrasse 178 D-13350 Berlin Germany - ------------------------------------------------------------------------------------------------------------ Prof. Guenter Stock Germany Vice-Chairman of the Board of Directors; Schering AG, Germany Member of the Executive Board of Schering Millerstrasse 178 AG, Germany D-13350 Berlin Germany - ------------------------------------------------------------------------------------------------------------ Jorge Engel Germany Executive Vice President Schering Berlin Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 - ------------------------------------------------------------------------------------------------------------ Vice President Jane Kramer USA Schering Berlin Inc. 340 Changebridge Road P.O. Box 1000 Montville, New Jersey 07045-1000 ============================================================================================================
10 Schedule 2 Trade Date Shares Price per Share - ---------- ------ --------------- 06-14-01 40,000 $4.1531 06-15-01 75,000 $4.4283 06-18-01 12,500 $4.82 06-19-01 20,000 $4.37 06-20-01 20,000 $4.3812 06-21-01 35,000 $4.5607 06-22-01 27,500 $4.7073 11 -----END PRIVACY-ENHANCED MESSAGE-----