-----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, NvPgMUUtInBvdUdgwt/auCmJ/6dtR2bH7vuAeYIjPzaSmf+fUxZAt063T1uVjL3x N3rVzAbWSlSV7BonrZ51Tw== 0000950136-03-001129.txt : 20030509 0000950136-03-001129.hdr.sgml : 20030509 20030508195018 ACCESSION NUMBER: 0000950136-03-001129 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030509 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: JARDEN CORP CENTRAL INDEX KEY: 0000895655 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-MISCELLANEOUS NONDURABLE GOODS [5190] IRS NUMBER: 351828377 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45456 FILM NUMBER: 03688963 BUSINESS ADDRESS: STREET 1: 555 THEODORE FREMD AVE CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 914 967 9400 MAIL ADDRESS: STREET 1: 555 THEODORE FREMD STREET 2: AVE CITY: RYE STATE: NY ZIP: 10580 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FRANKLIN MARTIN E CENTRAL INDEX KEY: 0000940603 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: MARLIN HOLDINGS INC STREET 2: 555 THEODORE FRANKLIN FREMD AVE STE B203 CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 9149679400 MAIL ADDRESS: STREET 1: 555 THEODORE FRANKLIN FREMD AVE STREET 2: STE B-203 CITY: RYE STATE: NY ZIP: 10580 SC 13D/A 1 file001.txt SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (AMENDMENT NO. 13) Under the Securities Exchange Act of 1934 JARDEN CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 471109 10 8 - -------------------------------------------------------------------------------- (CUSIP Number) Mr. Martin E. Franklin 555 Theodore Fremd Avenue Suite B-302 Rye, NY 10580 (914) 967-9400 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 29, 2003 - -------------------------------------------------------------------------------- (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 ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box / /. SCHEDULE 13D - ------------------------- ----------------------- CUSIP NO. 471109 10 8 Page 2 of 6 Pages - ------------------------- ----------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Martin E. Franklin - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY 895,545 OWNED BY ---------------------------------------------------------- EACH 8 SHARED VOTING POWER REPORTING PERSON 342,292 WITH ---------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 895,545 ---------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,237,837 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.4% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 2 - ------------------------- ----------------------- CUSIP NO. 471109 10 8 Page 3 of 6 Pages - ------------------------- ----------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ian G.H. Ashken - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY 0 OWNED BY --------------------------------------------------------- EACH 8 SHARED VOTING POWER REPORTING PERSON 342,292 WITH --------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 342,292 --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 342,292 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.4% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 This Amendment No. 13 to Schedule 13D ("Amendment No. 13") relates to the common stock, $.01 par value (the "Common Stock"), of Jarden Corporation, a Delaware corporation (the "Company"). This Amendment No. 13 amends the initial statement (the "Schedule 13D") on Schedule 13D dated January 4, 2000, as amended, of Marlin Partners II, L.P., Marlin Management, L.L.C., Martin E. Franklin, and Ian G.H. Askhen. Capitalized terms used in this Amendment No. 13 but not otherwise defined have the meanings ascribed to them in the Schedule 13D. Information contained in this statement is as of the date hereof, unless otherwise expressly provided herein. Item 1. Security and Issuer. This Amendment No. 13 relates to the common stock, $.01 par value (the "Common Stock"), of the Company. The address of the principal executive offices of the Company is 555 Theodore Fremd Avenue, Rye, New York 10580. All of the securities covered by this Schedule 13D reflect a 2-for-1 stock split of the Company's Common Stock having a record date of May 20, 2002. Item 3. Source and Amount of Funds or Other Consideration. Item 3 of the Schedule 13D is amended by adding the following paragraphs to the end of such item: On May 8, 2003, Mr. Franklin was awarded 150,000 restricted shares of Common Stock under the Company's 2003 Stock Incentive Plan (the "Plan"). The restrictions on the Common Stock shall lapse upon the earlier of (i) the date that the stock price of the Common Stock equals or exceeds forty dollars ($40.00) or (ii) the date there is a Change-of-Control Event (as defined in Section 18.1 of the Plan) of the Company. Mr. Franklin currently has the right to vote such restricted shares. On May 8, 2003, Mr. Ashken was awarded 50,000 restricted shares of Common Stock under the Plan. The restrictions on the Common Stock shall lapse upon the earlier of (i) the date that the stock price of the Common Stock equals or exceeds forty dollars ($40.00) or (ii) the date there is a Change-of-Control Event (as defined in Section 18.1 of the Plan) of the Company. Pursuant to the terms of a voting agreement, Mr. Franklin currently has the right to vote such restricted shares. Item 5. Interest in Securities of the Issuer. The first through fourth paragraphs of Item 5 of the Schedule 13D are deleted in their entirety and replaced with the following: Mr. Franklin may be considered to be the beneficial owner of 1,237,837 shares of Common Stock, which constitutes approximately 8.4% of the outstanding shares of Common Stock. Mr. Franklin has sole voting and dispositive power with respect to 770,545 shares of Common Stock. On April 29, 2003, Mr. Franklin surrendered 115,144 shares of Common Stock to the Company in full and final repayment of the outstanding principal amount and accrued interest under the Franklin Note (as defined in Amendment 4 No. 10 to the Schedule 13D). In addition, pursuant to the terms of a voting agreement, as described in item 6 of the Schedule 13D, Mr. Franklin has the power to vote, or to direct the voting of 342,292 shares of Common Stock beneficially owned by Mr. Ashken. Mr. Franklin disclaims beneficial ownership with respect to the 342,292 shares beneficially owned by Mr. Ashken, for purposes of Section 13(d) of the Exchange Act, Section 16 of the Exchange Act or for any other purpose. In addition, on July 2, 2002, Mr. Franklin was awarded options (the "Franklin Options") to purchase 500,000 shares of Common Stock pursuant to stock option agreements under Company stock plans, of which options to purchase 125,000 shares of Common Stock are exercisable within 60 days of the date hereof. The Franklin Options vest and become exercisable in four equal consecutive annual installments of 125,000 shares beginning on July 2, 2003. Assuming the exercise or vesting of all of the Franklin Options, Mr. Franklin may be considered to be the beneficial owner of 1,612,837 shares or 10.7% of the outstanding shares of Common Stock. Mr. Ashken may be considered to be the beneficial owner of 342,292 shares of Common Stock, which constitutes approximately 2.4% of the outstanding shares of Common Stock. Mr. Ashken has shared voting and sole dispositive power with respect to 304,792 shares of Common Stock. On April 29, 2003, Mr. Ashken surrendered 48,860 shares of Common Stock to the Company in full and final repayment of the outstanding principal amount and accrued interest under the Ashken Note (as defined in Amendment No. 10 to the Schedule 13D). Pursuant to the terms of a voting agreement, as described in item 6 of the Schedule 13D, Mr. Franklin has the power to vote, or to direct the voting of 342,292 shares of Common Stock beneficially owned by Mr. Ian Ashken. Mr. Ashken disclaims beneficial ownership with respect to the other 895,545 shares of Common Stock that Mr. Franklin may be considered to be the beneficial owner of, for the purposes of Section 13(d) of the Exchange Act, Section 16 of the Exchange Act or for any other purpose. In addition, on July 2, 2002, Mr. Ashken was awarded options (the "Ashken Options") to purchase 150,000 shares of Common Stock pursuant to stock option agreements under Company stock plans, of which options to purchase 37,500 shares of Common Stock are exercisable within 60 days of the date hereof. The Ashken Options vest and become exercisable in four equal consecutive annual installments of 37,500 shares beginning on July 2, 2003. Assuming the exercise or vesting of all of the Ashken Options, Mr. Ashken may be considered to be the beneficial owner of 454,792 shares or 3.1% of the outstanding shares of Common Stock of the Company. The foregoing percentage calculations are based on 14,320,402 issued and outstanding shares of Common Stock as of May 1, 2003, plus the 200,000 restricted shares of Common Stock granted to Messrs. Franklin and Ashken. Except as provided in this Schedule 13D, there have been no transactions in the shares of Common Stock in the past 60 days by any of the Reporting Persons. 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. Date: May 8, 2003. /s/ Martin E. Franklin -------------------------------------- Martin E. Franklin /s/ Ian G.H. Ashken -------------------------------------- Ian G.H. Ashken -----END PRIVACY-ENHANCED MESSAGE-----