-----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, U0SSEiOhmnjhKiXcyXVhmLyduGtV0wa2cOpRGmydc9bZ+diBklVaVTpf6zY5zsw/ za52asSQq1DebSuMvjkObQ== 0000889812-00-000648.txt : 20000310 0000889812-00-000648.hdr.sgml : 20000310 ACCESSION NUMBER: 0000889812-00-000648 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000131 FILED AS OF DATE: 20000210 DATE AS OF CHANGE: 20000309 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LANDEC CORP \CA\ CENTRAL INDEX KEY: 0001005286 STANDARD INDUSTRIAL CLASSIFICATION: 2821 IRS NUMBER: 943025618 STATE OF INCORPORATION: CA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-27446 FILM NUMBER: 532717 BUSINESS ADDRESS: STREET 1: 3603 HAVEN AVE CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 4152613697 MAIL ADDRESS: STREET 1: 3603 HAVEN AVE CITY: MINLO PARK STATE: CA ZIP: 94025 COMPANY DATA: COMPANY CONFORMED NAME: WICKER DAMION D MD CENTRAL INDEX KEY: 0001097962 STANDARD INDUSTRIAL CLASSIFICATION: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O CHASE CAPITAL PARTNERS STREET 2: 380 MADISON AVENUE 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2126223100 4 1 FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |_| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* Wicker Damion E. - - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Chase Venture Capital Associates, LLC ("CVCA, LLC")(FN 1) 380 Madison Avenue, 12th Floor - - -------------------------------------------------------------------------------- (Street) New York New York 10017 - - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Landec Corporation ("LNDC") ================================================================================ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ================================================================================ 4. Statement for Month/Year January 2000 ================================================================================ 5. If Amendment, Date of Original (Month/Year) February 1997 ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) |X| Director |_| 10% Owner |_| Officer (give title below) |_| Other (specify below) ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) |X| Form filed by one Reporting Person |_| Form filed by more than one Reporting Person ================================================================================ * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ---------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock N/A N/A N/A N/A N/A 1,306,817 I FN 2 - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of 2 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- Form of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature of Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ --------------- Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - - ------------------------------------------------------------------------------------------------------------------------------------ Options $.86 5/27/95 A Immed. 5/27/05 Common 35,434 0.00 35,434 D (FN 3) (right to buy) Stock - - ------------------------------------------------------------------------------------------------------------------------------------ Options $7.625 2/2/97 A Immed. 2/2/07 Common 20,000 0.00 35,434 D (FN 3) (right to buy) Stock - - ------------------------------------------------------------------------------------------------------------------------------------ Options $.575 12/14/93 A A Immed. 12/15/98 Common 3,478 0.00 35,434 D (FN 4) (right to buy) Stock - - ------------------------------------------------------------------------------------------------------------------------------------ Options $.8625 5/25/95 A A Immed. 5/25/05 Common 3,478 0.00 35,434 D (FN 4) (right to buy) Stock - - ------------------------------------------------------------------------------------------------------------------------------------ Options $9.34 12/14/93 A A Immed. 1/26/06 Common 5,000 0.00 35,434 D (FN 4) (right to buy) Stock - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) The amounts shown represent the beneficial ownership of the Issuer's securities by CVCA, LLC, a portion of which may be deemed attributable to the reporting person because the reporting person is a general partner of CCP, which is (i) the sole managing member of CCP-SBIC Manager, LLC, the managing member of CVCA, LLC, (ii) the managing member of CCP-CMC Consolidating, LLC, ("Consolidating"), the non-managing member of CVCA, LLC, and (iii) the manager, by delegation, of CVCA, LLC, pursuant to a master advisory agreement with CCP-SBIC Manager, LLC and Consolidating. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the reporting person is not readily determinable because it is subject to several variables, including CVCA, LLC's and CCP's internal rate of return and vesting. (2) The amounts shown represent the beneficial ownership of the Issuer's securities by CVCA, LLC, a portion of which may be deemed attributable to the reporting person because the reporting person is a partner of CCP, which is (i) the sole managing member of CCP-SBIC Manager, LLC, the managing member of CVCA, LLC, (ii) the managing member of Consolidating, the non-managing member of CVCA, LLC and (iii) the manager, by delegation, of CVCA, LLC. The actual pro rata portion of such beneficial ownership is not readily determinable because it is subject to several variables, including CVCA, LLC's and CCP's internal rate of return and vesting. (3) The Common Stock and Options identified by footnotes 3 and 4 to Table II were granted to the reporting person, in the case of those marked by footnote 3, or to Mitchell Blutt, M.D., a former director of the Issuer and a general partner of CCP, in the case of footnote 4, in their capacity as directors of the Issuer. The reporting person and Dr. Blutt are contractually obligated to transfer the Common Stock and any shares issued under the Options to CVCA, LLC. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Damion E. Wicker 2/ /2000 - - --------------------------------------------- ----------------------- Damion E. Wicker Date Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2 of 2 -----END PRIVACY-ENHANCED MESSAGE-----