-----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, EC1RU7TvoSzFwSp6ZsU8HLS8eV2yolBA9ZoyacL5cbqgoB0j6aoFBvE86Tx3j5su TOPs0vZV6Mgj+tFc0BfBqQ== 0000947871-98-000045.txt : 19980218 0000947871-98-000045.hdr.sgml : 19980218 ACCESSION NUMBER: 0000947871-98-000045 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980213 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HESKA CORP CENTRAL INDEX KEY: 0001038133 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 770192527 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-22427 FILM NUMBER: 98539026 BUSINESS ADDRESS: STREET 1: 1825 SHARP POINT DR CITY: FORT COLLINS STATE: CO ZIP: 80525 BUSINESS PHONE: 9704937272 MAIL ADDRESS: STREET 1: 1825 SHARP POINT DR CITY: FORT COLLINS STATE: CO ZIP: 80525 COMPANY DATA: COMPANY CONFORMED NAME: NOVARTIS INC CENTRAL INDEX KEY: 0001030617 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: SCHWARZWALDALLEE 215 STREET 2: 4002 BASEL CITY: SWITZERLAND BUSINESS PHONE: 2128302413 MAIL ADDRESS: STREET 1: SCHWARZWALDALLEE 215 STREET 2: 4002 BASEL CITY: SWITZERLAND STATE: V8 5 1 FORM 5 FORM 5 OMB APPROVAL --------------------------------- OMB Number 3235-0362 Expires: September 30, 1998 Estimated average burden hours per response.......... 1.0 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ANNUAL 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 box if no longer subject to Section 16. Form 4 or Form 5 obli- gations may continue. See Instruc- tion 1(b). | |Form 3 Holdings Reported |_|Form 4 Transactions Reported 1. Name and Address of Reporting Person* Novartis AG Schwarzwaldallee 215 CH-4002 Basel, Switzerland 2. Issuer Name and Ticker or Trading Symbol Heska Corporation (HSKA) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year December 31, 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner --- --- Officer (give title below) Other (specify below) --- --- ------------------------------ 7. Individual or Joint/Group Reporting (check applicable line) Form Filed by One Reporting Person --- X Form Filed by More than One Person --- Table I--Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action tion or Disposed of (D) Securities Bene- ship Indirect Date Code (Instr. 3, 4 and 5) ficially Owned Form: Beneficial (Month/ (Instr. at end of Direct Ownership Day/ 8) Issuer's (D) or (Instr. 4) Year) Fiscal Year Indirect (A) (Instr. 3 and 4) (I) or (Instr. 4) Amount (D) Price Common Stock 3,705,389 I(1) (1) (1) These shares are owned directly by Novartis Produkte AG, a wholly owned subsidiary of Novartis AG. The shares were acquired as a result of Heska's conversion of its Series F Preferred Stock into Common Stock in connection with an Initial Public Offering of the Common Stock.
TABLE II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative 2. Conver- 3. Trans- 4.Trans- 5. Number of 6. Date Exer- 7. Title and Amount of Security sion or action action Derivative cisable and Underlying Securities (Instr. 3) Exercise Date Code Securities Ac- Expiration (Instr. 3 and 4) Price of (Month/ (Instr. 8) quired (A) or Date Deriv- Day/ Disposed of (D) (Month/Day/ ative Year) (Instr. 3, 4 Year) Security and 5) Date Expira- Amount or Exer- tion Number of (A) (D) cisable Date Title Shares
TABLE II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) (continued)
8. Price of 9. Number of 10. Ownership 11. Nature of Derivative Derivative of Derivative Indirect Security Securities Security Beneficial (Instr. 5) Beneficially Direct (D) Ownership Owned or Indirect (I) (Instr. 4) at End of Year (Instr. 4) (Instr. 4)
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. NOVARTIS AG /s/ Dr. Urs Barlocher 2/13/98 ---------------------------------------- ------------------------ General Counsel Date /s/ Christoph Mader 2/13/98 ---------------------------------------- ------------------------ Senior Corporate Counsel Date Page 2 SEC 2270 (7/96) Joint Filer Information Name: Novartis Produkte AG Address: Schwarzwaldallee 215 CH-4002 Basel, Switzerland Designated Filer: Novartis AG Issuer & Ticker Symbol: Heska Corporation (HSKA) Signature: NOVARTIS PRODUKTE AG /s/ Dr. Urs Barlocher ---------------------- Authorized Signatory /s/ Anita Buchli ---------------------- Authorized Signatory -----END PRIVACY-ENHANCED MESSAGE-----