-----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, MOwQOfdrBEVb0NvUcdP0VlJBj1Pli4sruI0+SZCJ5e1isAxnuOE5FupX91ZBI2Jn gr+iWBJO7m1yPMXmbJ6HKw== 0000919574-01-500679.txt : 20010813 0000919574-01-500679.hdr.sgml : 20010813 ACCESSION NUMBER: 0000919574-01-500679 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010705 FILED AS OF DATE: 20010810 COMPANY DATA: COMPANY CONFORMED NAME: PENINSULA PARTNERS LP CENTRAL INDEX KEY: 0001130325 STANDARD INDUSTRIAL CLASSIFICATION: TEXTILE MILL PRODUCTS [2200] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 4048 EAST MAIN ST. STREET 2: 2ND FL. CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 MAIL ADDRESS: STREET 1: 4048 EAST MAIN ST. STREET 2: 2ND FL. CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: W R GRACE & CO CENTRAL INDEX KEY: 0001045309 STANDARD INDUSTRIAL CLASSIFICATION: CHEMICALS & ALLIED PRODUCTS [2800] IRS NUMBER: 650773649 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13953 FILM NUMBER: 1705045 BUSINESS ADDRESS: STREET 1: 1750 CLINT MOORE ROAD CITY: BOCA RATON STATE: FL ZIP: 33487-2707 BUSINESS PHONE: 5613622000 MAIL ADDRESS: STREET 1: 1750 CLINT MOORE ROAD CITY: BOCA RATON STATE: FL ZIP: 33487-2707 FORMER COMPANY: FORMER CONFORMED NAME: GRACE SPECIALTY CHEMICALS INC DATE OF NAME CHANGE: 19970902 4 1 em03038001ab3.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) 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 Peninsula Partners, L.P. (a) 404 B East Main Street Charlottesville, VA 22902 2. Issuer Name and Ticker or Trading Symbol W.R. Grace & Co. GRA 3. IRS Number of Reporting Person (Voluntary) 4. Statement for Month/Year 7/01 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 Filing (check Applicable Line) Form filed by One Reporting Person X Form filed by More than One Reporting Person Page 1 of 4
TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of Security| 2. Transaction| 3. Transaction| 4. Securities | 5. Amount of | 6. Ownership |7. Nature of | (Instr. 3) | Date | Code | Acquired (A) | Securities | Form: | Indirect | | | (Instr. 8) | or Disposed | Beneficially | Direct (D) | Beneficial| | (Month/ | | of (D) | Owned at End | or Indirect| Ownership | | Day/ | | (Instr. 3,4, | of Month | (I) | (Instr. 4)| | Year) | | and 5) | (Instr. 3 and 4)| (Instr. 4) | | | | | | |(A) or| | | | | | | Code | V | Amount|(D) |Price| | | | _________________________________________________________________________________________________________________________________ Common Stock 7/05/01 P 200,200 A 1.85 (1) (1) Common Stock 7/06/01 P 85,200 A 1.85 (1) (1) Common Stock 7/09/01 P 319,800 A 1.75 (1) (1) Common Stock 7/10/01 P 50,000 A 1.80 (1) (1) Common Stock 7/11/01 P 200,000 A 1.74 (1) (1) Common Stock 7/12/01 P 69,800 A 1.75 (1) (1) Common Stock 7/16/01 P 35,000 A 1.65 10,546,100 (1) (1) - ---------------------------------------------------------------------------------------------------------------------------------
TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of | 2. Conver- | 3. Trans- | 4. Trans- | 5. Number of | 6. Date Exer- | 7. Title and Amount | Derivative | sion or | action | action | Derivative | cisable and | of Underlying | Security | Exercise | Date | Code | Securities | Expiration | Securities | (Instr. 3) | Price of | (Month/ | (Instr. | Acquired | Date | (Instr. 3 and 4) | | Deri- | Date/ | 8) | (A) or | (Month/Day/ | | | vative | Year) | | Disposed of | Year) | | | Security | | | (D) (Instr. | | | | | | | 3, 4 and 5) | | | | | |____________|_________________|___________________|_____________________| | | | | | | | | | | | | | | | | | | Date | Expira- | | Amount or | | | | | | | | Exer- | tion | | Number of | | | | Code | V | (A) | (D) | cisable | Date | Title | Shares | ___________________|_____________|____________|______|_____|________|________|_________|_________|________|____________|
Page 2 of 4 | 8. Price of | 9. Number of | 10. Ownership | 11. Nature of | | Derivative | derivative | Form of | Indirect | | Security | Securities | Derivative | Beneficial | | (Instr. 5) | Benefi- | Security | Ownership | | | cially | Direct (D) | (Instr. 4) | | | Owned at | or Indirect | | | | End of | (I) (Instr. | | | | Month | 4) | | | | (Instr. 4) | | |
Page 3 of 4 Explanation of Responses: (a) Designated Filer is Peninsula Partners, L.P. ("Partners"). The other Reporting Persons are Peninsula Capital Appreciation, LLC ("Appreciation"), the general partner of Partners, and Peninsula Capital Advisors, LLC ("Advisors"), the investment manager to Partners. Appreciation and Advisors may be deemed to be beneficial owners of the reported shares but each disclaims beneficial ownership in the shares owned by Partners except to the extent of any indirect pecuniary interest therein. (1) Shares are owned directly by Partners, indirectly by Appreciation as general partner of Partners, and indirecty by Advisors as investment advisor to Partners. Signature of Reporting Person: Peninsula Partners, L.P. By: Peninsula Capital Appreciation, LLC General Partner By: /s/ R. Ted Weschler R. Ted Weschler Managing Member Individually and as Power of Attorney for all other Reporting Persons Date: August 10, 2001 ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is sufficient, see Instruction 6 for procedure. Page 4 of 4 Joint Filer Information Name: Peninsula Capital Appreciation, LLC Address: 404 B East Main Street, Charlottesville, VA 22902 Designated Filer: Peninsula Partners, L.P. Issuer and Ticker Symbol: W.R. Grace & Co. ("GRA") Statement for Month/Year: 7/01 Name: Peninsula Capital Advisors, LLC Address: 404 B East Main Street, Charlottesville, VA 22902 Designated Filer: Peninsula Partners, L.P. Issuer and Ticker Symbol: W.R. Grace & Co. ("GRA") Statement for Month/Year: 7/01 Page 4 of 4 03038001.AB3 -----END PRIVACY-ENHANCED MESSAGE-----