4 1 a86306f4e4.txt FORM 4 ------ U.S. SECURITIES AND EXCHANGE COMMISSION ------------------------------ FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL ------ ------------------------------ STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB Number: 3235-0287 [ ] Check this box if no Expires: January 31, 2005 longer subject to Filed pursuant to Section 16(a) of the Securities Estimated average burden Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the hours per response.........0.5 or Form 5 obligations Public Utility Holding Company Act of 1935 ------------------------------ may continue. See or Section 30(f) of the Investment Company Instruction 1(b). Act of 1940 (Print or Type Responses) ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) Invitrogen Corporation InforMax, Inc.(INMX) to Issuer (check all applicable) -------------------------------------------- ---------------------------------------------- Director X 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- --- 1600 Faraday Avenue Number of Reporting Month/Year Officer Other (specify -------------------------------------------- Person (Voluntary) December 2, 2002 ---- --- below) (Street) ------------------- (give title below) Carlsbad CA 93008 5. If Amendment, -------------------------------------------- Date of Original ------------------------------------ (City) (State) (Zip) (Month/Year) 7. Individual or Joint/Group Filing ------------------- (check applicable line) Form filed by One ---- Reporting Person X Form filed by More Than ---- One Reporting Person ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 2A. Deemed 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of (Instr. 3) action Execution action or Disposed of (D) Securities Form: Indirect Date Date, if any Code (Instr. 3, 4 and 5) Beneficially Direct Beneficial (Instr. 8) Owned at (D) or Ownership (Month/ (Month/ End of Month Indirect (Instr. 4) Day/ Day/ --------------------------------------- (Instr. 3 and 4) (I) Year) Year) Code V Amount (A) or Price (Instr. 4) (D) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/2/02(1) P 55,616(1) A $1.36(1) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/3/02(1) P 52,521(1) A $1.36(1) 24,986,823(1) (I)(1) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. *If the form is filed by more than one reporting person, see Instruction 4(b)(v). PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED (Over) TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1474 (09/02)
FORM 4 (CONTINUED) 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 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Expiration Securities Deriv- Price of (Month/ (Instr. Acquired (A) Date (Instr. 3 and 4) ative Deriv- Day/ 8) or Disposed (Month/Day/ Secur- ative Year) of (D) (Instr. Year) ity Security 3, 4, and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ 9. Number of 10. Ownership 11. Nature of Derivative Form of Indirect Securities Derivative Beneficial Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (I) (Instr. 4) (Instr. 4) -------------------------------------------------------------------------- -------------------------------------------------------------------------- -------------------------------------------------------------------------- -------------------------------------------------------------------------- -------------------------------------------------------------------------- -------------------------------------------------------------------------- -------------------------------------------------------------------------- Explanation of Responses: (1) This Statement in Changes of Beneficial Ownership on Form 4 is being filed by Invitrogen Corporation, a Delaware corporation ("Parent"), and Babcock, Inc. a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Subsidiary"). On October 15, 2002, Parent, Merger Subsidiary and InforMax, Inc., a Delaware corporation ("InforMax") entered into an Agreement and Plan of Merger (the "Merger Agreement") providing for, among other things, the merger of Merger Subsidiary with and into InforMax following a tender offer by Merger Subsidiary for shares of InforMax Common Stock. On October 25, 2002, Merger Subsidiary, in accordance with the terms of the Merger Agreement, began a tender offer to purchase InforMax Common Stock (the "Offer"). The initial offering period expired at 12:00 midnight, Eastern Standard Time, on Friday, November 22, 2002. Following the expiration of the initial offering period, Merger Subsidiary accepted for payment all shares of InforMax validly tendered pursuant to the Offer. As of that date, Parent indirectly owned 24,878,686 shares of InforMax Common Stock and Merger Subsidiary beneficially owned 24,878,686 shares of InforMax Common Stock (approximately 81.65% of the issued and outstanding shares of InforMax Common Stock). On December 2, 2002, Merger Subsidiary purchased 55,616 shares of InforMax Common Stock, and on December 3, 2002, Merger Subsidiary purchased an additional 52,521 shares of InforMax Common Stock at the Offer price (the "Tender Offer Purchases"). These Tender Offer Purchases were made by Merger Subsidiary pursuant to a subsequent offering period under the tender offer. The foregoing summary of the Merger Agreement and the terms of the Offer are qualified in their entirety by reference to such documents, which have been filed as exhibits to the Schedule TO filed by Parent and Merger Subsidiary with respect to this transaction. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ John Cottingham 12/04/02 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- ------- **Signature of Reporting Person 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. Potential persons who are to respond to the collection of information contained in this form are Page 2 not required to respond unless the form displays a currently valid OMB Number.
Joint Filer Information Name: Babcock, Inc. Address: c/o Invitrogen Corporation 1600 Faraday Avenue Carlsbad, CA 92008 Designated Filer: Invitrogen Corporation Issuer & Ticker Symbol: InforMax, Inc. (INMX) Date of Event Requiring Statement: 12/2/02 Signature: /s/ John Cottingham