-----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, MpvbCZFT2nGNMMQnKF/IrH0lhqIgXE2xa8giTPScQVm9vyFXlrHcDKTFNObbWJiQ lT+d2gRsA2ml2QLMBPVY+A== 0000950157-02-000788.txt : 20021121 0000950157-02-000788.hdr.sgml : 20021121 20021121093815 ACCESSION NUMBER: 0000950157-02-000788 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021112 FILED AS OF DATE: 20021121 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ORAPHARMA INC CENTRAL INDEX KEY: 0001028065 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 223473777 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29839 FILM NUMBER: 02835496 BUSINESS ADDRESS: STREET 1: 732 LOUIS DRIVE STREET 2: STE 2000 CITY: WARMINSTER STATE: PA ZIP: 18974 BUSINESS PHONE: 2159562200 MAIL ADDRESS: STREET 1: 732 LOUIS DRIVE CITY: WARMINISTER STATE: PA ZIP: 18974 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: JOHNSON & JOHNSON CENTRAL INDEX KEY: 0000200406 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] RELATIONSHIP: OWNER IRS NUMBER: 221024240 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0103 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: ONE JOHNSON & JOHNSON PLZ CITY: NEW BRUNSWICK STATE: NJ ZIP: 08933 BUSINESS PHONE: 7325242454 3 1 form_3.txt INITIAL STATEMENT OF BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 ________________________________________________________________________________ 1. Name and Address of Reporting Person* Johnson & Johnson - -------------------------------------------------------------------------------- (Last) (First) (Middle) One Johnson & Johnson Plaza - -------------------------------------------------------------------------------- (Street) New Brunswick NY 08933 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) 11/12/02 ________________________________________________________________________________ 3. IRS or Social Security Number of Reporting Person (Voluntary) 22-1024240 ________________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol OraPharma, Inc. (NASDAQ: OPHM) ________________________________________________________________________________ 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [X] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ________________________________________________________________________________ 6. If Amendment, Date of Original (Month/Day/Year) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form Filed by One Reporting Person [ ] Form Filed by More than One Reporting Person ================================================================================ Table I -- Non-Derivative Securities Beneficially Owned ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $0.001 per share 3,540,697 D (see explanatory note (1) below) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
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 5(b)(v). Page 1 of 2 FORM 3/A (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
1. Title of Derivative 2. Date Exercisable 3. Title and Amount of Securities 4. Conversion 5. Ownership Security (Instr. 4) and Expiration Date Underlying Derivative Security or Exercise Form of (Month/Day/Year) (Instr. 4) Price of Derivative 6. Nature of ---------------------- --------------------------------- Derivative Security: Indirect Date Expiration Title Amount or Security Direct (D) Beneficial Exercisable Date Number of Shares or Indirect Ownership (I) (Instr.5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Not applicable - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== Explanation of Responses:
(1) Johnson & Johnson, a New Jersey Corporation, is party to a Stockholder Agreement dated as of November 12, 2002 with certain stockholders of OraPharma, Inc. (the "Stockholder Agreement"). Pursuant to the Stockholder Agreement, Johnson & Johnson has shared voting power with respect to, as well as a certain pecuniary interest in, the 3,540,697 shares of common stock, par value $0.001 per share, of OraPharma, Inc. that are subject to the Stockholder Agreement (the "Shares"). As a result, Johnson & Johnson may be deemed to beneficially own the Shares. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 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 insufficient, see Instruction 6 for procedure. 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. JOHNSON & JOHNSON by /s/ Michael H. Ullmann November 21, 2002 -------------------------------- ----------------- Name: Michael H. Ullmann Date Title: Secretary **Signature of Reporting Person Page 2 of 2 -----END PRIVACY-ENHANCED MESSAGE-----