-----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, NfC5VAJ2PGbIlsqsGAtKUbkPUMO3U6eO3G5LgyEp6xB+TSHN8lY1qphR1VW3UMkR 21UClaxhtZwf2BFgqOEBUw== 0000889812-99-002395.txt : 19990812 0000889812-99-002395.hdr.sgml : 19990812 ACCESSION NUMBER: 0000889812-99-002395 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990131 FILED AS OF DATE: 19990811 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AQUAGENIX INC/DE CENTRAL INDEX KEY: 0000923604 STANDARD INDUSTRIAL CLASSIFICATION: SANITARY SERVICES [4950] IRS NUMBER: 650419263 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-24490 FILM NUMBER: 99684315 BUSINESS ADDRESS: STREET 1: 6500 NW 15TH AVE CITY: FORT LAUDERDALE STATE: FL ZIP: 33309 BUSINESS PHONE: 9549757771 MAIL ADDRESS: STREET 1: 6500 NORTHWEST 15 AVE CITY: FORT LAUDERDALE STATE: FL ZIP: 33309 FORMER COMPANY: FORMER CONFORMED NAME: AQUATERRA INC DATE OF NAME CHANGE: 19940523 COMPANY DATA: COMPANY CONFORMED NAME: BERGGRUEN NICHOLAS CENTRAL INDEX KEY: 0001018408 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 409 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2124210110 MAIL ADDRESS: STREET 1: 409 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 4 1 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 Berggruen, Nicolas (Last) (First) (Middle) c/o Alpha Investment Management, Inc. 499 Park Avenue (Street) New York NY 10022 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Aquagenix, Inc. ("AQUX") 3. IRS Identification Number of Reporting Person, if an entity (Voluntary) 4. Statement for Month/Year 01/1999 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) /X/ Form filed by One Reporting Person / / Form filed by More than One Reporting Person
Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 5. Amount of Secu- rities 4. Securities Acquired (A) Bene- 6. Ownership 2. Trans- 3. Trans- or Disposed of (D) ficially Form: action action (Instr. 3, 4 and 5) Owned Direct 7. Nature of Date Code ----------------------------- at End (D) or Indirect (Month/ (Instr. 8) (A) of Month Indirect Beneficial 1. Title of Security Day/ ------------- Amount or Price (Instr. (I) Ownership (Instr. 3) Year) Code V (D) 3 and 4) (Instr. 4) (Instr. 4) - ----------------------------- ---------- ------ ----- ------------ --- ---------- ----------- ------------- --------------- Common Stock, par value by Alexander $.01 per share 1/28/99 P 200,000 A (1) 472,541(2) I Enterprise Holding Corp. Common Stock, par value $.01 per share 0 D
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 2. Conver- 5. Number of Deriv- 6. Date Exercisable sion or 3. Trans- ative Securities and Expiration Date Exercise action 4. Transac- Acquired (A) or (Month/Day/Year) Price of Date tion Code Disposed of (D) ---------------------- Deriv- (Month/ (Instr. 8) (Instr. 3, 4, and 5) Date 1. Title of Derivative Security ative Day/ ------------- -------------------------- Exercis- Expiration (Instr. 3) Security Year) Code V (A) (D) able Date - ---------------------------------------- ----------- ---------- ------ ----- ------------ ------------ ---------- ---------- Common Stock $5.79 Immed. 10/27/99 Warrants (right to buy) Common Stock $8.00 Immed. 10/27/99 Warrants (right to buy) 9. Number of 10. Ownership Derivative Form of Securities Derivative 7. Title and Amount of Underlying Benefi- Security: Securities (Instr. 3 and 4) cially Direct 11. Nature of ---------------------------------------- 8. Price of Owned at (D) or Indirect Amount or Derivative End of Indirect Beneficial 1. Title of Derivative Title Number of Security Month (I) Ownership Security (Instr. 3) Shares (Instr. 5) (Instr. 4) (Instr. 4) (Instr. 4) - --------------------------- --------------------------- ----------- ------------- ------------- -------------- --------------- Common Stock Common Stock, by Alexander Warrants par value $.01 60,000 60,000(2) I Enterprise (right to buy) per share Holding Corp. Common Stock Common Stock, by Alexander Warrants par value $.01 50,000 50,000(2) I Enterprise (right to buy) per share Holding Corp.
Explanation of Responses: (1) On January 28, 1999, Aquagenix, Inc. (the "Company") issued to Alexander Enterprise Holding Corp., a British Virgin Islands corporation ("Alexander"), 200,000 shares of common stock of the Company ("Common Stock") in consideration for the consulting and other services provided to the Company by Alexander. The closing price of Common Stock on January 28, 1999 was $.375 per share. (2) Nicolas Berggruen acts as the investment adviser to Alexander, which holds 472,541 shares of Common Stock and warrants to purchase 110,000 shares of Common Stock. Nicolas Berggruen disclaims beneficial ownership or, and does not have a pecuniary interest in, the shares of Common Stock held by Alexander, and this report shall not be deemed an admission that Nicolas Berggruen is a beneficial owner of such securities for purposes of Section 16 or for any other purpose. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. ** See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Nicolas Berggruen 08/10/99 ----------------------------- --------------- Nicolas Berggruen Date -----END PRIVACY-ENHANCED MESSAGE-----