-----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, MNawkvnVWi71p7ENoqEPMi/TKz90Y+G6AU2vONL/bR2i84F3yfVrhuhSzddoP30b LMHwCxVw9wnDneVIV4lC4g== 0000902561-98-000061.txt : 19980218 0000902561-98-000061.hdr.sgml : 19980218 ACCESSION NUMBER: 0000902561-98-000061 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980217 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRANSCEND THERAPEUTICS INC CENTRAL INDEX KEY: 0001020910 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 043174575 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-22383 FILM NUMBER: 98541551 BUSINESS ADDRESS: STREET 1: 640 MEMORIAL DR STREET 2: 3W CITY: CAMBRIDGE STATE: MA ZIP: 02139 BUSINESS PHONE: 6173741200 MAIL ADDRESS: STREET 1: 640 MEMORIAL DR STREET 2: 3W CITY: CAMBRIDGE STATE: MA ZIP: 02139 COMPANY DATA: COMPANY CONFORMED NAME: NESTLE SA CENTRAL INDEX KEY: 0000792990 STANDARD INDUSTRIAL CLASSIFICATION: FOOD & KINDRED PRODUCTS [2000] OWNER IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: AVE NESELE 55, CH-1800 CITY: VEVEY STATE: V8 BUSINESS PHONE: 01141219241111 MAIL ADDRESS: STREET 1: AVE NESTLE 55 STREET 2: CH-1800 CITY: VEVEY STATE: V8 5 1 FORM 5 ------------------------------ OMB APPROVAL ------------------------------ OMB Number Expires: Estimated average burden hours per response ...... 1.0 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 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 this box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [X] Form 3 Holdings Reported [ ] Form 4 Transactions Reported =============================================================================== 1. Name and Address of Reporting Person* Nestle S.A. - ------------------------------------------------------------------------------- (Last) (First) (Middle) Avenue Nestle 55, CH-1800 - ------------------------------------------------------------------------------- (Street) Vevey Switzerland - ------------------------------------------------------------------------------- (City) (State) (Zip) =============================================================================== 2. Issuer Name and Ticker or Trading Symbol Transcend Therapeutics, Inc./TSND =============================================================================== 3. IRS or Social Security Number of Reporting Person (Voluntary) =============================================================================== 4. Statement for Month/Year December 1997 =============================================================================== 5. If Amendment, Date of Original (Month/Year) =============================================================================== 6. Relationship of Reporting Person 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 =============================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ===============================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship Disposed of (D) Beneficially Form: 7. (Instr. 3, 4 and 5) Owned at End Direct Nature of 2. 3. ----------------------------- of Issuer's (D) or Indirect 1. Transaction Transaction (A) Fiscal Year Indirect Beneficial Title of Security Date Code Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) (Instr. 8) (D) & 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 12/31/97 J3 798,744 A $10.00 798,744 I By Nestle USA, Inc., a Subsidiary - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
* If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of 4 FORM 5 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ===============================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- Securities Date Securities Price Bene- ity: In- cise 3. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Trans- of (D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date action (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ Code 4 and 5) Date Expira- Number ity Year (I) ship Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- =================================================================================================================================== Explanation of Responses: With respect to Table I, Column 3, the shares were acquired as a result of the merger of Nestle Clinical Nutrition Corporation, the previous holder of the Issuer's shares, with and into Nestle USA, Inc., whereby Nestle USA, Inc. was the surviving company.
/s/ Hans Peter Frick 2/13/98 - -------------------------------------------- ------------------ Hans Peter Frick Date Senior Vice President **Signature of Reporting Person ** 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 provided is insufficient, see Instruction 6 for procedure. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to Rule 101(b)(4) of Regulation S-T. Page 2 of 4 (122795DTI) ------------------------------ OMB APPROVAL ------------------------------ OMB Number Expires: Estimated average burden hours per response ...... 1.0 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 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 this box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [X] Form 3 Holdings Reported [ ] Form 4 Transactions Reported =============================================================================== 1. Name and Address of Reporting Person* Nestle USA, Inc. - ------------------------------------------------------------------------------- (Last) (First) (Middle) 3003 Bainbridge Road - ------------------------------------------------------------------------------- (Street) Solon Ohio 44139 - ------------------------------------------------------------------------------- (City) (State) (Zip) =============================================================================== 2. Issuer Name and Ticker or Trading Symbol Transcend Therapeutics, Inc./TSND =============================================================================== 3. IRS or Social Security Number of Reporting Person (Voluntary) =============================================================================== 4. Statement for Month/Year December 1997 =============================================================================== 5. If Amendment, Date of Original (Month/Year) =============================================================================== 6. Relationship of Reporting Person 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 =============================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ===============================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship Disposed of (D) Beneficially Form: 7. (Instr. 3, 4 and 5) Owned at End Direct Nature of 2. 3. ----------------------------- of Issuer's (D) or Indirect 1. Transaction Transaction (A) Fiscal Year Indirect Beneficial Title of Security Date Code Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) (Instr. 8) (D) & 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 12/31/97 J3 798,744 A $10.00 798,744 D - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
* If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 3 of 4 FORM 5 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ===============================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- Securities Date Securities Price Bene- ity: In- cise 3. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Trans- of (D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date action (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ Code 4 and 5) Date Expira- Number ity Year (I) ship Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- =================================================================================================================================== Explanation of Responses: With respect to Table I, Column 3, the shares were acquired as a result of the merger of Nestle Clinical Nutrition Corporation, the previous holder of the Issuer's shares, with and into Nestle USA, Inc., whereby Nestle USA, Inc. was the surviving company.
/s/ James H. Ball 2/16/98 - -------------------------------------------- ------------------ James H. Ball Date Senior Vice President **Signature of Reporting Person ** 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 provided is insufficient, see Instruction 6 for procedure. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to Rule 101(b)(4) of Regulation S-T. Page 4 of 4 (122795DTI) -----END PRIVACY-ENHANCED MESSAGE-----