Initial Statement of Beneficial Ownership (3)
September 13 2013 - 11:39AM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
BARD C R INC /NJ/
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/3/2013
|
3. Issuer Name
and
Ticker or Trading Symbol
ROCHESTER MEDICAL CORPORATION [ROCM]
|
(Last)
(First)
(Middle)
730 CENTRAL AVENUE
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Street)
MURRAY HILL, NJ 07974
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. 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
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Common Stock
|
0
(1)
(2)
(3)
|
I
|
See Explanation of Responses
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
C. R. Bard, Inc. (the "Reporting Person") is filing this statement solely because, as a result of a Voting and Support Agreement, dated September 3, 2013, among the Reporting Person, Rochester Medical Corporation (the "Issuer"), and certain holders of the Issuer's Common Stock (collectively, the "Stockholders"), the Reporting Person may be deemed to have beneficial ownership of shares of common stock, no par value, of the Issuer ("Common Stock") beneficially owned by the Stockholders. The Voting Agreement was entered into in connection with the Agreement and Plan of Merger, dated as of September 3, 2013, among the Reporting Person, the Issuer and Starnorth Acquisition Corp, a wholly owned subsidiary of the Reporting Person.
|
(
2)
|
Neither the filing of this statement nor any of its contents shall be deemed to constitute an admission by the Reporting Person that it is the beneficial owner of any Common Stock referred to herein for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended (the "Act"). The Reporting Person has no pecuniary interest in such Common Stock. The Reporting Person, pursuant to Rule 16a-1(a)(4) promulgated under the Act, hereby expressly disclaims that it is the beneficial owner of such Common Stock.
|
(
3)
|
No securities are beneficially owned.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
BARD C R INC /NJ/
730 CENTRAL AVENUE
MURRAY HILL, NJ 07974
|
|
X
|
|
|
Signatures
|
/s/ Richard C. Rosenzweig
|
|
9/13/2013
|
**
Signature of Reporting Person
|
Date
|
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).
|
**
|
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.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Rochester Medical Corp. (MM) (NASDAQ:ROCM)
Historical Stock Chart
From Jun 2024 to Jul 2024
Rochester Medical Corp. (MM) (NASDAQ:ROCM)
Historical Stock Chart
From Jul 2023 to Jul 2024