FORM 4
( ) Check this box if no longer
subject to Section 16. Form 4
or Form 5 obligations may continue.
See Instruction 1(b).
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION _____________________
WASHINGTON, D.C. 20549 | OMB APPROVAL |
|---------------------|
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |OMB NUMBER: 3235-0287|
|EXPIRES: |
| DECEMBER 31, 2001 |
Filed pursuant to Section 16(a) of the |ESTIMATED AVERAGE |
Securities Exchange Act of 1934, |BURDEN HOURS |
Section 17(a) of the Public Utility |PER RESPONSE ... 0.5 |
Holding Company Act of 1935 |_____________________|
or Section 30(f) of the Investment
Company Act of 1940
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1. Name and Address of Reporting Person
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(Last) (First) (Middle)
Credit Suisse First Boston, on behalf of Credit Suisse
First Boston Business Unit
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c/o Credit Suisse First Boston Advisory Partners, LLC
11 Madison Avenue
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(Street)
New York NY 10010
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
MascoTech, Inc.
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3. I.R.S. Identification Number of Reporting Person, if an entity
(Voluntary)
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4. Statement for Month/Year
December/2000
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person(s) to Issuer (Check all applicable)
( ) Director
(X ) 10% Owner
( ) Officer (give title below)
( ) Other (specify title below)
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7. Individual, or Joint/Group Filing (Check Applicable Line)
(X ) Form filed by One Reporting Person
( ) Form filed by More than One Reporting Person
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TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF,
OR BENEFICIALLY OWNED
<TABLE>
<CAPTION>
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1. Title of 2. Transaction 3. Transaction 4. Securities Acquired 5. Amount of 6. Ownership 7. Nature
Security Date Code (A) or Disposed of (D) Securities Form: of
(Instr. 3) (Month/ Day/ (Instr.8) (Instr. 3, 4 and 5) Beneficially Direct(D) Indirect
Year) ------------------------------------------ Owned at End or Beneficial
of Month Indirect Ownership
(Instr. 3 and (I) (Instr. 4)
4) (Instr. 4)
(A)
Amount or Price
Code V (D)
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<S> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 12/8/2000 0(1)(2) 1,479,290 (A) 16.90 10,532,545 I (1)(3)
Common Stock 12/8/2000 0(1)(2) 1,155,301 (A) 16.90 7,402,831 I (1)(4)
Common Stock 12/8/2000 0(1)(2) 1,052 (A) 16.90 6,610 I (1)(5)
Common Stock 12/8/2000 0(1)(2) 322,937 (A) 16.90 2,069,282 I (1)(6)
Common Stock 12/8/2000 0(1)(2) 1,479,290 (A) 16.90 10,355,030 I (1)(7)
Common Stock 12/8/2000 0(1)(2) 1,479,290 (A) 16.90 9,478,723 I (1)(8)
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</TABLE>
Reminder: Report on a separate line for each class of securities
beneficially owned directly or indirectly.
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TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY
OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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1. Title of Derivative Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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4. Transaction Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
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6. Date Exercisable and Expiration Date (Month/Day/Year)
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7. Title and Amount of Underlying Securities (Instr. 3 and 4)
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8. Price of Derivative Securities (Instr. 5)
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9. Number of Derivative Securities Beneficially Owned at End of Month
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct(D) or Indirect(I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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EXPLANATION OF RESPONSES: See Attached
Credit Suisse First Boston
on behalf of Credit Suisse
First Boston business unit
/s/ David A. DeNunzio January 10, 2001
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** SIGNATURE OF REPORTING PERSON DATE
David A. DeNunzio
Managing Director
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** 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.
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1. Name and Address of Reporting Person
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(Last) (First) (Middle)
Credit Suisse First Boston, on behalf of Credit Suisse
First Boston Business Unit
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c/o Credit Suisse First Boston Advisory Partners, LLC
11 Madison Avenue
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(Street)
New York NY 10010
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
MascoTech, Inc.
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3. I.R.S. Identification Number of Reporting Person, if an entity
(Voluntary)
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4. Statement for Month/Year
December/2000
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EXPLANATIONS OF RESPONSES
1. This Form 4 is being filed with respect to shares of common stock, $1.00
par value ("Common Stock") per share, of MascoTech, Inc. (the "Issuer").
Except as specifically provided herein, this Form 4 does not modify any of
the information previously reported on the Form 3 (the "Form 3") filed by
Credit Suisse First Boston (the "Bank"), on behalf of itself and its
subsidiaries, to the extent that they constitute part of the Credit Suisse
First Boston business Unit (the "CSFB Business Unit"), on December 8, 2000.
This Form 4 is being filed by the Bank on behalf of itself and its
subsidiaries, to the extent that they constitute part of the CSFB Business
Unit, including:
(a) Credit Suisse First Boston Equity Partners, L.P., a Delaware limited
partnership ("CSFBEP"),
(b) Credit Suisse First Boston Equity Partners (Bermuda), L.P., a Bermuda
limited partnership ("CSFBEP Bermuda"),
(c) Credit Suisse First Boston U.S. Executive Advisors, L.P., a Delaware
limited partnership ("CSUSEA"),
(d) EMA Partners Fund 2000, L.P., a Delaware limited partnership ("EMA
Partners"),
(e) EMA Private Equity Fund 2000, L.P., a Delaware limited partnership
("EMA Private Equity" and together with CSFBEP, CSFBEP Bermuda, CSUSEA,
and EMA Partners, the "CSFB Funds"),
1. Name and Address of Reporting Person
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(Last) (First) (Middle)
Credit Suisse First Boston, on behalf of Credit Suisse
First Boston Business Unit
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c/o Credit Suisse First Boston Advisory Partners, LLC
11 Madison Avenue
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(Street)
New York NY 10010
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
MascoTech, Inc.
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3. I.R.S. Identification Number of Reporting Person, if an entity
(Voluntary)
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4. Statement for Month/Year
December/2000
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(f) Credit Suisse First Boston Advisory Partners, LLC, a Delaware
limited liability company ("CSFB Advisory Partners") and investment
advisor to CSFBEP, CSFBEP Bermuda and CSUSEA,
(g) Credit Suisse First Boston (Bermuda) Limited, a Bermuda company
limited by shares ("CSFB Bermuda Limited"), the general partner of
EMA Partners and EMA Private Equity,
(h) Credit Suisse First Boston, Inc. ("CSFBI"), a Delaware corporation,
Credit Suisse First Boston (USA) Inc. ("CSFB-USA"), a Delaware
corporation, Merchant Capital, Inc. ("MCI"), a Delaware
corporation, Merchant Holding, Inc. ("MHI"), a Delaware
corporation, Credit Suisse First Boston Merchant Bank, Inc.
("CSFBMBI"), a Delaware corporation, Credit Suisse First Boston
Management Corporation ("CSFBMC"), a Delaware corporation, and
Credit Suisse First Boston Corporation ("CSFBC"), a Massachusetts
corporation and a broker-dealer registered under the Securities
Exchange Act of 1934, as amended (the "Exchange Act"), to the
extent that they constitute part of the Credit Suisse First Boston
Business Unit,
(i) Hemisphere Private Equity Partners, Ltd., a Bermuda company limited
by shares ("Hemisphere"), the general partner of CSFBEP, CSFBEP
Bermuda and CSUSEA, and
(j) The Hemisphere Private Equity Partners Charitable Trust, a trust
created pursuant to the laws of Bermuda ("Hemisphere Trust") and
sole beneficial owner of Hemisphere.
1. Name and Address of Reporting Person
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(Last) (First) (Middle)
Credit Suisse First Boston, on behalf of Credit Suisse
First Boston Business Unit
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c/o Credit Suisse First Boston Advisory Partners, LLC
11 Madison Avenue
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(Street)
New York NY 10010
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
MascoTech, Inc.
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3. I.R.S. Identification Number of Reporting Person, if an entity
(Voluntary)
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4. Statement for Month/Year
December/2000
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Pursuant to investment advisory agreements with CSFBEP, CSFBEP
Bermuda and CSUSEA, CSFB Advisory Partners makes all investment decisions
for these three CSFB Funds, including the decision to buy, sell or hold
securities which comprise the assets of each of the CSFB Funds. In
addition, each of EMA Partners and EMA Private Equity must invest in and
dispose of its portfolio securities pro rata and simultaneously with CSFBEP
pursuant to its limited partnership agreement. Thus, CSFB Advisory Partners
may be deemed to indirectly hold the shares of Common Stock held directly
by the CSFB Funds. CSFB Advisory Partners is a wholly owned subsidiary of
the Bank. The investment committee of CSFB Advisory Partners that oversees
the investment decisions made for the CSFB Funds includes employees of the
Private Equity Division ("Private Equity Division") of the CSFB Business
Unit. The Private Equity Division reports directly to a board of directors
of Credit Suisse First Boston Private Equity ("CSFBPE"), a wholly--owned
subsidiary of Credit Suisse Group ("CSG"). Such board of directors is
comprised in part of executive officers of CSG; both CSG and CSFBPE are
corporations formed under the laws of Switzerland.
CSFB Bermuda Limited is the general partner of each of EMA Partners
and EMA Private Equity and thus manages and controls the affairs of EMA
Partners and EMA Private Equity, which, unlike the other CSFB Funds, are
not advised in their investment decisions by CSFB Advisory Partners.
However, pursuant to its respective limited partnership agreement, each of
EMA Partners and EMA Private Equity must invest in and dispose of its
portfolio securities pro rata and simultaneously with CSFBEP. CSFB Bermuda
Limited is a subsidiary of the Bank.
1. Name and Address of Reporting Person
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(Last) (First) (Middle)
Credit Suisse First Boston, on behalf of Credit Suisse
First Boston Business Unit
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c/o Credit Suisse First Boston Advisory Partners, LLC
11 Madison Avenue
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(Street)
New York NY 10010
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
MascoTech, Inc.
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3. I.R.S. Identification Number of Reporting Person, if an entity
(Voluntary)
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4. Statement for Month/Year
December/2000
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The Bank owns directly a majority of the voting stock, and all of
the non-voting stock of CSFBI. The ultimate parent company of the Bank and
CSFBI, and the direct owner of the remainder of the voting stock of CSFBI,
is CSG. CSFBI owns 100 percent of the voting stock of CSFB-USA. CSFBC is a
wholly-owned subsidiary of CSFB-USA. CSFB Bermuda Limited is a wholly-owned
subsidiary of CSFBC.
MCI is a wholly-owned direct subsidiary of MHI, which is a
wholly-owned direct subsidiary of CSFBMBI, which is a wholly-owned
subsidiary of CSFBMC. CSFBMC is a wholly owned subsidiary of CSFBI.
CSG, for purposes of certain federal securities laws, may be deemed
ultimately to control the Bank and the CSFB Business Unit (including the
Private Equity Division). Due to the separate management and independent
operation of its business units, CSG disclaims beneficial ownership of
shares of Common Stock that may be beneficially owned by its direct and
indirect subsidiaries other than the CSFB Business Unit, CSFB Advisory
Partners and CSFB Bermuda Limited.
Hemisphere is the general partner of CSFBEP, CSFBEP Bermuda and
CSUSEA and, other than the investment activities for which CSFB Advisory
Partners is responsible, thus manages and controls the affairs of these
three CSFB Funds. Hemisphere is engaged in the business of acting as
general partner to collective investment vehicles organized as limited
partnerships. Hemisphere is controlled by Hemisphere Trust, a trust created
for the purpose of acting as beneficial owner of Hemisphere. To the extent
that The Hemisphere Trust Company Limited controls Hemisphere in its
capacity as trustee of Hemisphere Trust, Mutual Risk Management Ltd. is the
ultimate parent company of Hemisphere.
1. Name and Address of Reporting Person
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(Last) (First) (Middle)
Credit Suisse First Boston, on behalf of Credit Suisse
First Boston Business Unit
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c/o Credit Suisse First Boston Advisory Partners, LLC
11 Madison Avenue
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(Street)
New York NY 10010
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
MascoTech, Inc.
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3. I.R.S. Identification Number of Reporting Person, if an entity
(Voluntary)
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4. Statement for Month/Year
December/2000
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2. CSFBEP, CSFBEP Bermuda, and CSUSEA acquired a beneficial ownership
interest in additional shares of Common Stock of the Issuer on December 15,
2000 in connection with the merger of a subsidiary of the Issuer and
Simpson Industries, Inc.(the "Simpson Merger"), as described in Exhibit 99
of the Form 8-K dated December 15, 2000 and filed with the Commission by
the Issuer. That Form 8-K, together with its exhibits, is incorporated
herein by reference. Each of CSFBEP, CSFBEP Bermuda, and CSUSEA entered
into a Subscription Agreement, dated as of December 15, 2000, between the
Issuer and the applicable CSFB fund (each a "Subscription Agreement"),
pursuant to which CSFBEP, CSFBEP Bermuda, and CSUSEA subscribed for shares
of Common Stock of the Issuer in exchange for cash. Collectively, pursuant
to the Subscriptions Agreements, CSFBEP, CSFBEP Bermuda, and CSUSEA
contributed an aggregate of $25,000,001 to the Issuer in exchange for an
aggregate of 1,479,290 shares of Common Stock of the Issuer. The cash
consideration for the shares of Common Stock of the Issuer came from funds
available for investment of CSFBEP, CSFBEP Bermuda, and CSUSEA.
3. The CSFB Business Unit, by virtue of the Bank's 100 percent indirect
ownership of CSFB Advisory Partners, which indirectly holds 10,355,030
shares, and indirect ownership of MCI, which directly holds 177,515 shares,
may be deemed to indirectly beneficially hold 10,532,545 shares of Common
Stock of the Issuer.
4. These shares are held directly by CSFBEP. They are held indirectly by
CSFB Advisory Partners, Hemisphere and Hemisphere Trust.
5. These shares are held directly by CSUSEA. They are held indirectly by
CSFB Advisory Partners, Hemisphere and Hemisphere Trust.
1. Name and Address of Reporting Person
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(Last) (First) (Middle)
Credit Suisse First Boston, on behalf of Credit Suisse
First Boston Business Unit
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c/o Credit Suisse First Boston Advisory Partners, LLC
11 Madison Avenue
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(Street)
New York NY 10010
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
MascoTech, Inc.
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3. I.R.S. Identification Number of Reporting Person, if an entity
(Voluntary)
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4. Statement for Month/Year
December/2000
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6. These shares are held directly by CSFBEP Bermuda. They are held
indirectly by CSFB Advisory Partners, Hemisphere and Hemisphere Trust.
7. These shares are held indirectly by CSFB Advisory Partners, including
533,168 shares held directly by EMA Partners, 343,139 shares held directly
by EMA Private Equity, 7,402,831 shares held directly by CSFBEP, 6,610
shares held directly by CSUSEA, and 2,069,282 shares held directly by CSBEP
Bermuda.
8. These shares are held indirectly by Hemisphere and Hemisphere Trust,
including 7,402,831 shares held directly by CSFBEP, 6,610 shares held
directly by CSUSEA, and 2,069,282 shares held directly by CSBEP Bermuda.
