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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Amendment No. 1)
Under the Securities Exchange Act of 1934
HAUSER, INC.
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(Name of Issuer)
Common Stock. $.001 par value per share
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(Title of Class of Securities)
419141304
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(CUSIP Number of Class of Securities)
Volker Wypyszyk
2550 El Presidio Street
Long Beach, CA 90810
(310) 637-9566
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
Copies to:
Harvey L. Sperry
Willkie Farr & Gallagher
787 Seventh Avenue
New York, NY 10019
(212) 728-8000
December 15, 1999
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(Date of Event which Requires
Filing of this Schedule)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition that is the subject of this Schedule 13D, and is filing
this schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g),
check the following box: [ ]
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SCHEDULE 13D
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CUSIP No. 419141304
- -------------------
- ----------- --------------------------------------------------------------------
1 NAME OF REPORT PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ZUELLIG GROUP N.A., INC.
- ----------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
OO
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [ ]
- ----------- --------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------- --------- ------------------------------------------------
7 SOLE VOTING POWER
0
--------- ------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY OWNED
BY EACH REPORTING 2,193,426
PERSON WITH
--------- ------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------- ------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,193,426
- ----------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
2,193,426
- ----------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
- ----------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
45%
- ----------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
- ----------- --------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
2
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SCHEDULE 13D
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CUSP No. 419141304
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1 NAME OF REPORT PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ZUELLIG BOTANICALS, INC.
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
OO
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [ ]
- ----------- --------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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7 SOLE VOTING POWER
0
--------- ------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY OWNED
BY EACH REPORTING 1,204,955
PERSON WITH
--------- ------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------- ------------------------------------------------
10 SHARED DISPOSITIVE POWER
1,204,955
- ----------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
1,204,955
- ----------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
- ----------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
25%
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14 TYPE OF REPORTING PERSON*
CO
- ----------- --------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
3
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SCHEDULE 13D
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CUSIP No. 419141304
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- ----------- --------------------------------------------------------------------
1 NAME OF REPORT PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ZATPACK INC.
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
- ----------- --------------------------------------------------------------------
3 SEC USE ONLY
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4 SOURCE OF FUNDS*
OO
- ----------- --------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [ ]
- ----------- --------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands
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7 SOLE VOTING POWER
--------- ------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY OWNED
BY EACH REPORTING 2,193,426
PERSON WITH
--------- ------------------------------------------------
9 SOLE DISPOSITIVE POWER
--------- ------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,193,426
- ----------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
2,193,426
- ----------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
- ----------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
45%
- ----------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- ----------- --------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
4
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This Amendment No. 1 amends the Schedule 13D filed on June 24, 1999 (the
"Schedule 13D") on behalf of Zatpack Inc. ("Zatpack"), an international business
company organized under the laws of the British Virgin Islands, Zuellig Group
N.A., Inc. ("ZGNA"), a Delaware corporation and a wholly owned subsidiary of
Zatpack, and Zuellig Botanicals, Inc. ("ZBI"), a Delaware corporation and a
wholly owned subsidiary of ZGNA (Zatpack, ZGNA and ZBI are collectively referred
to as the "Reporting Persons"), relating to the common stock, par value $.001
per share ("Common Stock"), of Hauser, Inc. (the "Issuer").
Unless otherwise indicated herein, each capitalized term used but not
defined herein shall have the meaning assigned to such term in the Schedule 13D.
Item 2. Identity and Background
The lists of executive officers and directors of the Reporting Persons
referred to in paragraphs (a), (b), (c) and (f) of Item 2 of the Schedule 13D
are hereby amended and restated and attached as Exhibits A, B and C.
Item 4. Purpose of Transaction.
Item 4 is hereby amended by adding the following paragraph after the
seventh paragraph of Item 4 of the Schedule 13D:
In February 1999, the Company signed a purchase agreement for the sale of
its paclitaxel inventory as part of its planned exit from the paclitaxel
business. As a result of such sale and in accordance with the Escrow Agreement,
on December 15, 1999, 152,453 Escrow Shares were released from escrow and
returned to ZBI, 127,333 Escrow Shares were released from escrow
5
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and returned to ZGNA and 321,925 Escrow Shares were returned to the Issuer and
canceled.
Item 5. Interest in Securities of the Issuer.
Paragraph (a) of Item 5 is hereby amended and restated in its entirety to
read as follows:
(a) The Reporting Persons beneficially own an aggregate of 2,193,426 shares
of Common Stock, representing approximately 45% of the total Common Stock
outstanding. This percentage is calculated on the basis of 4,861,860 shares of
Common Stock outstanding as of December 31, 1999, as reported to the Reporting
Persons by the Issuer.
ZBI is the direct and beneficial owner of a total of 1,204,955 shares of
Common Stock, representing approximately 25% of the total number of shares of
Common Stock outstanding.
ZGNA directly owns 988,471 shares of Common Stock, representing
approximately 20% of the outstanding Common Stock. By reason of the control ZGNA
exercises over ZBI, its wholly owned subsidiary, it may be deemed under Rule
13d-3 of the Exchange Act to own beneficially all of the shares owned by ZBI. By
reason of the control Zatpack exercises over ZGNA, its wholly owned subsidiary,
it may be deemed under Rule 13d-3 to own beneficially all of the shares owned by
ZGNA and ZBI. Therefore, Zatpack and ZGNA are each the beneficial owner of a
total of 2,193,426 shares of Common Stock, representing approximately 45% of the
total number of shares of Common Stock outstanding.
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Paragraph (c) of Item 5 is hereby amended and restated in its entirety to
read as follows:
Except for the disposition of shares pursuant to the Escrow Agreement on
December 15, 1999, there have not been any transactions in the Common Stock
within the past 60 days by the reporting persons.
Item 7. Material to be Filed as Exhibits.
The following exhibits have been amended and restated in their entirety:
Exhibit A: Information relating to Directors and Officers of Zuellig Group
N.A., Inc.;
Exhibit B: Information relating to Directors and Officers of Zuellig
Botanicals, Inc.;
Exhibit C: Information relating to Directors of Zatpack Inc.
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SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief, the
undersigned certify that the information set forth in this statement is true,
complete and correct.
Dated: January 13, 2000 Zatpack, Inc.
By: /s/ Harvey L. Sperry
------------------------------
Harvey L. Sperry
Attorney-in-Fact
Zuellig Group N.A., Inc.
By: /s/ Harvey L. Sperry
------------------------------
Harvey L. Sperry
Attorney-in-Fact
Zuellig Botanicals, Inc.
By: /s/ Harvey L. Sperry
------------------------------
Harvey L. Sperry
Attorney-in-Fact
8
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Exhibit A
Set forth below is the name, citizenship, address, position and present
principal occupation of each of the Zuellig Group N.A., Inc.
<TABLE>
Reporting Persons
-----------------
<CAPTION>
Residence Position with Present
Name Citizenship or Business Address the Issuer Occupation
- ---- ----------- ------------------- ------------- ----------
<S> <C> <C> <C> <C>
Peter Zuellig Switzerland The Zuellig Group None CEO
910-914 Jardine House
1 Connaught Place
Central
Hong Kong
Harvey L. Sperry United States Willkie Farr & Gallagher Director Attorney
787 Seventh Avenue
New York, NY 10023
Volker Wypyszyk United States 2550 El Presidio Street CO-CEO President-ZGNA
Long Beach, CA 90810 Director
Ralph Heimann United States 2550 El Presidio Street CFO President-ZBI
Long Beach, CA 90810
</TABLE>
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Exhibit B
Set forth below is the name, citizenship, address, position and present
principal occupation of each of the directors and executive officers of Zuellig
Botanicals, Inc.
<TABLE>
Reporting Persons
-----------------
<CAPTION>
Residence Position with Present
Name Citizenship or Business Address the Issuer Occupation
- ---- ----------- ------------------- ------------- ----------
<S> <C> <C> <C> <C>
Harvey L. Sperry United States Willkie Farr & Gallagher Director Attorney
787 Seventh Avenue
New York, NY 10023
Volker Wypyszyk United States 2550 El Presidio Street CO-CEO President-ZGNA
Long Beach, CA 90810 Director
Ralph Heimann United States 2550 El Presidio Street CFO President-ZBI
Long Beach, CA 90810
Terry L. Feit United States 2550 El Presidio Street None Assistant Secretary/
Long Beach, CA 90810 Controller-ZBI
</TABLE>
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Exhibit C
Set forth below is the name, citizenship, address, position and present
principal occupation of each of the directors of Zatpack.
<TABLE>
Reporting Persons
-----------------
<CAPTION>
Residence Position with Present
Name Citizenship or Business Address the Issuer Occupation
- ---- ----------- ------------------- ------------- ----------
<S> <C> <C> <C> <C>
Peter Zuellig Switzerland The Zuellig Group None CEO
910-914 Jardine House
1 Connaught Place
Central
Hong Kong
Harvey L. Sperry United States Willkie Farr & Gallagher Director Attorney
787 Seventh Avenue
New York, NY 10023
David Zuellig Switzerland The Zuellig Group None Managing Director
910-914 Jardine House
1 Connaught Place
Central
Hong Kong
Daniel Zuellig Switzerland The Zuellig Group None Managing Director
910-914 Jardine House
1 Connaught Place
Central
Hong Kong
Thomas Zuellig Switzerland The Zuellig Group None Managing Director
910-914 Jardine House
1 Connaught Place
Central
Hong Kong
</TABLE>
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