SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
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SCHEDULE 13D/A
Amendment No. 1
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13d-2(a)
Tutogen Medical, Inc.
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(Name of Issuer)
Common Stock, Par Value $0.01 Per Share
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(Title of Class of Securities)
90110710
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(CUSIP Number)
David S. Wise, Esq.
Sulzer Medica USA Inc.
3 East Greenway Plaza, Suite 1600
Houston, Texas 77046
Telephone: (713) 561-6365
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
November 17, 2000
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(Date of Event Which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of ss. 240.13d-1(e), ss. 240.13d-1(f) or ss. 240.13d-1(g),
check the following box [ ].
<PAGE>
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CUSIP No. 90110710 13D Page 2 of 36 Pages
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1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person (Entities Only)
Sulzer AG 98-0109623
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2 Check the Appropriate Box if a Member of a Group (a) [ ]
(b) [ ]
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3 SEC Use Only
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4 SOURCE OF FUNDS
WC
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5 Check Box if Disclosure of Legal Proceedings is Required Pursuant
to Item 2(d) or 2(e). [ ]
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6 Citizenship or Place of Organization
Switzerland
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7 Sole Voting Power
0
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NUMBER OF 8 Shared Voting Power
SHARES
BENEFICIALLY 1,344,670 shares of Common Stock
OWNED BY ---------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING
PERSON WITH 0
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10 Shared Dispositive Power
1,344,670 shares of Common Stock
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11 Aggregate Amount Beneficially Owned by Each Reporting Person
1,344,670 shares of Common Stock
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12 Check box if the Aggregate Amount in Row (11) Excludes
Certain Shares [ ]
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13 Percent of Class Represented by Amount in Row (11)
9.6%
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14 Type of Reporting person
CO
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<PAGE>
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CUSIP No. 90110710 13D Page 3 of 36 Pages
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1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person (Entities Only)
Sulzer Medica Ltd.
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2 Check the Appropriate Box if a Member of a Group (a) [ ]
(b) [ ]
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3 SEC Use Only
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4 SOURCE OF FUNDS
WC
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5 Check Box if Disclosure of Legal Proceedings is Required Pursuant
to Item 2(d) or 2(e). [ ]
--------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Switzerland
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7 Sole Voting Power
0
---------------------------------------------------------
NUMBER OF 8 Shared Voting Power
SHARES
BENEFICIALLY 1,344,670 shares of Common Stock
OWNED BY ---------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING
PERSON WITH 0
---------------------------------------------------------
10 Shared Dispositive Power
1,344,670 shares of Common Stock
--------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
1,344,670 shares of Common Stock
--------------------------------------------------------------------------------
12 Check box if the Aggregate Amount in Row (11) Excludes
Certain Shares [ ]
--------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
9.6%
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14 Type of Reporting person
CO
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<PAGE>
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CUSIP No. 90110710 13D Page 4 of 36 Pages
------------ --- ----
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1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person (Entities Only)
Sulzer Medica USA Holding Co. 13-3169695
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2 Check the Appropriate Box if a Member of a Group (a) [ ]
(b) [ ]
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3 SEC Use Only
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4 SOURCE OF FUNDS
WC
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5 Check Box if Disclosure of Legal Proceedings is Required Pursuant
to Item 2(d) or 2(e). [ ]
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6 Citizenship or Place of Organization
Delaware
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7 Sole Voting Power
0
---------------------------------------------------------
NUMBER OF 8 Shared Voting Power
SHARES
BENEFICIALLY 1,344,670 shares of Common Stock
OWNED BY ---------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING
PERSON WITH 0
---------------------------------------------------------
10 Shared Dispositive Power
1,344,670 shares of Common Stock
--------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
1,344,670 shares of Common Stock
--------------------------------------------------------------------------------
12 Check box if the Aggregate Amount in Row (11) Excludes
Certain Shares [ ]
--------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
9.6%
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14 Type of Reporting person
CO
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<PAGE>
This Amendment No. 1 (this "Amendment") amends the Statement on
Schedule 13D filed with the Securities and Exchange Commission by Sulzer AG, a
corporation established under the laws of Switzerland, Sulzer Medica Ltd., a
corporation established under the laws of Switzerland, and Sulzer Medica USA
Holding Co., a corporation established under the laws of the State of Delaware
(collectively herein referred to as the "Sulzer Entities") on November 13, 2000
(the "Schedule 13D"). This Amendment is filed with respect to the common stock,
par value $0.01 (the "Common Stock"), of Tutogen Medical, Inc., a Florida
corporation (the "Issuer") and is filed to reflect information required by Rule
13d-2 under the Securities and Exchange Act of 1934, as amended, with respect to
the Common Stock. The capitalized terms used in this Amendment and not otherwise
defined herein have the meanings ascribed to such terms in the Schedule 13D.
Item 3. Source and Amount of Funds or Other Consideration
Item 3 is hereby supplemented and amended by the insertion of the
following at the end thereof:
"On November 17, 2000, Sulzer Medica USA Holding Co. and Thomas W.
Pauken, in his capacity as liquidating trustee (the "Liquidating Trustee") of
Capital Partners II, Ltd. Liquidating Trust, a liquidating trust (the "Trust"),
entered in an agreement (the "Agreement") pursuant to which Sulzer Medica USA
Holding Co. agreed to make a tender offer to acquire up to 21,627 Trust Units
for a purchase price in cash of $1,387.12 for each Trust Unit, net to the seller
in cash, upon the terms and subject to the conditions of the Agreement and the
Offer. The Trust's assets include, among other things, 7,202,408 shares of
Common Stock and warrants and options to purchase an additional 703,500 shares
of Common Stock. It is expected that the funds necessary to complete the
Agreement and the transactions contemplated thereby, including the Offer, will
be provided by Sulzer Medica USA Holding Co. from its available cash."
Item 4. Purpose of Transaction
Item 4 of the Schedule 13D is hereby amended and restated as
follows:
"Sulzer Medica USA Holding Co. purchased the Common Stock and
entered in the Agreement for the purpose of making a long-term investment in the
Issuer and to complement the development of a commercial relationship with the
Issuer. Other than to purchase an indirect interest in the Issuer pursuant to
the Agreement or as described in Item 6 hereof, the Sulzer Entities have no
present intention to acquire or dispose of any additional shares of Issuer."
Item 6. Contracts, Arrangements, Understanding of Relationships with Respect to
Securities of the Issuer
Item 6 is hereby supplemented and amended by the insertion of the
following at the end thereof:
<PAGE>
"As described in Item 3, Sulzer Medica USA Holding Co. and the
Liquidating Trustee entered in the Agreement pursuant to which Sulzer Medica USA
Holding Co. agreed to make a tender offer to acquire up to 21,627 Trust Units
(or 50% of the total number of Trust Units) for a purchase price in cash of
$1,387.12 for each Trust Unit, net to the seller in cash, upon the terms and
subject to the conditions of the Agreement and the Offer. The Trust's assets
include, among other things, 7,202,408 shares of Common Stock and warrants and
options to purchase an additional 703,500 shares of Common Stock.
Under the Agreement, Sulzer Medica USA Holding Co. and the
Liquidating Trustee have agreed that, until the termination of the Trust in
accordance with the terms of the Trust Agreement, if the Liquidating Trustee
receives a bona fide offer to purchase any of the Trust's shares of Common
Stock, any other equity securities of the Issuer or any warrants, options or
other securities exercisable for, or exchangeable or convertible into, Common
Stock or other equity securities of the Issuer, Sulzer Medica USA Holding Co.
shall have a right of first refusal to purchase such securities upon the terms
set forth in the Agreement. In addition, Sulzer Medica USA Holding Co. and the
Liquidating Trustee have agreed that, until the termination of the Trust in
accordance with the terms of the Trust Agreement, if Sulzer Medica USA Holding
Co. intends to purchase any shares of Common Stock, any other equity securities
of the Issuer or any warrants, options or other securities exercisable for, or
exchangeable or convertible into, Common Stock or other equity securities of the
Issuer from any person other than the Trust, the Liquidating Trustee shall have
a right of first offer to sell such securities to Sulzer Medica USA Holding Co.
upon the terms set forth in the Agreement.
Under the Agreement, Sulzer Medica USA Holding Co. also agreed,
upon the written request of the Liquidating Trustee, to make available (or cause
to be made available) to the Trust from time to time such funds in an aggregate
principal amount equal to the exercise price of the Trust's options and warrants
for shares of Common Stock or other equity security of the Issuer secured by
such options, warrants and Common Stock and otherwise under the terms set forth
in the Agreement."
Item 7. Material to be Filed as Exhibits
Item 7 is hereby amended to include the following exhibit,
attached hereto:
Exhibit 99.2 Agreement dated as of November 17, 2000 between
Sulzer Medica USA Holding Co. and Thomas W. Pauken,
in his capacity as liquidating trustee of Capital
Partners II, Ltd. Liquidating Trust.
<PAGE>
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
Dated: November 20, 2000
SULZER AG
By: /s/ Roman Beran
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Name: Roman Beran
Title: Deputy Vice President and General
Counsel, Head of Legal Department
By: /s/ Kurt Haegi
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Name: Kurt Haegi
Title: Secretary General
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
Dated: November 20, 2000
SULZER MEDICA LTD.
By: /s/ Andre P. Buchel
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Name: Andre P. Buchel
Title: Chief Executive Officer
By: /s/ Vanessa Oelz
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Name: Vanessa Oelz
Title: Secretary General
<PAGE>
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
Dated: November 20, 2000
SULZER MEDICA USA HOLDING CO.
By: /s/ David S. Wise
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Name: David S. Wise
Title: Secretary
