SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
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SCHEDULE 13D
(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 2, 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 [ ].
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<PAGE>
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CUSIP No. 90110710 13D Page 2 of 11 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 11 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 11 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.
--------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC Use Only
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
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>
Item 1. Security and Issuer
The class of equity securities to which this statement relates is the
common stock, par value $0.01 (the "Common Stock"), of Tutogen Medical, Inc., a
Florida corporation (the "Issuer"). The principal executive offices of the
Issuer are located at 925 Allwood Road, Clifton, New Jersey 07012.
Item 2. Identity and Background
The names of the persons filing this statement is 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"). Sulzer AG owns
approximately 74% of the outstanding common shares of Sulzer Medica Ltd. Sulzer
Medica Ltd. owns all of the outstanding common stock of Sulzer Medica USA
Holding Co. The Sulzer Entities are filing this Schedule jointly pursuant to
Section 13-d(1)(K) of the Securities and Exchange Act of 1934, as amended. The
principal offices of Sulzer AG and Sulzer Medica Ltd. are located at
Zurcherstrasse 12, 8401 Winterhur, Switzerland. The principal offices of Sulzer
Medica USA Holding Co. are located at 3 East Greenway Plaza, Suite 1600,
Houston, Texas 77046. Sulzer Medica Ltd.'s and Sulzer Medica USA Holding Co.'s
principal business is the design, development, manufacture and marketing of a
broad range of orthopedic and cardiovascular products, with a focus on
implantable medical products and materials technology.
The directors and executive officers of each of the Sulzer Entities are
set forth on Schedule I attached hereto. Schedule I sets forth the following
information with respect to each such person:
i. name;
ii. residence or business address;
iii. present principal occupation or employment and the name,
principal business and address of any corporation or other
organization in which such employment is conducted; and
iv. citizenship.
During the last five years, none of the Sulzer Entities nor any of
their executive officers or members of the board of directors have been (i)
convicted in any criminal proceeding (excluding traffic violations or similar
misdemeanors) or (ii) a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction and as a result of such proceeding
is or was subject to a judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject to, federal or
state securities laws or finding any violation with respect to such laws.
Item 3. Source and Amount of Funds or Other Consideration
On October 31, 2000, Sulzer Medica USA Holding Co. and Kleinwort Benson
European Mezzanine Fund L.P. entered into a Stock Purchase Agreement (the
"Purchase Agreement"), pursuant to which Sulzer Medica USA Holding Co. agreed to
purchase 1,094,670
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shares of Common Stock for a total cash price of $6,294,352.50 on November 2,
2000. The funds used to purchase the shares were generated from working capital.
Item 4. Purpose of Transaction
Sulzer Medica USA Holding Co. purchased the Common Stock for the
purpose of making a long-term investment in the Issuer. The Sulzer Entities may
explore additional investments in the Issuer on the basis of various factors,
including the Issuer's business, financial condition, results of operations and
prospects, general economic and industry conditions, the securities markets in
general and those for the Issuer's securities in particular, as well as other
developments and other investment opportunities. Based on such review, Sulzer
Medica will take such actions in the future as Sulzer Medica may deem
appropriate in light of the circumstances existing from time to time. On that
basis, the Sulzer Entities may make further investments in the Issuer either in
the open market or in privately negotiated transactions. Similarly, depending on
market and other factors, the Sulzer Entities may determine to dispose of some
or all of the Common Stock currently owned by them or otherwise acquired by them
either in the open market or in privately negotiated transactions.
Item 5. Interest in Securities of the Issuer
(a) As a result of the relationship among Sulzer AG, Sulzer Medica Ltd.
and Sulzer Medica USA Inc, each may be deemed to be the beneficial owner of
1,344,670 shares of Common Stock. Sulzer Medica USA Holding Co. has been
informed by the Issuer that as of September 30, 2000, there were 14,065,088
shares of Common Stock outstanding. Based on that information, on November 2,
2000, the Sulzer Entities own approximately 9.6% of the outstanding shares of
the Issuer's Common Stock. To the knowledge of each of the Sulzer Entities,
there are no shares of Common Stock that are beneficially owned by any person
listed on Schedule I, II or III hereto.
(b) Based on the relationship among the Sulzer Entities, each may have
shared power to vote or to direct the vote and to dispose or direct the
disposition of the 1,344,670 shares of Common Stock.
(c) Except as disclosed herein, there have been no transactions by
Sulzer Medica in securities of the Issuer during the past sixty days.
(d) Not applicable.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understanding of Relationships with Respect
to Securities of the Issuer
As described in Item 3 herein, Sulzer Medica USA Holding Co. has
purchased 1,094,670 shares of Common Stock pursuant to the Purchase Agreement.
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Item 7. Material to be Filed as Exhibits
Exhibit 7.1 Stock Purchase Agreement, dated as of October 31, 2000,
by and between Kleinwort Benson European Mezzanine Fund
L.P. and Sulzer Medica USA Holding Co.
Exhibit 99.1 Joint Filing Agreement.
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<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 13, 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 13, 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 13, 2000
SULZER MEDICA USA HOLDING CO.
By: /s/ David S. Wise
--------------------------------------
Name: David S. Wise
Title: Secretary
<PAGE>
SCHEDULE I
The name and position of each of the members of the board of directors
or executive officers of Sulzer AG are set forth below. Each of these persons is
a citizen of the United States of America unless otherwise noted.
<TABLE>
<CAPTION>
Position with Sulzer AG
Name Residence or Business Address and Principal Occupation
---- ----------------------------- ------------------------
<S> <C> <C>
Peter Spalti Winterthur Insurance Co. Director;
General Guisan-Strasse 40 Chairman of the Board,
CH8401 Winterthur, Switzerland Winterthur Insurance Co.
Georges Blum Unigestion Holding Director;
Rue de Jargonnant 2 Vice Chairman of the Board,
CH1211 Geneva, Switzerland Unigestion Holding
Reto R. Demeniconi Clos des Mesanges Director;
CH1807 Blonay, Switzerland Private person
Jan Kleinewefers Kleinewefers Beteiligungs-GmbH Director;
German citizen P.O. Box 200265 Managing Director,
D47835 Krefeld, Germany Kleinewefers Beteiligungs-GmbH
Bernard Koechlin Zschokke Holding Ltd. Director;
42, rue du 31 December Chairman and CEO,
Geneva, Switzerland Zschokke Holding Ltd.
Erich Muller Gotthelfstrasse 68 Director;
CH8472 Seuzach, Switzerland Private person
Jacob Schmidheiny Conzzeta Holding Director;
Giesshubelstrasse 45 Chairman and CEO,
CH8045 Zurich, Switzerland Conzzeta Holding
Leonardo E. Vannotti Carlo Gavazzi Holding Ltd. Director;
Hertensteinstrasse 33 Private person
CH5408 Ennetbaden Switzerland
Ueli Roost Sulzer AG Chairman of the Board and CEO
CH8401 Winterthur, Switzerland
Pierre Borgeaud Sulzer AG Vice Chairman of the Board
CH8401 Winterthur, Switzerland
Kurt Hagi Sulzer AG Secretariat General
CH8401 Winterthur, Switzerland
Bruno Allmendinger Sulzer AG Head of Finance and Administration
CH8401 Winterthur, Switzerland
Richard Burger Sulzer AG Head of Corporate Development
CH8401 Winterthur, Switzerland
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
Position with Sulzer AG
Name Residence or Business Address and Principal Occupation
---- ----------------------------- ------------------------
<S> <C> <C>
Andre P. Buchel Sulzer AG Member, Corporate Executive
CH8401 Winterthur, Switzerland Management
Fred Kindle Sulzer AG Member, Corporate Executive
CH8401 Winterthur, Switzerland Management
</TABLE>
<PAGE>
SCHEDULE II
The name and position of each of the members of the board of directors
or executive officers of Sulzer Medica Ltd. are set forth below. Each of these
persons is a citizen of the United States of America unless otherwise noted.
<TABLE>
<CAPTION>
Position with Sulzer Medica Ltd.
Name Residence or Business Address and Principal Occupation
---- ----------------------------- ------------------------
<S> <C> <C>
Peter Spalti Winterthur Insurance Co. Director;
General Guisan-Strasse 40 Chairman of the Board,
CH8401-Winterthur, Switzerland Winterthur Insurance Co.
Reto R. Demeniconi Clos des Mesanges Director;
CH1807 Blonay, Switzerland private person
Max Link Tobelhofstrasse 30 Vice-Chairman of the Board;
CH8044-Zurich, Switzerland private person
Larry L. Mathis 3037 Reba Drive Director;
Houston, Texas 77019, USA Chairman, American College of
US-citizen Healthcare Executives
Ueli Roost Sulzer Ltd. Chairman of the Board;
CH8401 Winterthur, Switzerland Chairman of the Board and CEO,
Sulzer Ltd
Pierre Borgeaud Sulzer Ltd. Director,
CH8401 Winterthur, Switzerland Vice-Chairman of the Board,
Sulzer Ltd.
Andre P. Buchel Sulzer Medica Ltd. Chief Executive Officer
CH8401 Winterthur, Switzerland
Vanessa Oelz Sulzer Medica Management Ltd. Secretariat General
Zurcherstrasse 12
CH8401 Winterthur, Switzerland
John H. Rankin Sulzer Medica Management Ltd Head of Human Resources
Zurcherstrasse 12
CH8401 Winterthur, Switzerland
Josef Ruegg Sulzer Medica Management Ltd Head of Finance
Zurcherstrasse 12
CH8401 Winterthur, Switzerland
</TABLE>
<PAGE>
SCHEDULE III
The name and position of each of the members of the board of directors
or the executive officers of Sulzer Medica USA Holding Co. are set forth below.
Each of these persons is a citizen of the United States of America unless
otherwise noted.
<TABLE>
<CAPTION>
Position with Sulzer Medica USA
Name Residence or Business Address Holding Co. and Principal Occupation
---- ----------------------------- ------------------------------------
<S> <C> <C>
Andre P. Buchel Sulzer Medica USA Holding Co. Director and President
CH8401 Winterthur, Switzerland
Swiss citizen
Richard J. May Sulzer Medica USA Holding Co. Treasurer
3 East Greenway Plaza
Suite 1600
Houston, Texas, 77046
USA
David S. Wise Sulzer Medica USA Holding Co. Secretary
3 East Greenway Plaza
Suite 1600
Houston, Texas, 77046
USA
</TABLE>
