PAGE 1 OF 18 PAGES
Securities and Exchange Commission
Washington, D.C. 20549
Schedule 13D/A
Under the Securities Exchange Act of 1934
Rohm and Haas Company
---------------------
(Name of Issuer)
Common Stock
------------------------------
(Title of Class of Securities)
775371-10-7
--------------
(CUSIP Number)
Justin P. Klein
Ballard Spahr Andrews & Ingersoll, LLP
1735 Market Street, 51st Floor
Philadelphia, PA 19103
(215) 665-8500
--------------------------------------
(Name, Address and Telephone Number
of Person Authorized to Receive
Notices and Communications)
June 21, 1999
------------------------------------
(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 Rule 13d-1(e), 13d-1(f) or 13d-1(g), check
the following box. / /
The information required on the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities
Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of
that Section of the Act but shall be subject to all other provisions of the
Act (however, see the Notes).
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 2 OF 18 PAGES
- ------------------------------------------------------------------------------
1) Names of Reporting Persons; I.R.S. Identification Nos. (entities only)
Otto Haas Income Trust dated December 20, 1945
- ------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) _____
(b) _____
- ------------------------------------------------------------------------------
3) SEC Use Only
- ------------------------------------------------------------------------------
4) Source of Funds (See Instructions) N/A
- ------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) / /
- ------------------------------------------------------------------------------
6) Citizenship or Place of Organization Pennsylvania
- ------------------------------------------------------------------------------
7) Sole Voting Power 2,301,048
Number of ------------------------------------------------------------
Shares 8) Shared Voting Power 0
Beneficially
Owned by ------------------------------------------------------------
Each Reporting 9) Sole Dispositive Power 2,301,048
Person With
------------------------------------------------------------
10) Shared Dispositive Power 0
- ------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person 2,301,048
- ------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) / /
Excludes Certain Shares (See Instructions)
- ------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11) 1.08%
- ------------------------------------------------------------------------------
14) Type of Reporting Persons (See Instructions) OO
- ------------------------------------------------------------------------------
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 3 OF 18 PAGES
- ------------------------------------------------------------------------------
1) Names of Reporting Persons; I.R.S. Identification Nos. (entities only)
Otto Haas Income Trust dated December 21, 1945
- ------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) _____
(b) _____
- ------------------------------------------------------------------------------
3) SEC Use Only
- ------------------------------------------------------------------------------
4) Source of Funds (See Instructions) N/A
- ------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) / /
- ------------------------------------------------------------------------------
6) Citizenship or Place of Organization Pennsylvania
- ------------------------------------------------------------------------------
7) Sole Voting Power 27,083,736
Number of ------------------------------------------------------------
Shares 8) Shared Voting Power 0
Beneficially
Owned by ------------------------------------------------------------
Each Reporting 9) Sole Dispositive Power 27,083,736
Person With
------------------------------------------------------------
10) Shared Dispositive Power 0
- ------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person 27,083,736
- ------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) / /
Excludes Certain Shares (See Instructions)
- ------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11) 12.66%
- ------------------------------------------------------------------------------
14) Type of Reporting Persons (See Instructions) OO
- ------------------------------------------------------------------------------
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 4 OF 18 PAGES
- ------------------------------------------------------------------------------
1) Names of Reporting Persons; I.R.S. Identification Nos. (entities only)
Otto Haas Charitable Trust dated August 3, 1955
- ------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) _____
(b) _____
- ------------------------------------------------------------------------------
3) SEC Use Only
- ------------------------------------------------------------------------------
4) Source of Funds (See Instructions) N/A
- ------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) / /
- ------------------------------------------------------------------------------
6) Citizenship or Place of Organization Pennsylvania
- ------------------------------------------------------------------------------
7) Sole Voting Power 5,819,580
Number of ------------------------------------------------------------
Shares 8) Shared Voting Power 0
Beneficially
Owned by ------------------------------------------------------------
Each Reporting 9) Sole Dispositive Power 5,819,580
Person With
------------------------------------------------------------
10) Shared Dispositive Power 0
- ------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person 5,819,580
- ------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) / /
Excludes Certain Shares (See Instructions)
- ------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11) 2.72%
- ------------------------------------------------------------------------------
14) Type of Reporting Persons (See Instructions) OO
- ------------------------------------------------------------------------------
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 5 OF 18 PAGES
- ------------------------------------------------------------------------------
1) Names of Reporting Persons; I.R.S. Identification Nos. (entities only)
Otto Haas Charitable Trust dated September 28, 1956
- ------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) _____
(b) _____
- ------------------------------------------------------------------------------
3) SEC Use Only
- ------------------------------------------------------------------------------
4) Source of Funds (See Instructions) N/A
- ------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) / /
- ------------------------------------------------------------------------------
6) Citizenship or Place of Organization Pennsylvania
- ------------------------------------------------------------------------------
7) Sole Voting Power 21,670,560
Number of ------------------------------------------------------------
Shares 8) Shared Voting Power 0
Beneficially
Owned by ------------------------------------------------------------
Each Reporting 9) Sole Dispositive Power 21,670,560
Person With
------------------------------------------------------------
10) Shared Dispositive Power 0
- ------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person 21,670,560
- ------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) / /
Excludes Certain Shares (See Instructions)
- ------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11) 10.13%
- ------------------------------------------------------------------------------
14) Type of Reporting Persons (See Instructions) OO
- ------------------------------------------------------------------------------
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 6 OF 18 PAGES
- ------------------------------------------------------------------------------
1) Names of Reporting Persons; I.R.S. Identification Nos. (entities only)
Phoebe W. Haas Charitable Trust (A) dated August 24, 1961
- ------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) _____
(b) _____
- ------------------------------------------------------------------------------
3) SEC Use Only
- ------------------------------------------------------------------------------
4) Source of Funds (See Instructions) N/A
- ------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) / /
- ------------------------------------------------------------------------------
6) Citizenship or Place of Organization Pennsylvania
- ------------------------------------------------------------------------------
7) Sole Voting Power 3,484,152
Number of ------------------------------------------------------------
Shares 8) Shared Voting Power 0
Beneficially
Owned by ------------------------------------------------------------
Each Reporting 9) Sole Dispositive Power 3,484,152
Person With
------------------------------------------------------------
10) Shared Dispositive Power 0
- ------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person 3,484,152
- ------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) / /
Excludes Certain Shares (See Instructions)
- ------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11) 1.63%
- ------------------------------------------------------------------------------
14) Type of Reporting Persons (See Instructions) OO
- ------------------------------------------------------------------------------
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 7 OF 18 PAGES
- ------------------------------------------------------------------------------
1) Names of Reporting Persons; I.R.S. Identification Nos. (entities only)
Phoebe W. Haas Charitable Trust (B) dated August 24, 1961
- ------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) _____
(b) _____
- ------------------------------------------------------------------------------
3) SEC Use Only
- ------------------------------------------------------------------------------
4) Source of Funds (See Instructions) N/A
- ------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) / /
- ------------------------------------------------------------------------------
6) Citizenship or Place of Organization Pennsylvania
- ------------------------------------------------------------------------------
7) Sole Voting Power 3,484,152
Number of ------------------------------------------------------------
Shares 8) Shared Voting Power 0
Beneficially
Owned by ------------------------------------------------------------
Each Reporting 9) Sole Dispositive Power 3,484,152
Person With
------------------------------------------------------------
10) Shared Dispositive Power 0
- ------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person 3,484,152
- ------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) / /
Excludes Certain Shares (See Instructions)
- ------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11) 1.63%
- ------------------------------------------------------------------------------
14) Type of Reporting Persons (See Instructions) OO
- ------------------------------------------------------------------------------
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 8 OF 18 PAGES
- ------------------------------------------------------------------------------
1) Names of Reporting Persons; I.R.S. Identification Nos. (entities only)
John C. Haas
- ------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) _____
(b) _____
- ------------------------------------------------------------------------------
3) SEC Use Only
- ------------------------------------------------------------------------------
4) Source of Funds (See Instructions) N/A
- ------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) / /
- ------------------------------------------------------------------------------
6) Citizenship or Place of Organization United States
- ------------------------------------------------------------------------------
7) Sole Voting Power 373,755
Number of ------------------------------------------------------------
Shares 8) Shared Voting Power 60,359,076(1)(2)
Beneficially
Owned by ------------------------------------------------------------
Each Reporting 9) Sole Dispositive Power 373,755
Person With
------------------------------------------------------------
10) Shared Dispositive Power 60,359,076(1)(2)
- ------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by
Each Reporting Person 60,732,831(1)(2)
- ------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) / X /(2)
Excludes Certain Shares (See Instructions)
- ------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11) 28.40%
- ------------------------------------------------------------------------------
14) Type of Reporting Persons (See Instructions) IN
- ------------------------------------------------------------------------------
(1) Includes 2,301,048 shares as a trustee of Otto Haas Income
Trust dated December 20, 1945; and 27,083,736 shares as a trustee of
Otto Haas Income Trust dated December 21, 1945
(2) Mr. Haas disclaims beneficial ownership with respect to
5,819,580 shares as a trustee of Otto Haas Charitable Trust dated August
3, 1955; 21,670,560 shares as a trustee of Otto Haas Charitable Trust
dated September 28, 1956; and 3,484,152 as a trustee of Phoebe W. Haas
Charitable Trust (B) dated August 24, 1961.
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 9 OF 18 PAGES
- ------------------------------------------------------------------------------
1) Names of Reporting Persons; I.R.S. Identification Nos. (entities only)
John O. Haas
- ------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) _____
(b) _____
- ------------------------------------------------------------------------------
3) SEC Use Only
- ------------------------------------------------------------------------------
4) Source of Funds (See Instructions) N/A
- ------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) / /
- ------------------------------------------------------------------------------
6) Citizenship or Place of Organization United States
- ------------------------------------------------------------------------------
7) Sole Voting Power 282,192
Number of ------------------------------------------------------------
Shares 8) Shared Voting Power 60,453,762(1)
Beneficially
Owned by ------------------------------------------------------------
Each Reporting 9) Sole Dispositive Power 282,192
Person With
------------------------------------------------------------
10) Shared Dispositive Power 60,453,762(1)
- ------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person 60,735,954
- ------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) / /
Excludes Certain Shares (See Instructions)
- ------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11) 28.40%
- ------------------------------------------------------------------------------
14) Type of Reporting Persons (See Instructions) IN
- ------------------------------------------------------------------------------
(1) Includes 94,686 shares held jointly with spouse; 2,301,048
shares as a trustee of Otto Haas Income Trust dated December 20, 1945;
27,083,736 shares as a trustee of Otto Haas Income Trust dated December
21, 1945; 5,819,580 shares as a trustee of Otto Haas Charitable Trust
dated August 3, 1955; 21,670,560 shares as a trustee of Otto Haas
Charitable Trust dated September 28, 1956; and 3,484,152 as a trustee of
Phoebe W. Haas Charitable Trust (A) dated August 24, 1961.
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 10 OF 18 PAGES
- ------------------------------------------------------------------------------
1) Names of Reporting Persons; I.R.S. Identification Nos. (entities only)
William D. Haas
- ------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) _____
(b) _____
- ------------------------------------------------------------------------------
3) SEC Use Only
- ------------------------------------------------------------------------------
4) Source of Funds (See Instructions) N/A
- ------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) / /
- ------------------------------------------------------------------------------
6) Citizenship or Place of Organization United States
- ------------------------------------------------------------------------------
7) Sole Voting Power 131,598
Number of ------------------------------------------------------------
Shares 8) Shared Voting Power 60,545,838(1)
Beneficially
Owned by ------------------------------------------------------------
Each Reporting 9) Sole Dispositive Power 131,598
Person With
------------------------------------------------------------
10) Shared Dispositive Power 60,545,838(1)
- ------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person 60,677,436
- ------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) / /
Excludes Certain Shares (See Instructions)
- ------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11) 28.37%
- ------------------------------------------------------------------------------
14) Type of Reporting Persons (See Instructions) IN
- ------------------------------------------------------------------------------
(1) Includes 186,762 shares held jointly with spouse; 2,301,048
shares as a trustee of Otto Haas Income Trust dated December 20, 1945;
27,083,736 shares as a trustee of Otto Haas Income Trust dated December
21, 1945; 5,819,580 shares as a trustee of Otto Haas Charitable Trust
dated August 3, 1955; 21,670,560 shares as a trustee of Otto Haas
Charitable Trust dated September 28, 1956; and 3,484,152 as a trustee of
Phoebe W. Haas Charitable Trust (A) dated August 24, 1961.
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 11 OF 18 PAGES
- ------------------------------------------------------------------------------
1) Names of Reporting Persons; I.R.S. Identification Nos. (entities only)
Thomas W. Haas
- ------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) _____
(b) _____
- ------------------------------------------------------------------------------
3) SEC Use Only
- ------------------------------------------------------------------------------
4) Source of Funds (See Instructions) N/A
- ------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) / /
- ------------------------------------------------------------------------------
6) Citizenship or Place of Organization United States
- ------------------------------------------------------------------------------
7) Sole Voting Power 55,923
Number of ------------------------------------------------------------
Shares 8) Shared Voting Power 60,898,266(1)
Beneficially
Owned by ------------------------------------------------------------
Each Reporting 9) Sole Dispositive Power 55,923
Person With
------------------------------------------------------------
10) Shared Dispositive Power 60,898,266(1)
- ------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person 60,954,189
- ------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) / /
Excludes Certain Shares (See Instructions)
- ------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11) 28.50%
- ------------------------------------------------------------------------------
14) Type of Reporting Persons (See Instructions) IN
- ------------------------------------------------------------------------------
(1) Includes 488,781 shares held jointly with spouse; 50,409
shares held by spouse; 2,301,048 shares as a trustee of Otto Haas Income
Trust dated December 20, 1945; 27,083,736 shares as a trustee of Otto
Haas Income Trust dated December 21, 1945; 5,819,580 shares as a trustee
of Otto Haas Charitable Trust dated August 3, 1955; 21,670,560 shares as
a trustee of Otto Haas Charitable Trust dated September 28, 1956; and
3,484,152 as a trustee of Phoebe W. Haas Charitable Trust (A) dated
August 24, 1961.
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 12 OF 18 PAGES
- ------------------------------------------------------------------------------
1) Names of Reporting Persons; I.R.S. Identification Nos. (entities only)
Carole F. Haas
- ------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) _____
(b) _____
- ------------------------------------------------------------------------------
3) SEC Use Only
- ------------------------------------------------------------------------------
4) Source of Funds (See Instructions) N/A
- ------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) / /
- ------------------------------------------------------------------------------
6) Citizenship or Place of Organization United States
- ------------------------------------------------------------------------------
7) Sole Voting Power 30,000
Number of ------------------------------------------------------------
Shares 8) Shared Voting Power 3,484,152(1)
Beneficially
Owned by ------------------------------------------------------------
Each Reporting 9) Sole Dispositive Power 30,000
Person With
------------------------------------------------------------
10) Shared Dispositive Power 3,484,152(1)
- ------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person 3,514,152
- ------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) / /
Excludes Certain Shares (See Instructions)
- ------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11) 1.64%
- ------------------------------------------------------------------------------
14) Type of Reporting Persons (See Instructions) IN
- ------------------------------------------------------------------------------
(1) Shares held as a trustee of Phoebe W. Haas Charitable Trust
(A) dated August 24, 1961.
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 13 OF 18 PAGES
Item 1. SECURITY AND ISSUER.
--------------------
(a) The class of equity securities to which this Statement
on Schedule 13D/A relates is Common Stock, par value $1.00 per share
("Common Stock"), of Rohm and Haas Company, a Delaware corporation (the
"Company").
(b) The principal executive offices of the Company are
located at 100 Independence Mall West, Philadelphia, Pennsylvania 19106.
Item 2. IDENTITY AND BACKGROUND.
------------------------
This Schedule 13D/A is filed by the following persons
(collectively, the "Filers"):
(1) Otto Haas Income Trust dated December 20, 1945, a trust;
(2) Otto Haas Income Trust dated December 21, 1945, a trust;
(3) Otto Haas Charitable Trust dated August 3, 1955, a trust;
(4) Otto Haas Charitable Trust dated September 28, 1956, a trust;
(5) Phoebe W. Haas Charitable Trust (A) dated August 24, 1961,
a trust;
(6) Phoebe W. Haas Charitable Trust (B) dated August 24, 1961,
a trust;
(7) John C. Haas, an individual;
(8) John O. Haas, an individual;
(9) William D. Haas, an individual;
(10) Thomas W. Haas, an individual; and
(11) Carole F. Haas, an individual.
The occupation for each Filer who is an individual and the
business address for each Filer is as follows:
(1) Otto Haas Income Trust dated December 20, 1945, c/o John C.
Haas, Trustee, 100 Independence Mall West, Philadelphia, PA 19106;
(2) Otto Haas Income Trust dated December 21, 1945, c/o John C.
Haas, Trustee, 100 Independence Mall West, Philadelphia, PA 19106;
(3) Otto Haas Charitable Trust dated August 3, 1955, c/o John C.
Haas, Trustee, 100 Independence Mall West, Philadelphia, PA 19106;
(4) Otto Haas Charitable Trust dated September 28, 1956, c/o John
C. Haas, Trustee, 100 Independence Mall West, Philadelphia, PA 19106;
(5) Phoebe W. Haas Charitable Trust (A) dated August 24, 1961, c/o
John O. Haas, Trustee, 425 Lombard Street, Philadelphia, PA 19147;
(6) Phoebe W. Haas Charitable Trust (B) dated August 24, 1961, c/o
John C. Haas, Trustee, 100 Independence Mall West, Philadelphia, PA 19106;
(7) John C. Haas, retired, 100 Independence Mall West,
Philadelphia, PA 19106;
(8) John O. Haas, librarian, 425 Lombard Street,
Philadelphia, PA 19147;
(9) William D. Haas, investor, P.O. Box 125, Bear Creek, PA 18602;
(10) Thomas W. Haas, investor, 583 Bay Road, Durham, NH 03824; and
(11) Carole F. Haas, philanthropist, 1830 Rittenhouse Square,
Apt. 16B, Philadelphia, PA 19103.
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 14 OF 18 PAGES
During the past five years, none of the Filers has been
convicted in a criminal proceeding (excluding traffic violations or
similar misdemeanors), nor has any of them been a party to a civil
proceeding of a judicial or administrative body of competent
jurisdiction and as a result of such proceeding was or is 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.
Each Filer who is an individual is a citizen of the United States.
Item 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
--------------------------------------------------
The Schedule 13D to which this Schedule 13D/A relates was
necessitated by the execution on February 25, 1999 of the Rohm and Haas
Company Shareholder Agreement (the "Shareholder Agreement") described in
Item 4 and not by the acquisition of additional shares of Rohm and Haas
Company Common Stock, par value $1.00 per share ("Common Stock").
Accordingly, this item is inapplicable.
Item 4. PURPOSE OF TRANSACTION.
-----------------------
The Filers entered into the Shareholder Agreement on February
25, 1999. Pursuant to the Shareholder Agreement, each Filer agreed to
vote all shares of Common Stock then beneficially owned in favor of (i)
an amendment to the Restated Certificate of Incorporation of the Company
to increase the number of authorized shares of Common Stock to 400
million shares and (ii) the issuance of Common Stock in the merger (the
"Merger") of Morton Acquisition Corp., an Indiana corporation and a
subsidiary of the Company, with Morton International, Inc. ("Morton") in
accordance with the Business Corporation Law of the State of Indiana,
pursuant to the terms and subject to the conditions set forth in the
Agreement and Plan of Merger dated as of January 31, 1999 among Morton,
Morton Acquisition Corp. and the Company (the "Merger Agreement").
The Merger was consummated on June 21, 1999 and, in
accordance with its terms, the Shareholder Agreement terminated on June
21, 1999 upon consummation of the Merger. With the termination of the
Shareholder Agreement, the obligation of the Filers to file as a "group"
on Schedule 13D is likewise terminated.
Due to the termination of the "group", Otto Haas Income Trust
dated December 20, 1945, Otto Haas Charitable Trust dated August 3,
1955, Phoebe W. Haas Charitable Trust (A) dated August 24, 1961, Phoebe
W. Haas Charitable Trust (B) dated August 24, 1961 and Carole F. Haas
are not currently obligated to file either a Schedule 13D or a Schedule
13G with respect to their respective holdings of Common Stock. Otto
Haas Income Trust dated December 21, 1945 and Otto Haas Charitable Trust
dated September 28, 1956 will hereafter be filing on Schedule 13G until
such time, if any as they are required to do otherwise. John C. Haas,
John O. Haas, William D. Haas and Thomas W. Haas will hereafter be
filing on Schedule 13D until such time, if any as they may do otherwise.
Item 5. INTEREST IN SECURITIES OF THE ISSUER.
-------------------------------------
(a)-(b) Items 7, 8, 9, 10, 11 and 13 from pages 2 through
12 of this Schedule 13D/A are incorporated herein by reference.
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 15 OF 18 PAGES
Mellon Bank, N.A. also shares the power of voting and
disposition with respect to Otto Haas Income Trust dated December 20,
1945 and Otto Haas Income Trust dated December 21, 1945.
First Union Bank also shares the power of voting and
disposition with respect to Otto Haas Charitable Trust dated August 3,
1955 and Otto Haas Charitable Trust dated September 28, 1956.
Chara C. Haas also shares the power of voting and disposition
with respect to Phoebe W. Haas Charitable Trust (B) dated August 24,
1961.
(c) None.
(d) N/A
(e) N/A
Item 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER.
-------------------------------------------------------------
Item 4 of this Schedule 13D/A is incorporated herein by
reference.
William D. Haas has pledged 120,813 shares of Common Stock to
First Heritage Bank pursuant to that certain Commercial Pledge and
Security Agreement, dated October 29, 1997, among Wyoming Valley Sports
Dome, L.P., William D. Haas and First Heritage Bank.
William D. Haas and his spouse have pledged 24,762 shares of
Common Stock to First Heritage Bank pursuant to that certain Consumer
Pledge Agreement, dated March 1, 1996, among William D. Haas and his
spouse and First Heritage Bank.
Item 7. MATERIAL TO BE FILED AS EXHIBITS
--------------------------------
Exhibit 1.1 Rohm and Haas Company Shareholder Agreement among
Morton International Inc. and certain shareholders of
Rohm and Haas Company listed therein, dated February
25, 1999 (incorporated by reference to the Schedule 13D
filed by the Filers on March 5, 1999).
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 16 OF 18 PAGES
SIGNATURES
----------
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this Statement on Schedule 13D/A is
true, complete and correct as of the date hereof.
Dated: August 17, 1999
OTTO HAAS INCOME TRUST DATED
DECEMBER 20, 1945
By: /s/ John C. Haas
--------------------------------------
John C. Haas, Trustee
By: /s/ John O. Haas
--------------------------------------
John O. Haas, Trustee
By: /s/ William D. Haas
--------------------------------------
William D. Haas, Trustee
By: /s/ Thomas W. Haas
--------------------------------------
Thomas W. Haas, Trustee
OTTO HAAS INCOME TRUST DATED
DECEMBER 21, 1945
By: /s/ John C. Haas
--------------------------------------
John C. Haas, Trustee
By: /s/ John O. Haas
--------------------------------------
John O. Haas, Trustee
By: /s/ William D. Haas
--------------------------------------
William D. Haas, Trustee
By: /s/ Thomas W. Haas
--------------------------------------
Thomas W. Haas, Trustee
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 17 OF 18 PAGES
OTTO HAAS CHARITABLE TRUST
DATED AUGUST 3, 1955
By: /s/ John C. Haas
--------------------------------------
John C. Haas, Trustee
By: /s/ John O. Haas
--------------------------------------
John O. Haas, Trustee
By: /s/ William D. Haas
--------------------------------------
William D. Haas, Trustee
By: /s/ Thomas W. Haas
--------------------------------------
Thomas W. Haas, Trustee
OTTO HAAS CHARITABLE TRUST
DATED SEPTEMBER 28, 1956
By: /s/ John C. Haas
--------------------------------------
John C. Haas, Trustee
By: /s/ John O. Haas
--------------------------------------
John O. Haas, Trustee
By: /s/ William D. Haas
--------------------------------------
William D. Haas, Trustee
By: /s/ Thomas W. Haas
--------------------------------------
Thomas W. Haas, Trustee
PHOEBE W. HAAS CHARITABLE TRUST
(A) DATED AUGUST 24, 1961
By: /s/ Carole F. Haas
--------------------------------------
Carole F. Haas, Trustee
By: /s/ John O. Haas
--------------------------------------
John O. Haas, Trustee
By: /s/ William D. Haas
--------------------------------------
William D. Haas, Trustee
By: /s/ Thomas W. Haas
--------------------------------------
Thomas W. Haas, Trustee
<PAGE>
CUSIP NUMBER: 775371-10-7 PAGE 18 OF 18 PAGES
PHOEBE W. HAAS CHARITABLE TRUST
(B) DATED AUGUST 24, 1961
By: /s/ John C. Haas
--------------------------------------
John C. Haas, Trustee
By: /s/ David W. Haas
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David W. Haas, Trustee
/s/ John C. Haas
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John C. Haas
/s/ John O. Haas
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John O. Haas
/s/ William D. Haas
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William D. Haas
/s/ Thomas W. Haas
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Thomas W. Haas
/s/ Carole F. Haas
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Carole F. Haas
