<PAGE> 1
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 3)
SOFAMOR DANEK GROUP, INC.
(Name of Issuer)
Common Stock, no par value
(Title of Class of Securities)
834005 10 0
(CUSIP Number)
Marie-Helene Cotrel Plais
La Canadienne
Avenue J.L. Sanguet
62520 Le Touquet, France
Telephone: 011-33-3-21-05-36-87
(Name, Address and Telephone Number of
Person Authorized to Receive Notices and
Communications)
Copy to:
Creighton O'M Condon, Esq.
Shearman & Sterling
599 Lexington Avenue
New York, New York 10022
Telephone: (212) 848-4000
January 26, 1998
(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(b)(3) or (4), check the following box / /.
<PAGE> 2
2
- -----------------------------------------------
CUSIP NO. 834005 10 0
- -----------------------------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Dr. Yves Paul Cotrel
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E) / /
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
French
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
712,690
--------------------------------------------------------------
8 SHARED VOTING POWER
738,744
--------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
712,690
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
738,744
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,451,434
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.89%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 3
3
- -----------------------------------------------
CUSIP NO. 834005 10 0
- -----------------------------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Philippe Cotrel
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E) / /
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
French
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
200,377
--------------------------------------------------------------
8 SHARED VOTING POWER
738,744
--------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
200,377
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
738,744
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
939,121
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.81%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 4
4
- -----------------------------------------------
CUSIP NO. 834005 10 0
- -----------------------------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Marie-Helene Cotrel Plais
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E) / /
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
French
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
240,275
--------------------------------------------------------------
8 SHARED VOTING POWER
738,744
--------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
240,275
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
738,744
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
979,019
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.96%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 5
5
- -----------------------------------------------
CUSIP NO. 834005 10 0
- -----------------------------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Yves-Regis Cotrel
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E) / /
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
French
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
181,877
--------------------------------------------------------------
8 SHARED VOTING POWER
738,744
--------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
181,877
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
738,744
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
920,621
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.73%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 6
6
- -----------------------------------------------
CUSIP NO. 834005 10 0
- -----------------------------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Marie-Christine Cotrel Milliez
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E) / /
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
French
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
192,347
--------------------------------------------------------------
8 SHARED VOTING POWER
738,744
--------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
192,347
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
738,744
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
931,091
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.78%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 7
7
- -----------------------------------------------
CUSIP NO. 834005 10 0
- -----------------------------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Catherine Cotrel Lechien
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E) / /
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
French
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
196,847
--------------------------------------------------------------
8 SHARED VOTING POWER
738,744
--------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
196,847
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
738,744
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
935,591
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.8%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 8
8
- -----------------------------------------------
CUSIP NO. 834005 10 0
- -----------------------------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Elisabeth Cotrel Gauzan
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E) / /
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
French
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
212,847
--------------------------------------------------------------
8 SHARED VOTING POWER
738,744
--------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
212,847
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
738,744
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
951,591
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.86%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 9
9
- -----------------------------------------------
CUSIP NO. 834005 10 0
- -----------------------------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Benedicte Cotrel
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E) / /
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
French
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
181,613
--------------------------------------------------------------
8 SHARED VOTING POWER
738,744
--------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
181,613
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
738,744
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
920,357
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.73%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 10
10
- -----------------------------------------------
CUSIP NO. 834005 10 0
- -----------------------------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Annie Cotrel
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E) / /
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
French
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
187,762
--------------------------------------------------------------
8 SHARED VOTING POWER
738,744
--------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
187,762
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
738,744
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
926,506
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.76%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 11
11
- -----------------------------------------------
CUSIP NO. 834005 10 0
- -----------------------------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Marie-Louise Cotrel
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E) / /
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
French
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
697,532
--------------------------------------------------------------
8 SHARED VOTING POWER
738,744
--------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
697,532
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
738,744
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,436,276
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.83%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 12
12
This Amendment No. 3 to the Statement on Schedule 13D dated as
of June 21, 1993, as amended on November 18, 1993, and as amended on January 26,
1998 (the "Schedule 13D") is being filed solely to reflect the proper number of
Shares beneficially owned by the persons described in Item 5 therein and the
filing of a registration statement by Sofamor Danek in connection with the
Registration Rights Agreement. Capitalized terms used but not defined herein
are used as defined in the Schedule 13D.
Item 5. INTEREST IN SECURITIES OF THE ISSUER
Item 5 of the Schedule 13D is hereby amended by deleting the
chart detailing ownership of Shares (including the footnotes thereto) and
replacing it in its entirety with the chart as set forth below:
<PAGE> 13
17
<TABLE>
<CAPTION>
NUMBER OF NUMBER OF
SHARES OF SHARES OF
NUMBER OF WITH SOLE WITH SHARED
SHARES DISPOSITIVE DISPOSITIVE OR
BENEFICIALLY PERCENTAGE AND VOTING SHARED VOTING
OWNED OF SHARES(1) POWER(2) POWER(3)
<S> <C> <C> <C> <C>
Yves Paul Cotrel 1,451,434 (4) 5.89%(5) 712,690 (4) 738,744
Marie-Louise Cotrel 1,436,276 5.83 697,532 738,744 (6)
Marie-Helene Cotrel Plais 979,019 (7)(8) 3.96(9) 240,275 (8) 738,744
Philippe Cotrel 939,121 (7) 3.81 200,377 738,744
Yves-Regis Cotrel 920,621 (7) 3.73 181,877 738,744
Marie-Christine Cotrel Milliez 931,091 (7) 3.78 192,347 738,744
Catherine Cotrel Lechien 935,591 (7) 3.8 196,847 738,744
Elisabeth Cotrel Gauzan 951,591 (7) 3.86 212,847 738,744
Benedicte Cotrel 920,357 (7) 3.73 181,613 738,744
Annie Cotrel 926,506 (7) 3.76 187,762 738,744
Total Number of Shares held
by the Cotrel Family 3,689,711 (9) 15.07%
</TABLE>
- --------------------------
(1) Based on a total of 24,650,649 outstanding Shares (derived from
25,181,841 outstanding Shares as of December 31, 1997, as disclosed in
Sofamor Danek's Report on Form 8-K filed with the Securities and
Exchange Commission on February 3, 1998, minus the net reduction of
531,192 outstanding Shares resulting from the transactions contemplated
by the 1998 Stock Exchange Agreement).
(2) Includes Shares owned in full ownership.
(3) Includes Shares owned in usufruit or nue propriete. Dr Cotrel and Mrs.
Cotrel, pursuant to the Nominee Agreements with each of the Cotrel
Children, transferred nue propriete interests in 116,282.5 Shares to
each of the Cotrel Children. As of the date hereof, each of the Cotrel
Children retains 92,343 of such nue propriete interests. Since all of
the Cotrel Children received nue propriete interests in such Shares
and Dr. Cotrel and Mrs. Cotrel retained usufruit interests in all such
Shares in the aggregate, the Cotrel Children and Dr. Cotrel and Mrs.
Cotrel may be deemed to share beneficial ownership as a group in all
738,744 Shares currently covered by the Nominee Agreements.
(4) Includes 707,690 Shares directly owned by Dr. Cotrel in full ownership
and options exercisable within 60 days to purchase 5,000 Shares at an
exercise price of $11.875 per Share.
(5) For purposes of calculating this percentage, the number of outstanding
Shares includes Shares underlying options held by such person
exercisable within 60 days.
(6) Pursuant to the Nominee Agreements, Mrs. Cotrel has shared voting
powers with respect to 738,744 Shares held in usufruit. However, Mrs.
Cotrel does not have dispositive powers with respect to these Shares
held in usufruit.
(7) For each of the Cotrel Children, includes 738,744 Shares held by the
Cotrel Children in nue propriete in the aggregate (and with respect
to which Dr. Cotrel and Mrs. Cotrel retain usufruit interests).
(8) Includes 192,075 Shares held in full ownership and options exercisable
within 60 days to purchase: 4,800 Shares at an exercise price of
$24.25; 2,400 Shares at an exercise price of $14.375; and 41,000
Shares at an exercise price of $12.375.
(9) For purposes of calculating this percentage, the number of outstanding
Shares includes Shares underlying options held by such person
exercisable within 60 days.
(10) Of these, an aggregate of 738,744 Shares are split among members of the
Cotrel Family into nue propriete and usufruit interests.
<PAGE> 14
Item 5 of the Schedule 13D is hereby further amended by the addition of
the following to the end thereof:
On January 26, 1998, as a result of the transactions contemplated by
the 1998 Stock Exchange Agreement, each of the Cotrel Children ceased to be the
beneficial owner of more then five percent of the Shares.
Item 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER
Item 6 of the Schedule 13D is hereby amended by the addition of the
following to the end thereof:
In connection with the Registration Rights Agreement, Sofamor Danek
filed a registration statement on Form S-3 with respect to a potential
secondary offering of 1,600,000 Shares held by the Cotrel Family on January 26,
1998 (No. 333-44919). An amendment to such registration statement was filed on
February 3, 1998. Such registration statement has been filed with the
Securities and Exchange Commission but has not yet become effective. The Shares
registered thereby may not be sold nor may offers to buy be accepted prior to
the time the registration statement becomes effective. This disclosure shall
not constitute an offer to sell or the solicitation of on offer to buy nor
shall there be any sale of such Shares in any state in which such offer,
solicitation or sale would be unlawful prior to registration or qualification
under the securities laws of any such state.
<PAGE> 15
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: February 3, 1998
By: /s/ Philippe Cotrel
-------------------
Name: Philippe Cotrel
Title: For himself, and as an
Attorney-in-Fact for
Dr. Yves Paul Cotrel,
Marie-Helene Cotrel Plais,
Yves-Regis Cotrel,
Marie-Christine Cotrel Milliez,
Catherine Cotrel Lechien,
Elisabeth Cotrel Gauzan,
Benedicte Cotrel,
Annie Cotrel and
Marie-Louise Cotrel,
pursuant to powers of attorney
contained in the June 1993
Schedule 13D