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OMB APPROVAL
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OMB Number 3235-0104
Expires: September 30, 1998
Estimated average burden
hours per response ......0.5
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Stern Ronald
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(Last) (First) (Middle)
Suite 650, 375 Water Street
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(Street)
Vancouver British Columbia V6B5C6
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(City) (State) (Zip)
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2. Date of Event Requiring Statement (Month/Day/Year)
September 21, 1998
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3. IRS or Social Security Number of Reporting Person (Voluntary)
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4. Issuer Name and Ticker or Trading Symbol
Anicom, Inc. (ANIC)
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5. Relationship of Reporting Person to Issuer
(Check all applicable)
[ ] Director [ X ] 10% Owner
[ ] Officer (give title below) [ ] Other (specify below)
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6. If Amendment, Date of Original (Month/Year)
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7. Individual or Joint/Group Filing (Check applicable line)
[ ] Form Filed by One Reporting Person
[ X ] Form Filed by More than One Reporting Person
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Table I -- Non-Derivative Securities Beneficially Owned
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<TABLE>
<CAPTION>
3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr.5)
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<S> <C> <C> <C>
Common Stock 1,403,509(1) I Through intermediary corporation and trust
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</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<TABLE>
<CAPTION>
5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Security Form of
2. Date Exercisable (Instr. 4) Derivative
and Expiration Date --------------------------------- 4. Conver- Security:
(Month/Day/Year) Amount sion or Direct 6. Nature of
---------------------- or Exercise (D) or Indirect
Date Expira- Number Price of Indirect Beneficial
1. Title of Derivative Exer- tion of Derivative (I) Ownership
Security (Instr. 4) cisable Date Title Shares Security (Instr.5) (Instr. 5)
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<S> <C> <C> <C> <C> <C> <C> <C>
Series B Convertible Through
Preferred Stock (2) 9/21/98(3) 9/21/03(4) Common Stock 1,403,508 $14.25(5) I intermediary
corporation
and trust
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</TABLE>
Explanation of Responses:
1 Ronald Stern beneficially owns directly or indirectly all of the shares of
Tricontinental Distribution Limited, which in turn owns 1,403,509 shares of
Common Stock of Anicom, Inc.
2 Ronald Stern beneficially owns directly or indirectly all of the shares of
Tricontinental Industries Limited, which in turn owns 1,403,508 shares of Series
B Convertible Preferred Stock of Anicom, Inc.
3 The Preferred Shares may be converted by the holder at any time. 4 The
Preferred Shares are subject to mandatory redemption on the fifth anniversary of
the issue date.
5 Each share of Series B Convertible Preferred Stock is convertible into that
number of shares of Common Stock equal to the Liquidation Preference ($1,000)
for each share of Preferred Stock, plus all accrued and unpaid dividends divided
by $14.25.
/s/ Ronald N. Stern December 16, 1998
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Ronald Stern
**Signature of Reporting Person Date
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Page 2 of 2
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Joint Filer Information
Name: Tricontinental Distribution Limited
Address: Suite 650
375 Water Street
Vancouver, British Columbia
Canada V6B 5C6
Designated Filer: Ronald Stern
Issuer Name and Ticker Symbol: Anicom, Inc. (ANIC)
Date of Event Requiring Statement: 9/21/98
Tricontinental Distribution Limited
Dated: December 16, 1998
By: /s/ Ronald N. Stern
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Name: Ronald Stern
Title: Chairman of the Board
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Joint Filer Information
Name: Tricontinental Industries Limited
Address: Suite 650
375 Water Street
Vancouver, British Columbia
Canada V6B 5C6
Designated Filer: Ronald Stern
Issuer of Name and Ticker Symbol: Anicom, Inc. (ANIC)
Date of Event Requiring Statement: 9/21/98
Tricontinental Industries Limited
Dated: December 16, 1998
By: /s/ Ronald N. Stern
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Name: Ronald Stern
Title: Chairman of the Board
