-------------------------------
OMB APPROVAL
-------------------------------
OMB Number: 3235-0145
Expires: December 31, 2005
Estimated average burden
hours per response..........11
-------------------------------
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(RULE 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED
PURSUANT TO RULE 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO
FILED PURSUANT TO RULE 13d-2(b)
(AMENDMENT NO. 6)*
Landec Corporation
------------------------------------------------------------
(Name of Issuer)
Common Stock
------------------------------------------------------------
(Title of Class of Securities)
514766104
------------------------------------------------------------
(CUSIP Number)
August 1, 2002
------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[_] Rule 13d-1(b)
[_] Rule 13d-1(c)
[X] Rule 13d-1(d)
- ----------
* The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which would
alter the disclosures provided in a prior cover page.
The information required in 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).
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED
IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY
VALID OMB CONTROL NUMBER.
SEC 1745 (3-98)
SCHEDULE 13G
Issuer: Landec Corporation CUSIP No.: 514766104
- --------------------------------------------------------------------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
J.P. Morgan Partners (SBIC), LLC
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
(b)
- --------------------------------------------------------------------------------
3. SEC Use Only
- --------------------------------------------------------------------------------
4. Citizenship or Place of Organization Delaware
- --------------------------------------------------------------------------------
5. Sole Voting Power 0
Number of Shares -------------------------------------------------------
Beneficially Owned 6. Shared Voting Power
by Each Reporting -------------------------------------------------------
Person With: 7. Sole Dispositive Power 0
-------------------------------------------------------
8. Shared Dispositive Power
- --------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person 0
- --------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
- --------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9) 0%
- --------------------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
- --------------------------------------------------------------------------------
CO
.................................................................................
.................................................................................
.................................................................................
.................................................................................
.................................................................................
.................................................................................
- --------------------------------------------------------------------------------
SEC 1745 (3-98)
SCHEDULE 13G
Issuer: Landec Corporation CUSIP No.: 514766104
PRELIMINARY NOTE: The information set forth in this Schedule 13G has been
adjusted to reflect a sale by the Reporting Person of all of
the Issuer's securities and to reflect a change in the name
and controlling persons of the Reporting Person.
ITEM 1.
a) NAME OF ISSUER:
Landec Corporation
b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
3603 Haven Avenue
Menlo Park, California 94025
ITEM 2.
(a) NAME OF PERSON FILING:
J.P. Morgan Partners (SBIC), LLC
Supplemental information relating to the ownership and control of
the person filing this statement is included in Exhibit 2(a)
attached hereto.
(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
1221 Avenue of the Americas
New York, New York 10020
(c) CITIZENSHIP:
Delaware
(d) TITLE OF CLASS OF SECURITIES (OF ISSUER):
Common Stock
(e) CUSIP NUMBER:
See top of cover page
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS. SS. 240. 13d-1(b) OR 240.
13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
Not applicable.
ITEM 4. OWNERSHIP
(a) Amount Beneficially Owned:
0
(b) PERCENT OF CLASS:
0% (as of August 1, 2002)
SEC 1745 (3-98)
SCHEDULE 13G
Issuer: Landec Corporation CUSIP No.: 514766104
(c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:
(i) 0
(ii) Not applicable.
(iii) 0
(iv) Not applicable.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities, check the following [X].
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON
Not applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY
Not applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not applicable.
ITEM 10. CERTIFICATION
Not applicable
SEC 1745 (3-98)
SCHEDULE 13G
Issuer: Landec Corporation CUSIP No.: 514766104
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.
Date: February 13, 2003
J.P. MORGAN PARTNERS (SBIC), LLC
By: /s/ Jeffrey C. Walker
------------------------------------
Name: Jeffrey C. Walker
Title: President
SEC 1745 (3-98)
SCHEDULE 13G
Issuer: Landec Corporation CUSIP No.: 514766104
EXHIBIT 2(a)
ITEM 2. IDENTITY AND BACKGROUND.
This statement is being filed by J.P. Morgan Partners (SBIC), LLC
(formerly known as Chase Venture Capital Associates, LLC), a Delaware limited
liability company (hereinafter referred to as "JPMP (SBIC)"), whose principal
business office is located at 1221 Avenue of the Americas, New York, New York
10020. JPMP (SBIC) is engaged in the venture capital and leveraged buyout
business. Set forth in Schedule A hereto and incorporated herein by reference
are the names, business addresses, occupations and employments of each executive
officer and director of JPMP (SBIC).
JPMP (SBIC) is a wholly owned subsidiary of J.P. Morgan Partners
(BHCA), L.P. (formerly known as Chase Equity Associates, L.P.), a Delaware
limited partnership (hereinafter referred to as "JPMP (BHCA)"), whose principal
business office is located at the same address as JPMP (SBIC). JPMP (BHCA) is
also engaged in the venture capital and leveraged buyout business. The general
partner of JPMP (BHCA) is JPMP Master Fund Manager, L.P. (formerly known as
Chase Capital Partners, a New York general partnership), a Delaware limited
partnership (hereinafter referred to as "JPMP Master Fund"), whose principal
business office is located at the same address as JPMP (SBIC), and is also
directly or indirectly (through affiliates) engaged in the venture capital and
leveraged buyout business. The general partner of JPMP Master Fund is JPMP
Capital Corp. (formerly known as Chase Capital Corporation), a New York
corporation (hereinafter referred to as "JPMP Capital Corp."), whose principal
business office is located at the same address as JPMP (SBIC), and is also
engaged in the venture capital and leveraged buyout business. Set forth in
Schedule B hereto and incorporated herein by reference are the names, business
addresses, principal occupations and employments of each executive officer and
director of JPMP Capital Corp.
JPMP Capital Corp. is a wholly owned subsidiary of J.P. Morgan Chase &
Co. (formerly known as The Chase Manhattan Corporation), a Delaware corporation
(hereinafter referred to as "JP Morgan Chase") which is engaged (primarily
through subsidiaries) in the commercial banking business with its principal
office located at 270 Park Avenue, New York, New York 10017. Set forth in
Schedule C hereto and incorporated herein by reference are the names, business
addresses, principal occupations and employments of each executive officer and
director of JP Morgan Chase.
SEC 1745 (3-98)
SCHEDULE 13G
ISSUER: Landec Corporation CUSIP No.: 514766104
SCHEDULE A
J.P. MORGAN PARTNERS (SBIC), LLC
EXECUTIVE OFFICERS(1)
President Jeffrey C. Walker*
Executive Vice President Mitchell J. Blutt, M.D.*
Executive Vice President Arnold L. Chavkin*
Executive Vice President John M.B. O'Connor*
Managing Director Dr. Dana Beth Ardi
Managing Director Christopher C. Behrens*
Managing Director Julie Casella-Esposito*
Managing Director Rodney A. Ferguson*
Managing Director Cornell P. French*
Managing Director Michael R. Hannon*
Managing Director Alfredo Irigoin*
Managing Director Andrew Kahn*
Managing Director Jonathan R. Lynch*
Managing Director Stephen P. Murray*
Managing Director Timothy Purcell*
Managing Director Faith Rosenfeld*
Managing Director Shahan D. Soghikian*
Managing Director Timothy J. Walsh*
Managing Director Richard D. Waters, Jr.*
Managing Director Damion E. Wicker, M.D.*
Managing Director Eric R. Wilkinson*
Senior Vice President and Assistant Secretary James Hutter*
Senior Vice President and Assistant Secretary Mounir Nahas*
Senior Vice President, Treasurer
and Assistant Secretary Elisa R. Stein*
Vice President and Assistant Secretary Richard Madsen*
Vice President and Assistant Secretary Puneet Gulati*
Vice President and Assistant Secretary Thomas Szymoniak*
Vice President and Assistant Secretary Scott Kraemer*
Secretary Anthony J. Horan**
Assistant Secretary Robert C. Caroll**
Assistant Secretary Denise G. Connors**
Assistant Secretary Euisun Lisa Lee**
Assistant Secretary Timothy Samson**
- --------
(1) Each of whom is a United States citizen except for Messrs. Irigoin, and
Soghikian.
* Principal occupation is employee and/or officer of J.P. Morgan Partners,
LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the
Americas, New York, New York 10020.
** Principal occupation is employee or officer of J.P. Morgan Chase & Co.
Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York,
New York 10017.
SEC 1745 (3-98)
SCHEDULE 13G
ISSUER: Landec Corporation CUSIP No.: 514766104
DIRECTORS(1)
Jeffrey C. Walker*
- --------
(1) Each of whom is a United States citizen except for Messrs. Irigoin, and
Soghikian.
* Principal occupation is employee and/or officer of J.P. Morgan Partners,
LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the
Americas, New York, New York 10020.
** Principal occupation is employee or officer of J.P. Morgan Chase & Co.
Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York,
New York 10017.
(1) Each of whom is a United States citizen except for Messrs. Irigoin and
Soghikian.
SEC 1745 (3-98)
SCHEDULE 13G
ISSUER: Landec Corporation CUSIP No.: 514766104
SCHEDULE B
JPMP CAPITAL CORP.
EXECUTIVE OFFICERS(1)
President Jeffrey C. Walker*
Executive Vice President Mitchell J. Blutt, M.D.*
Executive Vice President Arnold L. Chavkin*
Executive Vice President John M.B. O'Connor*
Managing Director Dr. Dana Beth Ardi
Managing Director Christopher C. Behrens*
Managing Director Julie Casella-Esposito*
Managing Director Rodney A. Ferguson*
Managing Director Cornell P. French*
Managing Director Michael R. Hannon*
Managing Director Alfredo Irigoin*
Managing Director Andrew Kahn*
Managing Director Jonathan R. Lynch*
Managing Director Stephen P. Murray*
Managing Director Timothy Purcell*
Managing Director Faith Rosenfeld*
Managing Director Shahan D. Soghikian*
Managing Director Timothy J. Walsh*
Managing Director Richard D. Waters, Jr.*
Managing Director Damion E. Wicker, M.D.*
Managing Director Eric R. Wilkinson*
Senior Vice President and Assistant Secretary James Hutter*
Senior Vice President and Assistant Secretary Mounir Nahas*
Senior Vice President, Treasurer
and Assistant Secretary Elisa R. Stein*
Vice President and Assistant Secretary Richard Madsen*
Vice President and Assistant Secretary Puneet Gulati*
Vice President and Assistant Secretary Thomas Szymoniak*
Vice President and Assistant Secretary Scott Kraemer*
Secretary Anthony J. Horan**
Assistant Secretary Robert C. Caroll**
Assistant Secretary Denise G. Connors**
Assistant Secretary Euisun Lisa Lee**
Assistant Secretary Timothy Samson**
- --------
(1) Each of whom is a United States citizen except for Messrs. Irigoin, and
Soghikian.
* Principal occupation is employee and/or officer of J.P. Morgan Partners,
LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the
Americas, New York, New York 10020.
** Principal occupation is employee or officer of J.P. Morgan Chase & Co.
Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York,
New York 10017.
SEC 1745 (3-98)
SCHEDULE 13G
ISSUER: Landec Corporation CUSIP No.: 514766104
DIRECTORS(1)
William B. Harrison**
Jeffrey C. Walker*
- --------
(1) Each of whom is a United States citizen except for Messrs. Irigoin, and
Soghikian.
* Principal occupation is employee and/or officer of J.P. Morgan Partners,
LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the
Americas, New York, New York 10020.
** Principal occupation is employee or officer of J.P. Morgan Chase & Co.
Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York,
New York 10017.
SEC 1745 (3-98)
SCHEDULE 13G
ISSUER: Landec Corporation CUSIP No.: 514766104
SCHEDULE C
J.P. MORGAN CHASE & CO.
EXECUTIVE OFFICERS(1)
Chairman of the Board and Chief Executive Officer William B. Harrison Jr.*
Vice Chairman David A. Coulter*
Vice Chairman Walter A. Gubert*
Vice Chairman Thomas B. Ketchum*
Vice Chairman Donald H. Layton*
Vice Chairman James B. Lee Jr.*
Vice Chairman Jeffrey C. Walker**
Vice Chairman; Head of Finance, Risk Management
and Administration Marc J. Shapiro*
Executive Officer Steven D. Black*
Executive Officer Donald H. McCree III*
Executive Officer James I. Staley*
Executive Officer Don M. Wilson*
Executive Officer William T. Winters*
Executive Vice President; General Auditor William J. Moran*
Executive Vice President; Chief Financial Officer Dina Dublon*
Executive Vice President; Head of Market
Risk Management Lesley Daniels Webster*
Chief Credit Officer Robert S. Strong*
Managing Director Paul W. Brandow*
Managing Director; Corporate Treasurer David B. Edelson*
Managing Director; Head of Credit Risk Policy Suzanne Hammett*
Managing Director Louis M. Morrell*
Managing Director John Steinhardt*
Managing Director John Wilmet*
Managing Director Jorge V. Jasson*
General Counsel William H. McDavid*
Corporate Secretary Anthony James Horan*
Senior Vice President; Assistant General Counsel Ronald C. Mayer*
Senior Vice President; Chief Compliance Officer Gregory S. Meredith*
Director of Human Resources John J. Farrell*
Director of Corporate Marketing and Communications Frederick W. Hill*
Controller Joseph L. Scalfani*
Assistant Corporate Secretary James C. Berry*
- --------
(1) Each of whom is a United States citizen.
* Principal occupation is employee or officer of J.P. Morgan Chase & Co.
Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York,
New York 10017.
** Principal occupation is employee and/or officer of J.P. Morgan Partners,
LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the
Americas, New York New York 10020.
SEC 1745 (3-98)
SCHEDULE 13G
ISSUER: Landec Corporation CUSIP No.: 514766104
DIRECTORS(1)
NAME PRINCIPAL OCCUPATION OR EMPLOYMENT;
BUSINESS OR RESIDENCE ADDRESS
- --------------------------------------------------------------------------------
Hans W. Becherer Retired Chairman of the Board and
Chief Executive Officer
Deere & Company
One John Deere Place
Moline, IL 61265
- --------------------------------------------------------------------------------
Riley P. Bechtel Chairman and Chief Executive Officer
Bechtel Group, Inc.
P.O. Box 193965
San Francisco, CA 94119-3965
- --------------------------------------------------------------------------------
Frank A. Bennack, Jr. President and Chief Executive Officer
The Hearst Corporation
959 Eighth Avenue
New York, New York 10019
- --------------------------------------------------------------------------------
Lawrence A. Bossidy Chairman of the Board
Honeywell International
P.O. Box 3000
Morristown, NJ 07962-2245
- --------------------------------------------------------------------------------
M. Anthony Burns Chairman of the Board
Ryder System, Inc.
3600 N.W. 82nd Avenue
Miami, Florida 33166
- --------------------------------------------------------------------------------
H. Laurence Fuller Retired Co-Chairman
BP Amoco p.l.c.
1111 Warrenville Road, Suite 25
Chicago, Illinois 60563
- --------------------------------------------------------------------------------
Ellen V. Futter President and Trustee
American Museum of Natural History
Central Park West at 79th Street
New York, NY 10024
- --------------------------------------------------------------------------------
William H. Gray, III President and Chief Executive Officer
The College Fund/UNCF
9860 Willow Oaks Corporate Drive
P.O. Box 10444
Fairfax, Virginia 22031
- --------------------------------------------------------------------------------
William B. Harrison, Jr. Chairman of the Board and Chief Executive Officer
J.P. Morgan Chase & Co.
270 Park Avenue, 8th Floor
New York, New York 10017-2070
- --------------------------------------------------------------------------------
Helene L. Kaplan Of Counsel
Skadden, Arps, Slate, Meagher & Flom LLP
Four Times Square
New York, New York 10036
- --------------------------------------------------------------------------------
Lee R. Raymond Chairman of the Board and Chief Executive Officer
Exxon Mobil Corporation
5959 Las Colinas Boulevard
Irving, TX 75039-2298
- --------------------------------------------------------------------------------
- ----------
(1) Each of whom is a United States citizen.
SEC 1745 (3-98)
SCHEDULE 13G
ISSUER: Landec Corporation CUSIP No.: 514766104
NAME PRINCIPAL OCCUPATION OR EMPLOYMENT;
BUSINESS OR RESIDENCE ADDRESS
- --------------------------------------------------------------------------------
John R. Stafford Chairman of the Board
American Home Products Corporation
5 Giralda Farms
Madison, New Jersey 07940
- --------------------------------------------------------------------------------
Lloyd D. Ward Chief Executive Officer
U.S. Olympic Committee
One Olympic Plaza
Colorado Springs, CO 80909
- --------------------------------------------------------------------------------
SEC 1745 (3-98)