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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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
[_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
________________________________________________________________________________
1. Name and Address of Reporting Person*
Credit Suisse First Boston,
on behalf of the Credit Suisse First Boston business unit
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(Last) (First) (Middle)
11 Madison Avenue
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(Street)
New York NY 10010
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(City) (State) (Zip)
________________________________________________________________________________
2. Issuer Name and Ticker or Trading Symbol
Charles River Laboratories International, Inc. (CRL)
________________________________________________________________________________
3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
________________________________________________________________________________
4. Statement for Month/Year
December 2001
________________________________________________________________________________
5. If Amendment, Date of Original (Month/Year)
________________________________________________________________________________
6. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [X] 10% Owner
[_] Officer (give title below) [_] Other (specify below)
________________________________________________________________________________
7. Individual or Joint/Group Filing (Check applicable line)
[X] Form filed by one Reporting Person
[_] Form filed by more than one Reporting Person
________________________________________________________________________________
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code (D) and 4) (Instr.4) (Instr. 4)
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Common Stock 12/05/01 J 1,176,021 D 1,160,742 (I) (1)(13)(16)
(18)(19)
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Common Stock 12/05/01 J 49,784 A 49,784 (I) (29)(19)
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Common Stock 12/20/01 S 17,429 D $31.3048 49,784 (I) (29)(19)
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Common Stock 12/21/01 S 30,356 D $31.3086 49,784 (I) (29)(19)
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Common Stock 12/24/01 S 2,196 D $30.7893 49,784 (I) (29)(19)
------------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/26/01 S 2,198 D $30.95 49,784 (I) (29)(19)
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Common Stock 12/05/01 J 18,669 A 18,669 (I) (30)(19)
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Common Stock 12/20/01 S 6,536 D $31.3084 18,669 (I) (30)(19)
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Common Stock 12/21/01 S 11,383 D $31.3086 18,669 (I) (30)(19)
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Common Stock 12/24/01 S 824 D $30.7893 18,669 (I) (29)(19)
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Common Stock 12/26/01 S 824 D $30.95 18,669 (I) (29)(19)
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Common Stock 12/05/01 J 15,558 A 15,558 (I) (32)(19)
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Common Stock 12/20/01 S 5,447 D $31.3084 15,558 (I) (32)(19)
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Common Stock 12/21/01 S 9,486 D $31.3086 15,558 (I) (32)(19)
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Common Stock 12/24/01 S 687 D $31.7893 15,558 (I) (32)(19)
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Common Stock 12/26/01 S 686 D $30.95 15,558 (I) (32)(19)
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Common Stock 12/05/01 J 46,833 D 46,224 (I) (2)(13)(16)
(18)(19)
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Common Stock 12/05/01 J 388,324 D 199,111 (I) (16)(18)(19)
(23)(27)
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Common Stock 12/05/01 J 30,775 A 30,775 (I) (36)(19)
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Common Stock 12/05/01 J 30,775 A 30,775 (I) (37)(16)(18)
(19)(27)
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Common Stock 12/05/01 J 57,828 D 57,076 (I) (3)(13)(16)
(18)(19)
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Common Stock 12/05/01 J 6 A 6 (I) (38)(13)(16)
(18)(19)
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Common Stock 12/05/01 J 68,754 D 67,861 (I) (4)(14)(16)
(18)(19)
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Common Stock 12/05/01 J 25,532 D 25,200 (I) (5)(14)(16)
(18)(19)
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Common Stock 12/05/01 J 19,014 D 18,767 (I) (7)(13)(16)
(18)(19)
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Common Stock 12/05/01 J 3,709 D 3,660 (I) (8)(13)(16)
(18)(19)
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Common Stock 12/05/01 J 5,283 D 5,215 (I) (9)(15)
(18)(19)
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Common Stock 12/05/01 J 2,183 A 2,183 (I) (42)(15)(18)
(19)
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Common Stock 12/05/01 J 132,514 D 130,793 (I) (18)(19)(21)
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Common Stock 12/05/01 J 6,246 A 6,246 (I) (43)(19)
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Common Stock 12/05/01 J 14,935 A 14,935 (I) (31)(19)
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Common Stock 12/20/01 S 5,228 D $31.3048 14,935 (I) (31)(19)
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Common Stock 12/21/01 S 9,106 D $31.3086 14,935 (I) (31)(19)
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Common Stock 12/24/01 S 659 D $30.7893 14,935 (I) (31)(19)
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Common Stock 12/26/01 S 660 D $30.95 14,935 (I) (31)(19)
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Common Stock 12/05/01 J 12,959 A 12,959 (I) (33)(13)(16)
(18)(19)
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Common Stock 12/05/01 J 123 A 123 (I) (34)(19)
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Common Stock 12/05/01 J 11,016 A 11,016 (I) (35)(13)(16)
(18)(19)
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Common Stock 12/05/01 J 1,549 A 1,549 (I) (39)(19)
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Common Stock 12/20/01 S 1,060 D $31.3048 1,549 (I) (39)(19)
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Common Stock 12/21/01 S 1,848 D $31.3086 1,549 (I) (39)(19)
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Common Stock 12/24/01 S 134 D $30.7893 1,549 (I) (39)(19)
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Common Stock 12/26/01 S 131 D $30.95 1,549 (I) (39)(19)
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Common Stock 12/05/01 J 1,952 A 1,952 (I) (40)(14)(16)
(18)(19)
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Common Stock 12/05/01 J 939 A 939 (I) (41)(14)(16)
(18)(19)
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Common Stock 711,921 (I) (6)(16)
(18)(19)
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Common Stock 846,491 (I) (11)(15)(18)
(19)
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Common Stock 967,888 (I) (12)(15)(18)
(19)
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Common Stock 24,131 (I) (18)(19)(22)
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Common Stock 127,864 (I) (16)(18)(19)
(24)
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Common Stock 1,342 (I) (18)(19)(20)
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Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
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 1474 (3-99)
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
================================================================================
10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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Warrant $5.19 Immed. 10/01/09 Common 26,247 3,455 (I) (11)(15)
Stock (18)(19)
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Warrant $5.19 Immed. 10/01/09 Common 184,166 24,242 (I) (16)(18)
Stock (19)(23)
(27)
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Warrant $5.19 Immed. 10/01/09 Common 17,495 2,303 (I) (16)(18)
Stock (19)(24)
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Explanation of Responses:
(J) Shares of Common Stock of Charles River Laboratories International, Inc.
par value .01 per share ("Common Stock") were distributed to the partners
of the partnership on a pro-rata basis.
(1) These securities are held directly by DLJ Merchant Banking Partners II,
L.P. ("Partners II"), which is a partnership.
(2) These securities are held directly by DLJ Merchant Banking Partners II-A,
L.P., ("Partners II-A"), which is a partnership.
(3) These securities are held directly by DLJ Offshore Partners II, C.V.
("Offshore Partners II"), which is a partnership.
(4) These securities are held directly by DLJ Diversified Partners, L.P.
("Diversified"), which is a partnership.
(5) These securities are held directly by DLJ Diversified Partners-A, L.P.
("Diversified-A"), which is a partnership.
(6) These securities are held directly by DLJMB Funding II, Inc. ("Funding
II"), which is a Delaware corporation.
(7) These securities are held directly by DLJ Millennium Partners, L.P.
("Millennium"), which is a partnership.
(8) These securities are held directly by DLJ Millennium Partners-A, L.P.
("Millennium-A"), which is a partnership.
(9) These securities are held directly by DLJ EAB Partners, L.P. ("EAB"),
which is a partnership.
(10) Intentionally omitted.
(11) These securities are held directly by DLJ ESC II, L.P. ("ESC II"), which
is a partnership.
(12) These securities are held directly by DLJ First ESC, L.P. ("ESC"), which
is a partnership.
(13) DLJ Merchant Banking II, Inc. ("MB II INC") is the Managing General
Partner of each of Partners II, Partners II-A, Millennium, and
Millennium-A and Advisory General Partner of Offshore Partners II. In
addition, DLJ Merchant Banking II, LLC ("MB II LLC") is the Associate
General Partner of each of Partners II, Partners II-A, Offshore Partners
II, Millennium, Millennium-A, and EAB. MB II INC is also the Managing
Member of MB II LLC.
(14) DLJ Diversified Partners, Inc. ("Diversified Partners") is the General
Partner of each of Diversified and Diversified-A. DLJ Diversified
Associates, L.P. ("Diversified Associates") is the Associate General
Partner of each of Diversified and Diversified-A. Diversified Partners is
also the General Partner of Diversified Associates.
(15) DLJ LBO Plans Management Corporation is the General Partner of
EAB, ESC and ESC II.
(16) Credit Suisse First Boston Private Equity, Inc. ("CSFBPE")is the sole
stockholder of each of MB II INC, Diversified Partners, Funding II, DLJ
Investment Funding, Inc. ("IP Funding") and DLJ Investment Partners, Inc.
(17) Intentionally omitted.
(18) Credit Suisse First Boston (USA) Inc. ("CSFB-USA"), a Delaware corporation
formerly named Donaldson, Lufkin & Jenrette, Inc., is the parent of each
of DLJCC, CSFBPE and DLJ LBO Plans Management Corporation.
(19) This Form 4 is being filed by Credit Suisse First Boston (the "Bank"), a
Swiss bank, on behalf of itself and its subsidiaries, to the extent that
they constitute part of the Credit Suisse First Boston business unit (the
"CSFB business unit" or the "Reporting Person"). The CSFB business unit is
engaged in the corporate and investment banking, trading (equity, fixed
income and foreign exchange), private equity investment and derivatives
businesses on a worldwide basis. The Bank and its subsidiaries engage in
other separately managed activities, most of which constitute the
independently operated Credit Suisse Asset Management business unit; the
Credit Suisse Asset Management business unit provides asset management and
investment advisory services to institutional investors worldwide.
Credit Suisse First Boston, Inc. ("CSFBI"), a Delaware corporation, owns
100% of the voting stock of CSFB-USA. The Bank owns a majority of the
voting stock, and all of the non-voting stock, of CSFBI. The ultimate
parent company of the Bank and CSFBI, and the direct owner of the
remainder of the voting stock of CSFBI, is Credit Suisse Group, a
corporation formed under the laws of Switzerland ("CSG").
The principal business of CSG is acting as a holding company for a global
financial services group with five distinct specialized business units
that are independently operated. In addition to the two business units
referred to above, CSG and its consolidated subsidiaries (other than the
Bank and its subsidiaries) are comprised of (a) the Credit Suisse Private
Bank business unit that engages in the global private banking business;
(b) the Credit Suisse business unit that engages in the Swiss domestic
banking business and (c) the Winterthur business unit that engages in the
global insurance business. CSG's business address is Paradeplatz 8,
Postfach 1, CH-8070, Zurich, Switzerland.
CSG, for purposes of federal securities laws, may be deemed ultimately to
control the Bank, and the CSFB business unit. CSG, its executive officers
and directors, and its direct and indirect subsidiaries (including all of
the business units except the CSFB business unit), may beneficially own
securities issued by the Issuer or derivative securities relating thereto,
and any such securities are not reported in this statement. Due to the
separate management and independent operation of its business units, CSG
disclaims beneficial ownership of any such securities beneficially owned
by its direct and indirect subsidiaries, including the Reporting Person.
The Reporting Person disclaims beneficial ownership of any such securities
beneficially owned by CSG and any of CSG's and the Bank's other business
units.
The Reporting Person disclaims beneficial ownership of securities held
directly by any entity described herein except with respect to the
Reporting Person's proportionate interest in or ownership of such entity.
The filing of this statement shall not be construed for purposes of
Section 16 of the Securities Exchange Act of 1934, as amended, as an
admission of beneficial ownership of the securities reported on this
statement.
(20) These securities are held directly by DLJ Capital Corporation ("DLJCC"),
which is a Delaware corporation.
(21) These securities are held directly by Sprout Capital VIII, L.P. ("Sprout
VIII"), which is a partnership. DLJCC is the Managing General partner of
Sprout VIII.
(22) These securities are held directly by Sprout Venture Capital, L.P.
("Sprout"), which is a partnership. DLJCC is the general partner of
Sprout.
(23) These securities are held directly by DLJ Investment Partners, L.P.
("DLJIP"), which is a partnership.
(24) These securities are held directly by DLJ Investment Funding, Inc., a
Delaware corporation.
(25) Intentionally omitted.
(26) Intentionally omitted.
(27) DLJ Investment Partners, Inc. is the general partner of DLJIP.
(28) These securities were held directly by CSFB Corporation.
(29) These securities are held directly by WSW 1996 Buyout Fund L.P., which is
a partnership, and itself a partner of Partners II.
(30) These securities are held directly by WSW 1996 Buyout Fund II L.P., which
is a partnership, and itself a partner of Partners II.
(31) These securities are held directly by WSW 1996 Exchange Fund L.P., which
is a partnership, and itself a partner of Partners II.
(32) These securities are held directly by WSW 1995 Exchange Fund L.P., which
is a partnership, and itself a partner of Partners II.
(33) These securities are held directly by MB II LLC.
(34) These securities are held directly by DLJ MB II, INC.
(35) These securities are held directly by MB II INC.
(36) These securities are held directly by DLJ Investment Associates, L.P.,
which is a partnership, and itself a partner of DLJIP.
(37) These securities are held directly by DLJ Investment Partners, Inc.
(38) These securities are held directly by DLJ Offshore Management N.V. (DLJ
Off Mgt NV), which is a partner of Offshore Partners II.
(39) These securities are held directly by DLJ Strategic Partners, L.P., which
is a partnership, and itself a partner of Diversified.
(40) These securities are held directly by Diversified Partners.
(41) These securities are held directly by Diversified Associates.
(42) These securities are held directly by DLJ LBO Plans Management Corp.
(43) These securities are held directly by DLJ Venture Capital Partners, a
partner of Sprout VIII.
Credit Suisse First Boston, acting solely on behalf of
the Credit Suisse First Boston business unit
/s/ Ivy Dodes 01/10/02
--------------------------------------------- ----------
By: Ivy Dodes, Director Date
**Signature of Reporting Person
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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 number.