SECURITIES & EXCHANGE COMMISSION
Washington, D.C. 20549
----------------------
SCHEDULE 13G*
Amendment No. 3
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b) and (c)
OM Group, Inc.
(Name of Issuer)
Class A Common Stock
(Title of Class of Securities)
67087210
(CUSIP Number)
December 31, 2003
(Date of event which requires filing of this statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule 13G is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
(Page 1 of 18 Pages)
----------------
*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 purposes 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).
CUSIP No. 67087210 13G/A Page 2 of 18 Pages
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(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO.
OF ABOVE PERSONS (ENTITIES ONLY)
Ardsley Advisory Partners
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP **
(a) [x]
(b) [ ]
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Connecticut
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NUMBER OF (5) SOLE VOTING POWER
-0-
SHARES _________________________________________________________
BENEFICIALLY (6) SHARED VOTING POWER
650,000
OWNED BY _________________________________________________________
EACH (7) SOLE DISPOSITIVE POWER
-0-
REPORTING _________________________________________________________
PERSON WITH (8) SHARED DISPOSITIVE POWER
650,000
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
650,000
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(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ]
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(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
2.3%
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(12) TYPE OF REPORTING PERSON **
IA
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** SEE INSTRUCTIONS BEFORE FILLING OUT!
CUSIP No. 67087210 13G/A Page 3 of 18 Pages
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(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO.
OF ABOVE PERSONS (ENTITIES ONLY)
Ardsley Partners I
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP **
(a) [x]
(b) [ ]
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Connecticut
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NUMBER OF (5) SOLE VOTING POWER
-0-
SHARES _________________________________________________________
BENEFICIALLY (6) SHARED VOTING POWER
650,000
OWNED BY _________________________________________________________
EACH (7) SOLE DISPOSITIVE POWER
-0-
REPORTING _________________________________________________________
PERSON WITH (8) SHARED DISPOSITIVE POWER
650,000
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
650,000
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(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ]
-----------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
2.3%
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(12) TYPE OF REPORTING PERSON **
PN
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** SEE INSTRUCTIONS BEFORE FILLING OUT!
CUSIP No. 67087210 13G/A Page 4 of 18 Pages
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(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO.
OF ABOVE PERSONS (ENTITIES ONLY)
Philip J. Hempleman
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP **
(a) [x]
(b) [ ]
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF (5) SOLE VOTING POWER
-0-
SHARES _________________________________________________________
BENEFICIALLY (6) SHARED VOTING POWER
650,000
OWNED BY _________________________________________________________
EACH (7) SOLE DISPOSITIVE POWER
-0-
REPORTING _________________________________________________________
PERSON WITH (8) SHARED DISPOSITIVE POWER
650,000
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
650,000
-----------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ]
-----------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.3%
-----------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON **
IN
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** SEE INSTRUCTIONS BEFORE FILLING OUT!
CUSIP No. 67087210 13G/A Page 5 of 18 Pages
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(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO.
OF ABOVE PERSONS (ENTITIES ONLY)
Ardsley Partners Fund II, L.P.
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP **
(a) [x]
(b) [ ]
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF (5) SOLE VOTING POWER
-0-
SHARES _________________________________________________________
BENEFICIALLY (6) SHARED VOTING POWER
210,000
OWNED BY _________________________________________________________
EACH (7) SOLE DISPOSITIVE POWER
-0-
REPORTING _________________________________________________________
PERSON WITH (8) SHARED DISPOSITIVE POWER
210,000
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
210,000
-----------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ]
-----------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
0.7%
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(12) TYPE OF REPORTING PERSON **
PN
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** SEE INSTRUCTIONS BEFORE FILLING OUT!
CUSIP No. 67087210 13G/A Page 6 of 18 Pages
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(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO.
OF ABOVE PERSONS (ENTITIES ONLY)
Ardsley Partners Institutional Fund, L.P.
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP **
(a) [x]
(b) [ ]
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF (5) SOLE VOTING POWER
97,500
SHARES _________________________________________________________
BENEFICIALLY (6) SHARED VOTING POWER
-0-
OWNED BY _________________________________________________________
EACH (7) SOLE DISPOSITIVE POWER
97,500
REPORTING _________________________________________________________
PERSON WITH (8) SHARED DISPOSITIVE POWER
-0-
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
97,500
-----------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ]
-----------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
0.3%
-----------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON **
PN
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** SEE INSTRUCTIONS BEFORE FILLING OUT!
CUSIP No. 67087210 13G/A Page 7 of 18 Pages
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(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO.
OF ABOVE PERSONS (ENTITIES ONLY)
Advantage Advisers Augusta Fund, L.L.C.
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP **
(a) [x]
(b) [ ]
-----------------------------------------------------------------------
(3) SEC USE ONLY
-----------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
-----------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER
-0-
SHARES _________________________________________________________
BENEFICIALLY (6) SHARED VOTING POWER
82,500
OWNED BY _________________________________________________________
EACH (7) SOLE DISPOSITIVE POWER
-0-
REPORTING _________________________________________________________
PERSON WITH (8) SHARED DISPOSITIVE POWER
82,500
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
82,500
-----------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ]
-----------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
0.3%
-----------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON **
PN
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** SEE INSTRUCTIONS BEFORE FILLING OUT!
CUSIP No. 67087210 13G/A Page 8 of 18 Pages
The Schedule 13G/A filed on February 3, 2003 is hereby amended and
restated by this Amendment No. 3 to the Schedule 13G/A.
Item 1(a). Name of Issuer:
The name of the issuer is OM Group, Inc. (the "Company").
Item 1(b). Address of Issuer's Principal Executive Offices:
The Company's principal executive offices are located at Tower City
50 Public Square Suite 3500, Cleveland, Ohio, 44113-2204.
Item 2(a). Name of Person Filing:
This statement is filed by:
(i) Ardsley Partners Fund II, L.P., a Delaware limited
partnership, ("Ardsley Fund II"), with respect to the shares
of Common Stock directly owned by it;
(ii) Ardsley Partners Institutional Fund, L.P., a Delaware limited
partnership, ("Ardsley Institutional"), with respect to the shares
of Common Stock directly owned by it;
(iii) Advantage Advisers Augusta Fund, L.L.C., a Delaware limited
liability fund ("Augusta Fund") with respect to the shares of
Common Stock directly owned by it;
(iv) Ardsley Advisory Partners, a Connecticut general partnership,
("Ardsley"), which serves as Investment Manager to Ardsley
Offshore Fund Ltd.("Offshore Fund"), Investment Adviser to Ardsley
Fund II, Ardsley Institutional, a managed account
(the "Managed Account") and provides investment advisory services
as non managing member of the investment adviser of Augusta Fund,
with respect to the shares of Common Stock owned by Ardsley
Offshore, Ardsley Fund II, Ardsley Institutional, Augusta Fund
and the Managed Account;
(v) Ardsley Partners I, a Connecticut general partnership
("Ardsley Fund"), the General Partner of Ardsley, with respect
to the shares of Common Stock owned by Ardsley, Ardsley Offshore,
Ardsley Fund II, Ardsley Institutional, Augusta Fund and the
Managed Account;
(vi) Philip J. Hempleman, the managing partner of Ardsley,("Mr.
Hempleman"), with respect to the shares of Common Stock owned by
Ardsley, Ardsley Offshore, Ardsley Fund II, Ardsley Institutional,
Augusta Fund and the Managed Account.
The foregoing persons are hereinafter sometimes collectively
referred to as the "Reporting Persons". Any disclosures herein with
respect to persons other than the Reporting Persons are made on
information and belief after making inquiry to the appropriate party.
CUSIP No. 67087210 13G/A Page 9 of 18 Pages
Item 2(b). Address of Principal Business Office or, if None,
Residence:
The address of the business office of each of the Reporting Persons,
with the exception of Augusta Fund, is 262 Harbor Drive, Stamford
Connecticut 06902.
The address of the business office of Augusta Fund is 200 Park
Avenue, New York, New York 10166.
Item 2(c). Citizenship:
Ardsley Advisory Partners and Ardsley Partners I are Connecticut general
partnerships. Ardsley Partners Fund II, L.P., Ardsley Partners Institutional
Fund, L.P. and Augusta Partners L.P. are Delaware limited partnerships. Mr.
Hempleman is a United States citizen.
Item 2(d). Title of Class of Securities:
OM Group, Inc. Class A Common Stock, $0.01 par value (the "Common Stock")
Item 2(e). CUSIP Number:
67087210
Item 3. If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or
(c), check whether the person filing is a:
(a) [ ] Broker or dealer registered under Section 15 of the
Act,
(b) [ ] Bank as defined in Section 3(a)(6) of the Act,
(c) [ ] Insurance Company as defined in Section 3(a)(19) of
the Act,
(d) [ ] Investment Company registered under Section 8 of
the Investment Company Act of 1940,
(e) [ ] Investment Adviser in accordance with Rule
13d-1 (b)(1)(ii)(E),
(f) [ ] Employee Benefit Plan or Endowment Fund in
accordance with 13d-1 (b)(1)(ii)(F),
(g) [ ] Parent Holding Company or control person in accordance
with Rule 13d-1 (b)(1)(ii)(G),
CUSIP No. 67087210 13G/A Page 10 of 18 Pages
(h) [ ] Savings Association as defined in Section 3(b) of
the Federal Deposit Insurance Act,
(i) [ ] Church Plan that is excluded from the definition of
an investment company under Section 3(c)(14) of the
Investment Company Act of 1940,
(j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
If this statement is filed pursuant to Rule 13d-1(c), check the box. [X]
Item 4. Ownership.
A. Ardsley Advisory Partners
(a) Amount beneficially owned: 650,000
(b) Percent of class: 2.3% The percentages used herein and in
the rest of Item 4 are calculated based upon the
28,354,804 shares of Common Stock issued and outstanding
as of September 30, 2003 as reported in the Company's
Form 10-Q for the period ending September 30, 2003.
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 650,000
(iii) Sole power to dispose or direct the disposition:-0-
(iv) Shared power to dispose or direct the disposition:
650,000
B. Ardsley Partners I, L.P.
(a) Amount beneficially owned: 650,000
(b) Percent of class: 2.3%
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 650,000
(iii) Sole power to dispose or direct the disposition: 0-
(iv) Shared power to dispose or direct the disposition:
650,000
C. Philip J. Hempleman
(a) Amount beneficially owned: 650,000
(b) Percent of class: 2.3%
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 650,000
(iii) Sole power to dispose or direct the disposition: 0-
(iv) Shared power to dispose or direct the disposition:
650,000
E. Ardsley Partners Fund II, L.P.
(a) Amount beneficially owned: 210,000
(b) Percent of class: 0.7 %
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 210,000
(iii) Sole power to dispose or direct the disposition: 0-
(iv) Shared power to dispose or direct the disposition:
210,000
CUSIP No. 67087210 13G/A Page 11 of 18 Pages
F. Ardsley Partners Institutional Fund, L.P.
(a) Amount beneficially owned: 97,500
(b) Percent of class: 0.3 %
(c) (i) Sole power to vote or direct the vote: 97,500
(ii) Shared power to vote or direct the vote: 0
(iii) Sole power to dispose or direct the disposition: 0-
(iv) Shared power to dispose or direct the disposition:
97,500
G. Advantage Advisers Augusta Fund, L.L.C.
(a) Amount beneficially owned: 82,500
(b) Percent of class: 0.3%
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 82,500
(iii) Sole power to dispose or direct the disposition: 0-
(iv) Shared power to dispose or direct the disposition:
82,500
Item 5. 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 OR MORE THAN FIVE PERCENT OF THE CLASS OF SECURITIES, CHECK
THE FOLLOWING [ x ]
Not applicable.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Ardsley Advisory Partners, the Investment Manager of Ardsley Offshore Fund
Ltd. and the Investment Adviser of Ardsley Partners Fund II, L.P. and Ardsley
Partners Institutional Fund, L.P., has the power to direct the affairs of each
fund, including decisions respecting the disposition of the proceeds from the
sale of shares. Ardsley Partners I is the General Partner of Ardsley Advisory
Partners and as such, together with Mr. Hempleman, the Managing Partner of
Ardsley Advisory Partners, directs its operations. Ardsley Advisory Partners is
also a non-managing member of Augusta Management L.L.C., the Investment Adviser
of Advantage Advisers Augusta Fund, L.L.C. and in this capacity, shares in the
power to direct the disposition of the shares.
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on by the Parent Holding Company.
Not applicable.
CUSIP No. 67087210 13G/A Page 12 of 18 Pages
Item 8. Identification and Classification of Members of the Group.
See Item 2.
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification.
Each of the Reporting Persons hereby makes the following certification:
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not held for
the purpose of or with the effect of changing or influencing the control of the
issuer of the securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose or effect.
CUSIP No. 67087210 13G/A Page 13 of 18 Pages
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief, the
undersigned certify that the information set forth in this statement is true,
complete and correct.
DATED: February 17, 2003
Ardsley Partners Fund II, L.P.
By: Ardsley Partners I
General Partner
By: /s/ Steven Napoli
--------------------------------------
Steven Napoli
Authorized Signatory
Ardsley Partners Institutional Fund, L.P.
By: Ardsley Partners I
General Partner
By: /s/ Steven Napoli
--------------------------------------
Steven Napoli
Authorized Signatory
Advantage Advisers Augusta Fund, L.L.C.
By: Marshall Dornfeld
Authorized Signatory
By: /s/ Marshall Dornfeld
--------------------------------------
Marshall Dornfeld
Authorized Signatory
CUSIP No. 67087210 13G/A Page 14 of 18 Pages
Ardsley Advisory Partners
By: Ardsley Partners I
General Partner
By: /s/ Steven Napoli
--------------------------------------
Steven Napoli
Authorized Signatory
By: Ardsley Partners I
General Partner
By: /s/ Steven Napoli
--------------------------------------
Steven Napoli
Authorized Signatory
Philip J. Hempleman, individually
By: /s/ Steven Napoli
--------------------------------------
Authorized Signatory
CUSIP No. 67087210 13G/A Page 15 of 18 Pages
EXHIBIT 1
---------
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)(1)
The undersigned acknowledges and agrees that the foregoing statement on
Schedule 13G/A is filed on behalf of each of the undersigned and that all
subsequent amendments to this statement on Schedule 13G/A shall be filed on
behalf of each of the undersigned without the necessity of filing additional
joint filing statements. The undersigned acknowledges that each shall be
responsible for the timely filing of such amendments, and for the completeness
and accuracy of the information concerning him, her or it contained herein, but
shall not be responsible for the completeness and accuracy of the information
concerning the other entities or persons, except to the extent that he, she or
it knows or has reason to believe that such information is inaccurate.
Dated as of February 17, 2004
Ardsley Partners Fund II, L.P.
By: Ardsley Partners I
General Partner
By: /s/ Steven Napoli
--------------------------------------
Steven Napoli
Authorized Signatory
Ardsley Partners Institutional Fund, L.P.
By: Ardsley Partners I
General Partner
By: /s/ Steven Napoli
--------------------------------------
Steven Napoli
Authorized Signatory
Advantage Advisers Augusta Fund, L.L.C.
By: Marshall Dornfeld
Authorized Signatory
By: /s/ Marshall Dornfeld
--------------------------------------
Marshall Dornfeld
Authorized Signatory
CUSIP No. 67087210 13G/A Page 16 of 18 Pages
Ardsley Advisory Partners
By: Ardsley Partners I
General Partner
By: /s/ Steven Napoli
--------------------------------------
Steven Napoli
Authorized Signatory
Ardsley Partners I
By: Philip J. Hempleman
General Partner
By: /s/ Steven Napoli
--------------------------------------
Steven Napoli
Authorized Signatory
Philip J. Hempleman, individually
By: /s/ Steven Napoli
--------------------------------------
Authorized Signatory
CUSIP No. 67087210 13G/A Page 17 of 18 Pages
Exhibit 2
POWER OF ATTORNEY
State of Connecticut )
) SS.
County of Fairfield )
KNOW ALL PERSONS BY THESE PRESENTS, that Philip J. Hempleman, an
individual residing at 2 Dublin Hill Drive, Greenwich, CT 06831, does hereby
nominate, constitute and appoint Steven N. Napoli, his true and lawful
attorney-in-fact, for him, in his name, place and stead, in the sole discretion
of any such attorney-in-fact, to prepare, or cause the preparation by other
appropriate persons of, and to execute and deliver on behalf of him, in
connection with the securities of OM Group, Inc., any Section 13 filing of any
form under the Securities Exchange Act of 1934, as amended, and to file the
same, with all other documents in connection therewith, in each case, with the
Securities and Exchange Commission, and generally do all such things in his name
and on his behalf in connection therewith consistent with the provisions of the
Securities Exchange Act of 1934, as amended, and all requirements of the
Securities and Exchange Commission, and to take any and all other action, as any
such attorney-in-fact may deem necessary or desirable in connection therewith.
Philip J. Hempleman hereby ratifies and confirms the execution,
delivery and performance (whether before or after the date hereof) of the
above-mentioned instruments or other documents by the attorney-in-fact and all
that the attorney-in-fact shall lawfully do or cause to be done by virtue
hereof.
Philip J. Hempleman hereby agrees that no person or other entity
dealing with the attorney-in-fact shall be bound to inquire into such
attorney-in-fact's power and authority hereunder and any such person or entity
shall be fully protected in relying on such power of authority.
This Power of Attorney shall be governed and construed in accordance
with the laws of the State of Connecticut without reference to principles of
conflicts of law.
Executed as of this 17 day of February, 2004.
/s/ Philip J. Hempleman
-----------------------------
Philip J. Hempleman
CUSIP No. 67087210 13G/A Page 18 of 18 Pages
CERTIFICATE OF ACKNOWLEDGMENT OF
NOTARY PUBLIC
State of Connecticut )
) SS. Stanford
County of Fairfield )
On February 17, 2004 before me, Tedessa Bonanno
-- -------------------------------------
[INSERT DATE] [HERE INSERT NAME AND TITLE OF NOTARY]
personally appeared: Philip J. Hempleman
o personally known to me, or
o proved to me on the basis of satisfactory evidence to be the person
whose name is
subscribed to the within instrument and acknowledged to me that he executed the
same in his authorized capacity, and that by his signature on the instrument the
person, or the entity upon behalf of which person acted, executed the
instrument.
WITNESS my hand and official seal.
Signature /s/ Tedessa Bonanno [SEAL]
-----------------------
TEDESSA BONANNO
NOTARY PUBLIC
MY COMMISSION EXPIRES MARCH 31, 2004