-------- -----------------------------
FORM 3 OMB APPROVAL
-------- -----------------------------
OMB Number: 3235-0104
Expires: January 31, 2005
Estimated average burden
hours per response 0.5
-----------------------------
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
-----------------------------------------------------------------------------
(Print or Type Responses)
-----------------------------------------------------------------------------
1. Name and Address of Reporting Person*
Marion Lynton
-----------------------------------------------------------------------------
(Last) (First) (Middle)
961 Senimore Road
-----------------------------------------------------------------------------
(Street)
Larchmont NY 10538
-----------------------------------------------------------------------------
(City) (State) (Zip)
-----------------------------------------------------------------------------
2. Date of Event Requiring Statement (Month/Day/Year)
01/07/03
-----------------------------------------------------------------------------
3. IRS Identification Number of Reporting Person, if an entity (Voluntary)
-----------------------------------------------------------------------------
4. Issuer Name and Ticker or Trading Symbol
OM Group, Inc. (OMG)
-----------------------------------------------------------------------------
5. Relationship of Reporting Person to Issuer (Check all applicable)
[ ] Director
[ ] 10% Owner
[ ] Officer (give title Below)
[ x ] Other (Specify below)(1)
Member of a group that is a 10% owner. See Table I item 4 note (1).
-----------------------------------------------------------------------------
6. If Amendment, Date of Original (Month/Day/Year)
-----------------------------------------------------------------------------
7. Individual or Joint/Group Filing (Check applicable line)
[ x ] Form filed by One Reporting Person
[ ] Form filed by More than One Reporting Person
-----------------------------------------------------------------------------
Table I--Non-Derivative Securities Beneficially Owned
------------------------------------------------------------------------------------------------
1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect
(Instr. 4) Beneficially Owned Form: Direct (D) Beneficial Ownership
(Instr. 4) or Indirect (I) (Instr. 4)
(Instr. 5)
-------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------
OM Group, Inc. Common
Stock, $0.01 par value
per share ("Common Stock") 3,150,000 I(1) (1)
------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned
directly or indirectly. (Over)
(Print or Type Responses)
FORM 3 (continued)
Table II--Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
---------------------------------------------------------------------------------------------------------------------------------
1. Title of Derivative 2. Date Exercisable 3. Title and Amount 4. Conversion 5. Ownership Form 6. Nature of
Security and Expiration Date of Securities or Exercise of Derivative Indirect
(Instr. 4) Month/Day/Year Underlying Price of Security: Direct Beneficial
------------------------ Derivative Derivative (D) or Indirect (I) Ownership
Date Expiration Security Security (Instr. 5) (Instr. 5)
Exercisable Date (Instr. 4)
--------------------
Title Amount or
Number of
Shares
---------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses:
(1) The shares of Common Stock to which this note relates are held directly by
Marion Lynton ("Lynton") as to 50,000 shares; Ardsley Offshore Fund Ltd., a
British Virgin Islands corporation ("Ardsley Offshore"), as to 975,000 shares;
Ardsley Partners Fund II, L.P., a Delaware limited partnership ("Ardsley Fund
II"), as to 900,000 shares; Ardsley Partners Institutional Fund, L.P., a
Delaware limited partnership, ("Ardsley Institutional"), as to 425,000 shares;
Augusta Partners L.P. a Delaware limited partnership ("Augusta"), as to 450,000
shares; and Philip J. Hempleman as to 350,000 shares. Ardsley Advisory Partners
serves as investment manager to, and has investment discretion over the
securities held by Ardsley Offshore and the Lynton account. Ardsley Advisory
Partners also serves as a non-managing member of Augusta Management L.L.C., the
investment advisor to Augusta and has investment discretion over the securities
held by Augusta. Ardsley Partners I serves as the general partner of, and has
investment discretion over the securities held by Ardsley Fund II and Ardsley
Institutional. Ardsley Partners I also serves as the general partner of Ardsley
Advisory Partners. Philip J. Hempleman, is the managing partner of Ardsley
Advisory Partners and the general partner of Ardsley Partners I. Ardsley
Advisory Partners and Ardsley Partners I each disclaim any beneficial ownership
of any of the Issuer's securities to which this Form 3 relates for the purposes
of Section 16 of the Securities Exchange Act of 1934, as amended, except as to
such securities representing in which each such person may be deemed to have an
indirect pecuniary interest pursuant to Rule 16a-1(a)(2).
*If the Form is filed by more than one Reporting Person, see instruction
5(b)(v).
**Intentional misstatements or omissions of facts constitute Federal
Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
MARION LYNTON
/s/ Marion Lynton 01/17/03
--------------------------------- --------
Name: Marion Lynton Date
Note: File three copies of this form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.