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FORM 3 OMB APPROVAL
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OMB Number: 3235-0104
Expires: January 31, 2005
Estimated average burden
hours per response 0.5
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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
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(Print or Type Responses)
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1. Name and Address of Reporting Person*
Ardsley Advisory Partners
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(Last) (First) (Middle)
262 Harbor Drive
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(Street)
Stamford CT 06902
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(City) (State) (Zip)
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2. Date of Event Requiring Statement (Month/Day/Year)
12/13/02
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3. IRS Identification Number of Reporting Person, if an entity (Voluntary)
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4. Issuer Name and Ticker or Trading Symbol
OM Group, Inc. (OMG)
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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)(1)
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6. If Amendment, Date of Original (Month/Day/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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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)
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OM Group, Inc. Common
Stock, $0.01 par value
per share ("Common Stock") 3,050,000 I(1) (1)
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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)
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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)
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Title Amount or
Number of
Shares
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Explanation of Responses:
(1) The shares of Common Stock to which this note relates are held directly by
Ardsley Offshore Fund Ltd., a British Virgin Islands corporation ("Ardsley
Offshore"), as to 775,000 shares; Ardsley Partners Fund II, L.P., a Delaware
limited partnership ("Ardsley Fund II"), as to 725,000 shares; Ardsley Partners
Fund I, L.P., a Delaware limited partnership ("Ardsley Fund I"), as to 425,000
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, the managing partner of Ardsley Advisory Partners and the
general partner of Ardsley Partners I as to 250,000 shares. Ardsley Advisory
Partners serves as investment manager to, and has investment discretion over the
securities held by Ardsley Offshore. 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, Ardsley Fund I and
Ardsley Institutional. Ardsley Partners I also serves as the general partner of
Ardsley Advisory Partners. 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).
ARDSLEY ADVISORY PARTNERS
/s/ Philip J. Hempleman 12/16/02
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Name: Philip J. Hempleman Date
Title: Managing Partner
**Signature of Reporting Person
Note: File three copies of this form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.
(Print or Type Responses)
Joint Filer Information
Name: Ardsley Offshore Fund Ltd.
Address: Romasaco Place, Wickhams Cay I, Roadtown Tortola,
British Virgin Islands
Designated Filer: Ardsley Advisory Partners
Issuer & Ticker Symbol: OM Group, Inc.(OMG)
Date of Event Requiring Statement: 12/13/02
Signature: Ardsley Offshore Fund, Ltd.
By: Neil Glass, its vice president and administrative manager
By: /s/ Neil Glass
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Name: Neil Glass
Title: Vice President and Administrative Manager
Name: Ardsley Partners Fund II, L.P.
Address: 262 Harbor Drive, Stamford, Connecticut 06902
Designated Filer: Ardsley Advisory Partners
Issuer & Ticker Symbol: OM Group, Inc.(OMG)
Date of Event Requiring Statement: 12/13/02
Signature: Ardsley Partners Fund II, L.P.
By: Ardsley Partners I, its general partner
By: /s/ Philip J. Hempleman
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Name: Philip J. Hempleman
Title: Managing Partner
Name: Ardsley Partners Fund I, L.P.
Address: 262 Harbor Drive, Stamford, Connecticut 06902
Designated Filer: Ardsley Advisory Partners
Issuer & Ticker Symbol: OM Group, Inc.(OMG)
Date of Event Requiring Statement: 12/13/02
Signature: Ardsley Partners Fund I, L.P.
By: Ardsley Partners I, its general partner
By: /s/ Philip J. Hempleman
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Name: Philip J. Hempleman
Title: Managing Partner
Name: Ardsley Partners Institutional Fund, L.P.
Address: 262 Harbor Drive, Stamford, Connecticut 06902
Designated Filer: Ardsley Advisory Partners
Issuer & Ticker Symbol: OM Group, Inc.(OMG)
Date of Event Requiring Statement: 12/13/02
Signature: Ardsley Partners Institutional Fund, L.P.
By: Ardsley Partners I, its general partner
By: /s/ Philip J. Hempleman
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Name: Philip J. Hempleman
Title: Managing Partner
Name: Augusta Partners L.P.
Address: 622 Third Avenue, New York, New York 10017
Designated Filer: Ardsley Advisory Partners
Issuer & Ticker Symbol: OM Group, Inc.(OMG)
Date of Event Requiring Statement: 12/13/02
Signature: Augusta Partners L.P.
By: Howard Singer, its general partner
By: /s/ Howard Singer
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Name: Howard Singer
Title: General Partner
Name: Ardsley Partners I
Address: 262 Harbor Drive, Stamford, Connecticut 06902
Designated Filer: Ardsley Advisory Partners
Issuer & Ticker Symbol: OM Group, Inc.(OMG)
Date of Event Requiring Statement: 12/13/02
Signature: Ardsley Partners I
By: /s/ Philip J. Hempleman
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Name: Philip J. Hempleman
Title: Managing Partner
Name: Philip J. Hempleman
Address: c/o Ardsley Advisory Partners 262 Harbor Drive,
Stamford, Connecticut 06902
Designated Filer: Ardsley Advisory Partners
Issuer & Ticker Symbol: OM Group, Inc.(OMG)
Date of Event Requiring Statement: 12/13/02
Signature: /s/ Philip J. Hempleman
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Name: Philip J. Hempleman