UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who 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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KIMBERLIN KEVIN 535 MADISON AVENUE, 18TH FLOOR NEW YORK, NY 10022 |
 |  X |  |  |
/s/ Kevin B. Kimberlin | 06/20/2005 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Shares owned by Spencer Trask Specialty Group, LLC, a Delaware limited liability company ("STSG"), of which the Reporting Person is the principal owner and non-member manager. |
(2) | The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein. |
(3) | Shares owned by Stolle Milk Biologics, Inc., a Delaware corporaiton ("SMBI"). STSG is the controlling stockholder of SMBI. |
(4) | Shares owned by Kevin Kimberlin Partners, L.P., a Delaware limited partnership, of which the Reporting Person is the general partner. |
(5) | Shares owned by Spencer Trask Private Equity Fund I, L.P., a Delaware limited partnership ("Fund I"). The general partner of Fund I is Trask Partners LLC, a Delaware limited liability company, that is wholly owned by Spencer Trask & Co., Inc., a Delaware corporation of which the Reporting Person is the sole stockholder and chairman. |
(6) | Shares owned by Spencer Trask Private Equity Fund II, L.P., a Delware limited partnership ("Fund II"). Trask Partners LLC is the general partner of the Fund II. |