-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WlEyyyNHUyVCuu5xo03JevdW0dlp/+wKK1iFnNc++Ibg623+NzYyLKnNPjD7Fanh +kPmu7BXDx9EIIxy/OF4kw== 0000922423-99-000269.txt : 19990217 0000922423-99-000269.hdr.sgml : 19990217 ACCESSION NUMBER: 0000922423-99-000269 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ATLANTIC PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001001316 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 363898269 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-51051 FILM NUMBER: 99541995 BUSINESS ADDRESS: STREET 1: 1017 MAIN CAMPUS DRIVE STREET 2: SUITE 3900 CITY: RALEIGH STATE: NC ZIP: 27606 BUSINESS PHONE: 9195137020 MAIL ADDRESS: STREET 1: 1017 MAIN CAMPUS DRIVE STREET 2: SUITE 3900 CITY: RALEIGH STATE: NC ZIP: 27605 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROSENWALD LINDSAY A MD CENTRAL INDEX KEY: 0000941841 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 375 PARK AVE STREET 2: SUITE 1501 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128324366 MAIL ADDRESS: STREET 1: 375 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10152 FORMER COMPANY: FORMER CONFORMED NAME: ROSENWALD LINDSAY MD DATE OF NAME CHANGE: 19950316 SC 13G/A 1 AMENDMENT NO. 2 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------------------------------------ SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* ------------------------------------------ Atlantic Pharmaceuticals, Inc. ----------------------------------------- Name of Issuer Common Stock, par value $.001 per share ------------------------------------------ (Title of Class of Securities) 048785109 ----------- CUSIP Number *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 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 the purpose 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 to Schedule 13G). 1 SCHEDULE 13G CUSIP No. 048785109 - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Lindsay A. Rosenwald, M.D. - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5) SOLE VOTING POWER 499,298 /1/ NUMBER ---------------------------------------------------------- OF 6) SHARED VOTING POWER SHARES BENEFICIALLY ---------------------------------------------------------- OWNED BY 7) SOLE DISPOSITIVE POWER EACH 499,298 /1/ REPORTING ---------------------------------------------------------- PERSON 8) SHARED DISPOSITIVE POWER WITH - -------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 499,298 /1/ - -------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] - -------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.8% - -------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- Item 1. - ------------------------- 1 Includes 344,508 shares of common stock of the Issuer and 154,410 shares of common stock issuable upon conversion of Series A Convertible Stock (the "Preferred Stock") underlying 47,202. Also includes 190 shares of common stock held by June Street Corporation and 190 shares of common stock held by Huntington Street Corporation. Dr. Rosenwald is the sole proprietor of each of June Street Corporation and Huntington Street Corporation. 2 (a) Name of Issuer: Atlantic Pharmaceuticals, Inc. (the "Company") (b) Address of Issuer's Principal Executive Offices: 1017 Main Campus Drive, Suite 3900 Raleigh, North Carolina, 27606 Item 2. (a) Name of Person Filing: Lindsay A. Rosenwald, M.D. ("Dr. Rosenwald") (b) Address of Principal Business Office or, if None, Residence: 787 Seventh Avenue, 48th Floor New York, N.Y. 10019 (c) Citizen: Dr. Rosenwald is a citizen of the United States. (d) Title of Class of Securities: Common Stock, $0.001 par value ("shares"). (e) CUSIP#: 048785109 Item 3. Not applicable. Item 4. Ownership: For information concerning the ownership of Common Stock of the Company by Dr. Rosenwald, see Items 5 through 9 and 11 of the cover page to this schedule 13G and footnotes thereto. Item 5. Ownership of Five Percent or Less of a Class: 3 Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person: Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported On By the Parent Holding Company: Not applicable. Item 8. Identification and Classification of Members of the Group: Not applicable. Item 9. Notice of Dissolution of Group: Not applicable. Item 10. Certification: Not applicable. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 12, 1999 New York, New York /s/ Lindsay A. Rosenwald, M.D. -------------------------------- Lindsay A. Rosenwald, M.D. 4 -----END PRIVACY-ENHANCED MESSAGE-----