-----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, SpctaRyQdSVL3ucVXT35wD20BOVRy60wI2ZmYO/FirNSolVKi5tBnBc0BQ+QginG od3uBTPWnjgw0N2uATfHWQ== 0000912057-01-513953.txt : 20010510 0000912057-01-513953.hdr.sgml : 20010510 ACCESSION NUMBER: 0000912057-01-513953 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010509 GROUP MEMBERS: VERTICAL FUND ASSOCIATES L P GROUP MEMBERS: VERTICAL LIFE SCIENCES, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RITA MEDICAL SYSTEMS INC CENTRAL INDEX KEY: 0001056421 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 943199149 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60199 FILM NUMBER: 1626630 BUSINESS ADDRESS: STREET 1: 967 N SHORELINE BLVD CITY: MOUNTAIN VIEW STATE: CA ZIP: 94013 BUSINESS PHONE: 6503858500 MAIL ADDRESS: STREET 1: 967 NORTH SHORELINE BLVD CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: VERTICAL FUND ASSOCIATES L P CENTRAL INDEX KEY: 0001014478 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 18 BANK STREET CITY: SUMMIT STATE: NJ ZIP: 07901 BUSINESS PHONE: 9082773737 MAIL ADDRESS: STREET 1: 18 BANK STREET CITY: SUMMIT STATE: NJ ZIP: 07901 SC 13G 1 a2048623zsc13g.txt SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(b) (AMENDMENT NO. __) RITA MEDICAL SYSTEMS, INC. ------------------------------------ (Name of Issuer) Common Stock ------------------------------------ (Title of Class of Securities) 76774E103 -------------------------------- (CUSIP Number) May 2, 2001 ---------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed. [ ] Rule 13d-1 (b) [X] Rule 13d-1 (c) [ ] Rule 13d-1 (d) 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 the purpose of Section 18 of the Securities Exchange Act of 1934 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. 76774E103 13G PAGE 2 OF 7 PAGES 1. Names of Reporting Persons. I.R.S. Identification No. of Above Persons (entities only) Vertical Fund Associates, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group * (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person with - -------------------------------------------------------------------------------- 5. Sole Voting Power 457,000 - -------------------------------------------------------------------------------- 6. Shared Voting Power 0 - -------------------------------------------------------------------------------- 7. Sole Dispositive Power 457,000 - -------------------------------------------------------------------------------- 8. Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 457,000 - -------------------------------------------------------------------------------- 10. Check box if the Aggregate Amount in Row (9) Excludes Certain Shares* [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 3.2% - -------------------------------------------------------------------------------- 12. Type of Reporting Person* PN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILING OUT. CUSIP NO. 76774E103 13G PAGE 3 OF 7 PAGES 1. Names of Reporting Persons. I.R.S. Identification No. of Above Persons (entities only) Vertical Life Sciences, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group * (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person with - -------------------------------------------------------------------------------- 5. Sole Voting Power 301,600 - -------------------------------------------------------------------------------- 6. Shared Voting Power 0 - -------------------------------------------------------------------------------- 7. Sole Dispositive Power 301,600 - -------------------------------------------------------------------------------- 8. Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 301,600 - -------------------------------------------------------------------------------- 10. Check box if the Aggregate Amount in Row (9) Excludes Certain Shares* [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 2.1% - -------------------------------------------------------------------------------- 12. Type of Reporting Person* PN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILING OUT. ITEM 1(a). NAME OF ISSUER: Rita Medical Systems, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 967 North Shoreline Boulevard Mountain View, California 95035 ITEM 2(a). NAME OF PERSON FILING: Vertical Fund Associates, L.P. ("VFA") and Vertical Life Sciences, L.P. ("VLS") (together, the "Partnerships") ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: Each of the Partnerships has a principal business address at 25 DeForest Avenue, Summit, New Jersey 07901. ITEM 2(c). CITIZENSHIP: Each of the Partnerships is a Delaware limited partnership. ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(e). CUSIP NUMBER: 76774E103 -4- 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 Exchange Act. (b) [ ] Bank as defined in Section 3(a) (6) of the Exchange Act. (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act. (e) [ ] An investment adviser in accordance with Rule 13d-1(b) (1) (ii) (E). (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b) (1) (ii) (F). (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act. (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). None of the above. The statement is filed pursuant to Rule 13d-1(c). -5- ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: 758,600 shares of Common Stock (b) Percent of Class: 5.3% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 758,600 (ii) shared power to vote or to direct vote: 0 (iii) sole power to dispose or to direct the disposition of: 758,600 (iv) shared power to dispose or to direct the disposition of: 0 The foregoing amounts of shares and percentage represent the combined holdings of the two Partnerships. Of such amounts, 457,000 shares (3.2% of the total outstanding) are beneficially owned by VFA and 301,600 shares (2.1% of the total outstanding) are beneficially owned by VLS. The Partnerships are filing this statement jointly to reflect their combined ownership because the sole general partner of each Partnership is The Vertical Group, L.P., a Delaware limited partnership, and the Partnerships may be deemed to constitute a "group" as such term is used in Section 13(d)(3) of the Securities Exchange Act of 1934, as amended. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. 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. -6- ITEM 10. 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. 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: May 9, 2001 VERTICAL FUND ASSOCIATES, L.P. By: THE VERTICAL GROUP, L.P. General Partner By: /s/ John E. Runnells --------------------------------- John E. Runnells General Partner. VERTICAL LIFE SCIENCES, L.P. By: THE VERTICAL GROUP, L.P. General Partner By: /s/ John E. Runnells --------------------------------- John E. Runnells General Partner. -7- -----END PRIVACY-ENHANCED MESSAGE-----