-----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, NM7jmL3n6Ipt2wwCr3QBxZDqIwPYqzoUij1NB0lqG328hAXW63lJ/3tSh+Lgto/B I0kWIhNzSdTFjW1vkkv/kw== 0000902664-04-001084.txt : 20040719 0000902664-04-001084.hdr.sgml : 20040719 20040719160645 ACCESSION NUMBER: 0000902664-04-001084 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040719 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DOV PHARMACEUTICAL INC CENTRAL INDEX KEY: 0001066833 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 223374365 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78237 FILM NUMBER: 04920188 BUSINESS ADDRESS: STREET 1: 433 HACKENSACK AVENUE CITY: HACKENSACK STATE: NJ ZIP: 07601 BUSINESS PHONE: 2019680980 MAIL ADDRESS: STREET 1: 433 HACKENSACK AVENUE CITY: HACKENSACK STATE: NJ ZIP: 07601 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Kings Road Investments Ltd. CENTRAL INDEX KEY: 0001297581 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O POLYGON INVESTMENT PARTNERS LLP STREET 2: 10 DUKE OF YORK SQUARE CITY: LONDON STATE: X0 ZIP: SW3 4LY BUSINESS PHONE: 011-44-207-901-8300 MAIL ADDRESS: STREET 1: C/O POLYGON INVESTMENT PARTNERS LLP STREET 2: 10 DUKE OF YORK SQUARE CITY: LONDON STATE: X0 ZIP: SW3 4LY SC 13G 1 srz9687404v2.txt DOV PHARMACEUTICAL, INC. UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 ---------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 DOV Pharmaceutical, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 259858108 (CUSIP Number) July 7, 2004 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which this Schedule 13G 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 purposes 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). Page 1 of 12 Pages CUSIP No. 259858108 13G Page 2 of 12 Pages - ----------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Kings Road Investments Ltd. - ----------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ----------------------------------------------------------------------- (3) SEC USE ONLY - ----------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands, British West Indies - ----------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ________________________________________________________ BENEFICIALLY (6) SHARED VOTING POWER 1,122,999 (See Item 4(a)) OWNED BY ________________________________________________________ EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ________________________________________________________ PERSON WITH (8) SHARED DISPOSITIVE POWER 1,122,999 (See Item 4(a)) - ----------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,122,999 (See Item 4(a)) - ----------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ----------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.02% (See Item 4(b)) - ----------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** OO - ----------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 259858108 13G Page 3 of 12 Pages - ----------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Polygon Investment Partners LP - ----------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ----------------------------------------------------------------------- (3) SEC USE ONLY - ----------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ________________________________________________________ BENEFICIALLY (6) SHARED VOTING POWER 1,122,999 (See Item 4(a)) OWNED BY ________________________________________________________ EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ________________________________________________________ PERSON WITH (8) SHARED DISPOSITIVE POWER 1,122,999 (See Item 4(a)) - ----------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,122,999 (See Item 4(a)) - ----------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ----------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.02% (See Item 4(b)) - ----------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** PN - ----------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 259858108 13G Page 4 of 12 Pages - ----------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Polygon Investment Partners G.P., LLC - ----------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ----------------------------------------------------------------------- (3) SEC USE ONLY - ----------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ________________________________________________________ BENEFICIALLY (6) SHARED VOTING POWER 1,122,999 (See Item 4(a)) OWNED BY ________________________________________________________ EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ________________________________________________________ PERSON WITH (8) SHARED DISPOSITIVE POWER 1,122,999 (See Item 4(a)) - ----------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,122,999 (See Item 4(a)) - ----------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ----------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.02% (See Item 4(b)) - ----------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** OO - ----------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 259858108 13G Page 5 of 12 Pages - ----------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Reade Griffith - ----------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ----------------------------------------------------------------------- (3) SEC USE ONLY - ----------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - ----------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ________________________________________________________ BENEFICIALLY (6) SHARED VOTING POWER 1,122,999 (See Item 4(a)) OWNED BY ________________________________________________________ EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ________________________________________________________ PERSON WITH (8) SHARED DISPOSITIVE POWER 1,122,999 (See Item 4(a)) - ----------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,122,999 (See Item 4(a)) - ----------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ----------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.02% (See Item 4(b)) - ----------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** IN - ----------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 259858108 13G Page 6 of 12 Pages - ----------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Alexander E. Jackson - ----------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ----------------------------------------------------------------------- (3) SEC USE ONLY - ----------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - ----------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ________________________________________________________ BENEFICIALLY (6) SHARED VOTING POWER 1,122,999 (See Item 4(a)) OWNED BY ________________________________________________________ EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ________________________________________________________ PERSON WITH (8) SHARED DISPOSITIVE POWER 1,122,999 (See Item 4(a)) - ----------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,122,999 (See Item 4(a)) - ----------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ----------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.02% (See Item 4(b)) - ----------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** IN - ----------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 259858108 13G Page 7 of 12 Pages Item 1. (a) Name of Issuer DOV Pharmaceutical, Inc., a Delaware corporation (the "Company"). (b) Address of Issuer's Principal Executive Offices Continental Plaza 433 Hackensack Avenue Hackensack, New Jersey 07601 Item 2(a). Name of Person Filing Item 2(b). Address of Principal Business Office Item 2(c). Citizenship Kings Road Investments Ltd. c/o Polygon Investment Partners LLP 10 Duke of York Square London SW3 4LY United Kingdom Citizenship: Cayman Islands, British West Indies Polygon Investment Partners LP 10 Duke of York Square London SW3 4LY United Kingdom Citizenship: Delaware Polygon Investment Partners G.P., LLC c/o Polygon Investment Partners LLP 10 Duke of York Square London SW3 4LY United Kingdom Citizenship: Delaware Reade Griffith c/o Polygon Investment Partners LLP 10 Duke of York Square London SW3 4LY United Kingdom Citizenship: United States Alexander E. Jackson c/o Polygon Investment Partners LLP 10 Duke of York Square London SW3 4LY United Kingdom Citizenship: United States Item 2(d) Title of Class of Securities Common Stock, par value $0.0001 per share ("Common Stock") Item 2(e) CUSIP Number 259858108 CUSIP No. 259858108 13G Page 8 of 12 Pages 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 Act (15 U.S.C. 78o). (b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (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 (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: As of the date hereof, each Reporting Person may be deemed the beneficial owner of 1,122,999 shares of Common Stock currently issuable to Kings Road Investments Ltd., a Cayman Islands company ("Kings Road") upon the conversion of that certain convertible promissory note with an aggregate principal face amount of $3,788,132.44 (the "Note"). Polygon Investment Partners LP, a Delaware limited partnership ("Polygon LP") is the investment manager of Kings Road and has voting and dispositive power over the securities held by Kings Road. Polygon Investment Partners G.P., LLC, a Delaware limited liability company ("Polygon LLC") is the general partner of Polygon LP and consequently has voting control and investment discretion over securities owned by Polygon LP. Reade Griffith and Alexander E. Jackson are the managing members of Polygon LLC and in that capacity direct its operations. CUSIP No. 259858108 13G Page 9 of 12 Pages The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of shares of Common Stock owned by another Reporting Person. (b) Percent of class: Approximately 5.02% as of the date hereof. (The Company has indicated to the Reporting Persons that there were 21,265,478 shares of Common Stock issued and outstanding as of June 18, 2004. In addition, (i) 1,122,999 shares of Common Stock are currently issuable to Kings Road upon conversion of the Note referred to in Item 4(a) above.) (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 0 (ii) Shared power to vote or to direct the vote 1,122,999 shares of Common Stock. (iii) Sole power to dispose or to direct the disposition of 0 (iv) Shared power to dispose or to direct the disposition of 1,122,999 shares of Common Stock. 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 or Control Person Not applicable. Item 8. Identification and Classification of Members of the Group See Exhibit I. Item 9. Notice of Dissolution of Group Not applicable. CUSIP No. 259858108 13G Page 10 of 12 Pages Item 10. Certification By signing below each of the undersigned certifies that, to the best of its 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. Exhibits: Exhibit I: Joint Filing Agreement, dated as of July 19, 2004, by and among Kings Road Investments Ltd., Polygon Investment Partners LP, Polygon Investment Partners G.P., LLC, Reade Griffith and Alexander E. Jackson CUSIP No. 259858108 13G Page 11 of 12 Pages SIGNATURES After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct. Dated: July 19, 2004 KINGS ROAD INVESTMENTS LTD. POLYGON INVESTMENT PARTNERS LP By: Polygon Investment Partners LP, its Investment Manager By: /s/ Alexander E. Jackson By: /s/ Alexander E. Jackson ----------------------------- ---------------------------- Name: Alexander E. Jackson Name: Alexander E. Jackson Title: Principal Title: Principal POLYGON INVESTMENT PARTNERS G.P., LLC /s/ Reade Griffith By: /s/ Alexander E. Jackson ------------------------------- ----------------------------- READE GRIFFITH Name: Alexander E. Jackson Title: Managing Member /s/ Alexander E. Jackson - --------------------------------- ALEXANDER E. JACKSON CUSIP No. 259858108 13G Page 12 of 12 Pages EXHIBIT I JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the Common Stock, par value $0.0001 per share, of DOV Pharmaceutical, Inc., a Delaware corporation, is being filed, and all amendments thereto will be filed, on behalf of each of the persons and entities named below in accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. Dated as of July 19, 2004 KINGS ROAD INVESTMENTS LTD. POLYGON INVESTMENT PARTNERS LP By: Polygon Investment Partners LP, its Investment Manager By: /s/ Alexander E. Jackson By: /s/ Alexander E. Jackson ----------------------------- ---------------------------- Name: Alexander E. Jackson Name: Alexander E. Jackson Title: Principal Title: Principal POLYGON INVESTMENT PARTNERS G.P., LLC /s/ Reade Griffith By: /s/ Alexander E. Jackson ------------------------------- ----------------------------- READE GRIFFITH Name: Alexander E. Jackson Title: Managing Member /s/ Alexander E. Jackson - --------------------------------- ALEXANDER E. JACKSON -----END PRIVACY-ENHANCED MESSAGE-----