FORM 3 |
UNITED STATES 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 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 05/10/2007 |
3. Issuer Name and Ticker or Trading Symbol
Biodel Inc [ BIOD ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 05/10/2007 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 384,980(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Director Stock Option (right to buy) | (2) | 12/22/2012 | Common Stock | 17,713 | $1.41 | D | |
Director Stock Option (right to buy) | (3) | 11/30/2013 | Common Stock | 7,085 | $5.65 | D | |
Employee Stock Option (right to buy) | (4) | 12/14/2013 | Common Stock | 24,798 | $5.65 | D | |
Director Stock Option (right to buy) | (5) | 11/30/2014 | Common Stock | 7,085 | $12.63 | D | |
Series B Convertible Preferred Stock | (6) | (6) | Common Stock | 58,156 | (6) | D | |
Warrant to Purchase Series A Convertible Preferred Stock | (7) | 07/13/2012 | Common Stock | 118,815 | $7.06 | D | |
Director Stock Option (right to buy) | 05/10/2007 | 05/09/2017 | Common Stock | 25,000 | $15 | D |
Explanation of Responses: |
1. This amount does not include 107,873 shares held by The 1999 Weisman Family Trust, of which the undersigned and his spouse are trustees. The filing of this statement shall not be deemed an admission that the undersigned or his spouse is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of such shares. |
2. This option is exercisable in two equal installments. The first installment became exercisable on December 23, 2005 and the next installment became exercisable on December 23, 2006. |
3. This option is exercisable in two equal installments. The first installment became exercisable on December 1, 2006 and the next installment becomes exercisable on December 1, 2007. |
4. This option is exercisable in four equal installments. The first installment became exercisable on December 15, 2006 and the next three installments become exercisable on December 15, 2007, 2008 and 2009. |
5. This option is exercisable in two equal installments. The first installment became exercisable on December 1, 2007 and the next installment becomes exercisable on December 1, 2008. |
6. The Series B Convertible Preferred Stock has no expiration date. It is immediately convertible and will automatically convert into Common Stock of the Issuer upon the close of the Issuer's initial public offering on a one for one basis. |
7. The warrant is currently exercisable. |
/s/ Scott Weisman | 05/18/2007 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |