-----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, DQBRTqzYelcI+cpXMsKvqn3iYqv5nJwZw0YT27nPJvsCnNAw/2ha7N1vRYAf/kMc Y/d6C/DJIh5iYukI82oaiQ== 0001298983-08-000015.txt : 20080211 0001298983-08-000015.hdr.sgml : 20080211 20080211132853 ACCESSION NUMBER: 0001298983-08-000015 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080211 DATE AS OF CHANGE: 20080211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Golden Pond Healthcare, Inc. CENTRAL INDEX KEY: 0001407031 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 260183099 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-83353 FILM NUMBER: 08592340 BUSINESS ADDRESS: STREET 1: 18 ARROWHEAD WAY CITY: DARIEN STATE: CT ZIP: 06820 BUSINESS PHONE: 203-655-3215 MAIL ADDRESS: STREET 1: 18 ARROWHEAD WAY CITY: DARIEN STATE: CT ZIP: 06820 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Weiss Asset Management, LLC CENTRAL INDEX KEY: 0001298983 IRS NUMBER: 331025012 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 29 COMMONWEALTH AVENUE, 10TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-7780 MAIL ADDRESS: STREET 1: 29 COMMONWEALTH AVENUE, 10TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 SC 13G 1 gph13g11feb2008.txt ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _)* Golden Pond Healthcare, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 38116J109 - -------------------------------------------------------------------------------- (CUSIP Number) February 1, 2008 - -------------------------------------------------------------------------------- (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 disclosures provided in a prior cover page. The information required on 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). ================================================================================ - -------------------------- -------------------------- CUSIP NO. 38116J109 SCHEDULE 13G PAGE 2 OF 8 PAGES - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON WEISS ASSET MANAGEMENT, LLC - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [ ] (B) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF -------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 740,322 EACH -------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------- 8. SHARED DISPOSITIVE POWER 740,322 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 740,322 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.5% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* 00 - Limited Liability Company ================================================================================ - -------------------------- -------------------------- CUSIP NO. 38116J109 SCHEDULE 13G PAGE 3 OF 8 PAGES - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON WEISS CAPITAL, LLC - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [ ] (B) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF -------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 388,333 EACH -------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------- 8. SHARED DISPOSITIVE POWER 388,333 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 388,333 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.8% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* 00 - Limited Liability Company ================================================================================ - -------------------------- -------------------------- CUSIP NO. 38116J109 SCHEDULE 13G PAGE 4 OF 8 PAGES - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ANDREW M. WEISS, PH.D. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [ ] (B) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF -------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 1,128,655 EACH -------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------- 8. SHARED DISPOSITIVE POWER 1,128,655 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,128,655 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.4% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN ================================================================================ CUSIP NO. 38116J109 SCHEDULE 13G PAGE 5 OF 8 PAGES ------------ --- --- ITEM 1. (a) Name of Issuer: Golden Pond Healthcare, Inc. ----------------------------------- (b) Address of Issuer's Principal Executive Offices: 1120 Post Road, 2nd Floor Darien, Connecticut 06820 - ------------------------------------------------------- ITEM 2. (a) and (c): Name and Citizenship of Persons Filing: (i) Weiss Asset Management, LLC, a Delaware limited liability company ("Weiss Asset Management"). (ii) Weiss Capital, LLC, a Delaware limited liability company ("Weiss Capital"). (iii) Andrew M. Weiss, Ph.D., a United States citizen. (b): Address of Principal Business Office: Weiss Asset Management, Weiss Capital, and Dr. Weiss have a business address of 29 Commonwealth Avenue, 10th Floor, Boston, Massachusetts 02116 (d) Title of Class of Securities: Common Stock ----------------- (e) CUSIP Number: 38116J109 ------------------ ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B), 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) [ ] Investment Adviser registered under section 203 of the Investment Advisers Act or under the laws of any State (f) [ ] Employee Benefit Plan, Pension fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F) (g) [ ] A Parent Holding Company or control person, in accordance with Section 240.13d-1(b)(ii)(G)(Note: See Item 7) (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 Section 240.13d-1(b)(1)(ii)(J) CUSIP NO. 38116J109 SCHEDULE 13G PAGE 6 OF 8 PAGES ------------ --- --- ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item I. WEISS ASSET MANAGEMENT, LLC* (a) Amount Beneficially Owned: 740,322 ------------------------------------------- (b) Percent of Class: 3.5% ---------------------------------------------------- (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: 740,322 ----------------------- (iii)sole power to dispose or to direct the disposition of: 0 ----------- (iv) shared power to dispose or to direct the disposition of: 740,322 --------- WEISS CAPITAL, LLC** (a) Amount Beneficially Owned: 388,333 ------------------------------------------- (b) Percent of Class: 1.8% ---------------------------------------------------- (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: 388,333 ----------------------- (iii)sole power to dispose or to direct the disposition of: 0 ----------- (iv) shared power to dispose or to direct the disposition of: 388,333 --------- ANDREW M. WEISS, PH.D.*** (a) Amount Beneficially Owned: 1,128,655 ------------------------------------------- (b) Percent of Class: 5.4% ---------------------------------------------------- (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: 1,128,655 ----------------------- (iii)sole power to dispose or to direct the disposition of: 0 ----------- (iv) shared power to dispose or to direct the disposition of: 1,128,655 --------- - ----------------------- * Shares reported for Weiss Asset Management include shares beneficially owned by a private investment partnership of which Weiss Asset Management is the sole general partner. ** Shares reported for Weiss Capital include shares beneficially owned by a private investment corporation of which Weiss Capital is the sole investment manager. *** Shares reported for Andrew Weiss include shares beneficially owned by a private investment partnership of which Weiss Asset Management is the sole general partner and which may be deemed to be controlled by Mr. Weiss, who is the Managing Member of Weiss Asset Management, and also includes shares held by a private investment corporation which may be deemed to be controlled by Mr. Weiss, who is the managing member of Weiss Capital, the Investment Manager of such private investment corporation. Dr. Weiss disclaims beneficial ownership of the shares reported herein as beneficially owned by him except to the extent of his pecuniary interest therein. The percent of class computations are based on 21,093,750 shares of common stock outstanding as of December 14, 2007, as reported in the Company's Form 10-Q, dated as of December 17, 2007. CUSIP NO. 38116J109 SCHEDULE 13G PAGE 7 OF 8 PAGES ------------ --- --- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. 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 Not Applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable 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. CUSIP NO. 38116J109 SCHEDULE 13G PAGE 8 OF 8 PAGES ------------ --- --- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I hereby certify that the information set forth in this statement is true, complete and correct. Dated: February 11, 2008 WEISS ASSET MANAGEMENT, LLC By: /s/ Georgiy Nikitin ----------------------------------- Georgiy Nikitin, Chief Compliance Officer WEISS CAPITAL, LLC By: /s/ Georgiy Nikitin ----------------------------------- Georgiy Nikitin, Chief Compliance Officer By: /s/ Georgiy Nikitin ----------------------------------- Attorney-in-Fact for Andrew Weiss -----END PRIVACY-ENHANCED MESSAGE-----