-----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, Uf2loRqXjzccccncrxenSgsNoSiKIiHXYgMzN6b9F4Ig/oRxD7wlfLZFtUqRLDBf Vs2Vqtbr9rSQCPJMKVTlYg== 0000909518-02-000854.txt : 20021205 0000909518-02-000854.hdr.sgml : 20021205 20021205160923 ACCESSION NUMBER: 0000909518-02-000854 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021205 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GERARDI FRANK CENTRAL INDEX KEY: 0001145730 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 149 WEST VILLAGE WAY CITY: JUPITER STATE: FL ZIP: 33458 BUSINESS PHONE: 5617487230 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: IGI INC CENTRAL INDEX KEY: 0000352998 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 010355758 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-34057 FILM NUMBER: 02849886 BUSINESS ADDRESS: STREET 1: WHEAT RD AND LINCOCN AVE STREET 2: P O BOX 687 CITY: BUENA STATE: NJ ZIP: 08310 BUSINESS PHONE: 6096971441 MAIL ADDRESS: STREET 1: WHEAT ROAD AND LINCOCN AVE STREET 2: P O BOX 687 CITY: BUENA STATE: NJ ZIP: 08310 FORMER COMPANY: FORMER CONFORMED NAME: IMMUNOGENETICS INC DATE OF NAME CHANGE: 19870814 SC 13D/A 1 mv12-5_13da.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) IGI, INC. --------- (Name of Issuer) Common Stock, .01 par value per share ------------------------------------- (Title of Class of Securities) 449575 10 9 ----------- (CUSIP Number) Frank Gerardi c/o Univest Mgt. Inc. EPSP 149 West Village Way Jupiter, FL 33458 (561) 748-7230 -------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 5, 2002 ---------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [X]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedules, including all exhibits. See ss.240.13d-7 for other parties to whom copies are to be sent. *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 19 of the Securities Exchange Act of 1934 (the "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). SCHEDULE 13D CUSIP No. 449575 10 9 1. NAME OF REPORTING PERSON: Frank Gerardi 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] 3. SEC USE ONLY 4. SOURCE OF FUNDS: PF 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [ ] 6. CITIZENSHIP OR PLACE OF ORGANIZATION: USA Number of Shares Beneficially Owned by Each Reporting Person With 7. SOLE VOTING POWER 992,700 8. SHARED VOTING POWER 0 9. SOLE DISPOSITIVE POWER 992,700 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 992,700 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 8.73% 14. TYPE OF REPORTING PERSON: IN 2 This Statement amends and supplements the Statement on Schedule 13D, filed by Frank Gerardi with respect to the Common Stock, par value $.01 per share of IGI, Inc. (the "Company"). Item 3 is hereby amended by striking out the present language thereof and inserting in lieu thereof the following new language: ITEM 3. Source and Amount of Funds or Other Consideration: Mr. Gerardi purchased 992,700 shares of Company Common Stock, which includes 120,000 options to purchase Common Stock, in separate transactions from 1999 to 2002. The Common Stock was purchased for prices ranging from a low of $0.48 to a high of $0.98 per share, with the option prices ranging from a low of $1.50 to a high of $8.58 per share. Mr. Gerardi used funds on hand to acquire said shares of Common Stock. Item 5(a) is hereby amended by striking out the present language thereof and inserting in lieu thereof the following new language: ITEM 5. Interest in Securities of the Issuer: (a) Mr. Gerardi beneficially owns 872,700 shares of Common Stock, and 120,000 options to purchase Common Stock, together constituting approximately 8.73% of shares of Common Stock outstanding. [Remainder of Page Intentionally Left Blank] 3 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: December 5, 2002 Signature /s/ Frank Gerardi -------------------------------- Name: Frank Gerardi 4 -----END PRIVACY-ENHANCED MESSAGE-----