-----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, Vz61Wmi3Unl+EoOlmOjJ46ZR8mY+KmqKFgkpup5IeGyx3QXJEn0U4EycDn5UFqMk kLl4DVqIjBzs2W86D/z0SQ== 0000927016-97-001128.txt : 19970423 0000927016-97-001128.hdr.sgml : 19970423 ACCESSION NUMBER: 0000927016-97-001128 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970421 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MICROFLUIDICS INTERNATIONAL CORP CENTRAL INDEX KEY: 0000723889 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY APPARATUS & FURNITURE [3821] IRS NUMBER: 042793022 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-35850 FILM NUMBER: 97584386 BUSINESS ADDRESS: STREET 1: 30 OSSIPEE RD STREET 2: P O BOX 9101 CITY: NEWTON STATE: MA ZIP: 02164-9101 BUSINESS PHONE: 6179695452 MAIL ADDRESS: STREET 1: 30 OSSIPEE ROAD STREET 2: P O BOX 9101 CITY: NEWTON STATE: MA ZIP: 02164-9101 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GRUVERMAN IRWIN J/ CENTRAL INDEX KEY: 0000922856 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 30 OSSIPEE RD CITY: NEWTON STATE: MA ZIP: 02164 MAIL ADDRESS: STREET 1: 30 OSSIPEE RD CITY: NEWTON STATE: MA ZIP: 02164 SC 13G/A 1 SCHEDULE 13G/A ---------------------------- OMB APPROVAL ---------------------------- OMB Number: 3235-0415 Expires: October 31, 1997 Estimated average burden hours per response.... 14.90 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Microfluidics International Corporation (formerly Biotechnology Development Corporation) - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 595073107 - -------------------------------------------------------------------------------- (CUSIP Number) *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. 595073107 13G PAGE 2 OF 5 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Irwin J. Gruverman - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States of America - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 382,300 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 424,505 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 382,300 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 424,505 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 806,805, including 222,300 shares and 160,000 options exercisable within 60 days owned directly by Mr. Gruverman, and 424,505 shares owned jointly by Mr. Gruverman and his wife. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10 CERTAIN SHARES* [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 15.4% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ Item 1(a) Name of Issuer -------------- Microfluidics International Corporation (formerly Biotechnology Development Corporation) Item 1(b) Address of Issuer's Principal Executive Offices ----------------------------------------------- 30 Ossipee Road, Newton, MA 02164 Item 2(a) Name of Person Filing --------------------- Irwin J. Gruverman Item 2(b) Address of Principal Business Office or, if none, Residence ----------------------------------------------------------- Microfluidics International Corp., 30 Ossipee Rd., Newton, MA 02164 Item 2(c) State of Organization/Citizenship --------------------------------- United States of America Item 2(d) Title of Class of Securities ---------------------------- Common Stock Item 2(e) CUSIP Number ------------ 595073107 Item 3. If this statement is filed pursuant to Rules 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 (b) [ ] Bank as defined in Section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act (d) [ ] Investment Company registered under Section 8 of the Investment Company Act Page 3 of 5 pages (e) [ ] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (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 S240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with S240.13d- 1(b)(1)(ii)(G) (h) [ ] Group, in accordance with S240.13d-1(b)(1)(ii)(H) Not applicable. Item 4. Ownership --------- (a) Amount Beneficially Owned: Mr. Gruverman beneficially owns an aggregate of 806,805 shares of common stock, including 160,000 options exercisable within 60 days of the date hereof owned directly by Mr. Gruverman, and 424,505 shares owned jointly by Mr. Gruverman and his wife. (b) Percent of Class: 15.4% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 382,300 (ii) shared power to vote or to direct the vote: 424,505 (iii) sole power to dispose or to direct the disposition of: 382,300 (iv) shared power to dispose or to direct the disposition of: 424,505
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. Page 4 of 5 pages 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. Item 10. Certification ------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes 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. Date: April 14, 1997 /s/ Irwin J. Gruverman ------------------------------------- Irwin J. Gruverman Microfluidics International Corporation Chairman of the Board, Chief Executive Officer and Secretary Page 5 of 5 pages ---------------------------- PURSUANT TO RULE 13D-2(C) PROMULGATED OMB APPROVAL UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED, RESTATED BELOW IS THE ENTIRE ----------------------------- TEXT OF THE SCHEDULE 13G FILED BY OMB Number: 3235-0415 MR. GRUVERMAN ON FEBRUARY 12, 1993. Expires: October 31, 1997 Estimated average burden hours per response.... 14.90 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* Biotechnology Development Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 090918-10-3 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *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 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 ("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. 090918-10-3 13G PAGE 2 OF 5 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Irwin J. Gruverman - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 769,456 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 33,250 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 769,456 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 33,250 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 861,456 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10 CERTAIN SHARES* [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 21.6% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ Item 1(a) Name of Issuer -------------- Biotechnology Development Corporation Item 1(b) Address of Issuer's Principal Executive Offices ----------------------------------------------- 90 Oak Street, Newton, Massachusetts 02164 Item 2(a) Name of Person Filing --------------------- Irwin J. Gruverman Item 2(b) Address of Principal Business Office or, if none, Residence ----------------------------------------------------------- c/o Biotechnology Development Corporation, 90 Oak Street, Newton, Massachusetts 02164 Item 2(c) State of Organization/Citizenship --------------------------------- Mr. Gruverman is a United States citizen Item 2(d) Title of Class of Securities ---------------------------- Common Stock, $.01 par value per share Item 2(e) CUSIP Number ------------ 090918-10-3 Item 3. If this statement is filed pursuant to Rules 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 (b) [ ] Bank as defined in Section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act (d) [ ] Investment Company registered under Section 8 of the Investment Company Act (e) [ ] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (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 S240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with S240.13d- 1(b)(1)(ii)(G) (h) [ ] Group, in accordance with S240.13d-1(b)(1)(ii)(H) Not applicable. CUSIP Number: 090918-10-3 Page 3 of 5 pages Item 4. Ownership --------- (a) Amount Beneficially Owned: Mr. Gruverman beneficially owns an 802,706 shares of Common Stock. This includes 33,250 shares of common stock owned jointly by Mr. Gruverman and his wife and includes options to purchase 248,000 shares of Common Stock which were exercisable at December 31, 1992 or within 60 days thereafter. (b) Percent of Class: 15.4% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 769,456 (ii) shared power to vote or to direct the vote: 33,250 (iii) sole power to dispose or to direct the disposition of: 769,456 (iv) shared power to dispose or to direct the disposition of: 33,250
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. CUSIP Number: 090918-10-3 Page 4 of 5 pages Item 10. Certification ------------- Not applicable. This statement on Schedule 13G is not filed pursuant to Rule 13d-1(b). 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. Date: February 12, 1993 /s/ Irwin J. Gruverman ------------------------------------- Irwin J. Gruverman CUSIP Number: 090918-10-3 Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----