-----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, UrY97sW0wIlxM+Di0FVFUQCkZnlu0Ao/xuuLNCtks3N8tjjLPOlIcvJycoK1EXsU RMA6MCxbO0qSyTW3o+mtgQ== 0000921530-02-000166.txt : 20020414 0000921530-02-000166.hdr.sgml : 20020414 ACCESSION NUMBER: 0000921530-02-000166 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 GROUP MEMBERS: DR. SAMUEL D. WAKSAL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: IMCLONE SYSTEMS INC/DE CENTRAL INDEX KEY: 0000765258 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 042834797 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42026 FILM NUMBER: 02549543 BUSINESS ADDRESS: STREET 1: 180 VARICK ST CITY: NEW YORK STATE: NY ZIP: 10014 BUSINESS PHONE: 2126451405 MAIL ADDRESS: STREET 1: 180 VARICK ST CITY: NEW YORK STATE: NY ZIP: 10014 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WAKSAL SAMUEL D DR CENTRAL INDEX KEY: 0000936749 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 180 VARICK STREET CITY: NEW YORK STATE: NY ZIP: 10014 BUSINESS PHONE: 2126451405 MAIL ADDRESS: STREET 1: 180 VARICK STREET CITY: NEW YORK STATE: NY ZIP: 10014 SC 13G/A 1 imclonesamuel_13ga1-123101.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* IMCLONE SYSTEMS INCORPORATED ---------------------------- (Name of Issuer) Common Stock, par value $.001 ----------------------------- (Title of Class of Securities) 45245W109 --------- (CUSIP Number) December 31, 2001 ----------------- (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) [_] Rule 13d-1(c) [X] 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 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). Continued on following pages Page 1 of 5 Pages SCHEDULE 13G CUSIP No. 45245W109 Page 2 of 5 Pages 1 Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) DR. SAMUEL D. WAKSAL 2 Check the Appropriate Box If a Member of a Group (See Instructions) a. [_] b. [_] 3 SEC Use Only 4 Citizenship or Place of Organization UNITED STATES 5 Sole Voting Power Number of 581,983 Shares Beneficially 6 Shared Voting Power Owned By 0 Each Reporting 7 Sole Dispositive Power Person 581,983 With 8 Shared Dispositive Power 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person 581,983 10 Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] 11 Percent of Class Represented By Amount in Row (9) 0.79% 12 Type of Reporting Person (See Instructions) IN Page 3 of 5 Pages Item 1(a) Name of Issuer: ImClone Systems Incorporated (the "Issuer") Item 1(b) Address of the Issuer's Principal Executive Offices: 180 Varick Street, New York, New York 10014 Item 2(a) Name of Person Filing: The Statement is being filed by Dr. Samuel D. Waksal ("Dr. Samuel Waksal" or the "Reporting Person"). Dr. Samuel Waksal is the President and Chief Executive Officer of the Issuer. Item 2(b) Address of Principal Business Office or, if None, Residence: The principal business offices of Dr. Samuel Waksal is 180 Varick Street, New York, New York 10014. Item 2(c) Citizenship: Dr. Samuel Waksal is a United States citizen. Item 2(d) Title of Class of Securities: Common Stock, par value $.001 (the "Shares") of the Issuer. Item 2(e) CUSIP Number: 45245W109 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: This Item 3 is not applicable. Item 4. Ownership: Item 4(a) Amount Beneficially Owned: As of February 11, 2002, Dr. Samuel Waksal may be deemed the beneficial owner of 581,983 Shares. This number consists of (i) 165,317 Shares and (ii) 416,666 Shares issuable upon the exercise of options to acquire Shares. Item 4(b) Percent of Class: The number of Shares of which Dr. Samuel Waksal may be deemed to be the beneficial owner constitutes approximately 0.79% of the total number of Shares outstanding (assuming the exercise of options to acquire 416,666 Shares). Page 4 of 5 Pages Item 4(c) Number of shares as to which such person has: Dr. Samuel Waksal: - ----------------- (i) Sole power to vote or to direct the vote: 581,983 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 581,983 (iv) Shared power to dispose or to direct the disposition of: 0 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 owners of more than five percent of the class of securities, check the following [X]. Item 6. Ownership of More than Five Percent on Behalf of Another Person: This Item 6 is not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: This Item 7 is not applicable. Item 8. Identification and Classification of Members of the Group: This Item 8 is not applicable. Item 9. Notice of Dissolution of Group: This Item 9 is not applicable. Item 10. Certification: This Item 10 is not applicable. Page 5 of 5 Pages SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: February __, 2002 SAMUEL D. WAKSAL -------------------------- -----END PRIVACY-ENHANCED MESSAGE-----