-----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, AA5ouWHbxHHikV6BMT6GHMqeyPdntJ1mw63sedXOoTBjPnf/qC9i4/HZ9HTES2iQ uZ0yZ3KisOcMaaUk6NrEUA== 0000950135-99-000450.txt : 19990205 0000950135-99-000450.hdr.sgml : 19990205 ACCESSION NUMBER: 0000950135-99-000450 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990204 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED MAGNETICS INC CENTRAL INDEX KEY: 0000792977 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 042742593 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-38286 FILM NUMBER: 99521288 BUSINESS ADDRESS: STREET 1: 61 MOONEY ST CITY: CAMBRIDGE STATE: MA ZIP: 02138 BUSINESS PHONE: 6173543929 MAIL ADDRESS: STREET 1: 61 MOONEY ST CITY: CAMBRIDGE STATE: MA ZIP: 02138 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDSTEIN JEROME CENTRAL INDEX KEY: 0000903448 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O ADVANCED MAGNETICS INC STREET 2: 725 CONCORD AVE CITY: CAMBRIDGE STATE: MA ZIP: 02138 BUSINESS PHONE: 6173543929 MAIL ADDRESS: STREET 1: C/O ADVANCES MAGNETICS INC STREET 2: 725 CONCORD AVE CITY: CAMBRIDGE STATE: MA ZIP: 02138 SC 13G/A 1 ADVANCED MAGNETICS, INC. 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (AMENDMENT NO. 12 )[1] ADVANCED MAGNETICS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 00753P 10 3 - -------------------------------------------------------------------------------- (CUSIP Number) - -------------------------------------------------------------------------------- (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) - -------- [1] 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 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). 2 - ---------------------------- ---------------------------- CUSIP NO. 00753P 10 3 13G Page 2 of 6 Pages --------------- ----- ----- - ---------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Jerome Goldstein - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION No Change - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 644,959 NUMBER OF -------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 59,400 OWNED BY EACH -------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 644,959 WITH -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 59,400 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 704,359 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* See Item 4(a) - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.2% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * No Change - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 ITEM 1 (a). NAME OF ISSUER: - ---------- Advanced Magnetics, Inc. ITEM 1 (b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: - ----------- ------------------------------------------------ 61 Mooney Street Cambridge, MA 02138 ITEM 2 (a). NAME OF PERSON FILING: - ----------- ---------------------- Jerome Goldstein ITEM 2 (b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: - ----------- ------------------------------------------------------------ c/o Advanced Magnetics, Inc. 61 Mooney Street Cambridge, MA 02138 ITEM 2 (c). CITIZENSHIP: - ----------- ------------ United States ITEM 2 (d). TITLE OF CLASS OF SECURITIES: - ----------- ----------------------------- Common Stock, $.01 Par Value Per Share ITEM 2 (e). CUSIP NUMBER - ----------- ------------ 00753P 10 3 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b) - ------- ----------------------------------------------------------------- OR (c), CHECK WHETHER THE FILING PERSON IS A: --------------------------------------------- (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act. (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); Page 3 of 6 pages 4 (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [ ] ITEM 4. OWNERSHIP: - ------- ---------- (a) Amount Beneficially Owned: 704,359. This amount does not include 644,837 shares owned by spouse, as to which shares beneficial ownership is disclaimed. This amount includes 15,937 shares issuable to Mr. Goldstein pursuant to options exercisable or exercisable within 60 days of December 31, 1998. (b) Percent of Class: 10.2 % (based on 6,767,509 shares of Common Stock reported by the Company's transfer agent as outstanding at the close of business on December 31, 1998 as adjusted pursuant to Rule 13d-3). (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote 644,959. (ii) Shared power to vote or to direct the vote 59,400. (iii) Sole power to dispose or to direct the disposition of 644,959. (iv) Shared power to dispose or to direct the disposition of 59,400. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: - ------- --------------------------------------------- Inapplicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: - ------- ---------------------------------------------------------------- Inapplicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH - ------- --------------------------------------------------------- ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING ------------------------------------------------------------- COMPANY: -------- Inapplicable. Page 4 of 6 pages 5 ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: - ------- ---------------------------------------------------------- Inapplicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP: - ------- ------------------------------- Inapplicable. ITEM 10. CERTIFICATION: - -------- -------------- Inapplicable. Page 5 of 6 pages 6 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. January 29, 1999 --------------------------------- Date /s/ Jerome Goldstein --------------------------------- Signature Jerome Goldstein/CEO --------------------------------- Name/Title Page 6 of 6 pages -----END PRIVACY-ENHANCED MESSAGE-----