-----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, O70rfPO9GyBH7Y/3D7+DoJYwY38eM+v/8vybQigfgeFUo/3fmDgAkR1z0wM0NZw0 Iw+TEvLlj1BI16rrJz6mBw== 0001209191-09-049441.txt : 20091021 0001209191-09-049441.hdr.sgml : 20091021 20091021184045 ACCESSION NUMBER: 0001209191-09-049441 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091019 FILED AS OF DATE: 20091021 DATE AS OF CHANGE: 20091021 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AP PHARMA INC /DE/ CENTRAL INDEX KEY: 0000818033 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 942875566 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 123 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 6503662626 MAIL ADDRESS: STREET 1: 123 SAGINAW DRIVE STREET 2: 123 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 FORMER COMPANY: FORMER CONFORMED NAME: ADVANCED POLYMER SYSTEMS INC /DE/ DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TANG CAPITAL PARTNERS LP CENTRAL INDEX KEY: 0001191935 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33221 FILM NUMBER: 091130860 BUSINESS ADDRESS: STREET 1: 4401 EASTGATGE MALL CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8582003830 MAIL ADDRESS: STREET 1: 4401 EASTGATE MALL CITY: SAN DIEGO STATE: CA ZIP: 92121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TANG CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001232621 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33221 FILM NUMBER: 091130861 BUSINESS ADDRESS: STREET 1: 4401 ESTGATE MALL CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8582003830 MAIL ADDRESS: STREET 1: 4401 EASTGATE MALL CITY: SAN DIEGO STATE: CA ZIP: 92121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TANG KEVIN C CENTRAL INDEX KEY: 0001178579 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33221 FILM NUMBER: 091130862 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-10-19 0 0000818033 AP PHARMA INC /DE/ APPA 0001178579 TANG KEVIN C 4401 EASTGATE MALL SAN DIEGO CA 92121 1 0 1 0 0001232621 TANG CAPITAL MANAGEMENT LLC 4401 EASTGATE MALL SAN DIEGO CA 92121 0 0 1 0 0001191935 TANG CAPITAL PARTNERS LP 4401 EASTGATE MALL SAN DIEGO CA 92121 0 0 1 0 Common Stock 2009-10-19 4 P 0 2443181 0.88 A 10436506 I By LP Common Stock 286950 I As Trustee Common Stock 42950 D Purchase Rights (right to buy) 0.968 2009-10-19 4 P 0 1586481 0.125 A 2010-05-14 2010-05-14 Common Stock 1586481 1586481 I By LP Warrants (right to buy) 0.88 2009-10-19 4 P 0 1221590 0.125 A 2009-10-23 2015-01-07 Common Stock 1221590 1221590 I By LP The securities are held by Tang Capital Partners, LP. Kevin C. Tang is the sole manager of Tang Capital Management, LLC, which is the general partner of Tang Capital Partners, LP. Mr. Tang disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein. The securities are held by Kevin C. Tang as custodian for his minor children, as Trustee of the Tang Family Trust, and as Trustee of the Tang Advisors, LLC Profit Sharing Plan. The securities are held by Kevin C. Tang's IRA. The Purchase Rights are exercisable on May 14, 2010, or such earlier date as mutually agreed upon by the majority of the Purchase Rights holders. /s/ Kevin C. Tang 2009-10-21 /s/ Kevin C. Tang, Managing Member 2009-10-21 /s/ Kevin C. Tang, as Managing Member of Tang Capital Management, LLC, General Partner 2009-10-21 -----END PRIVACY-ENHANCED MESSAGE-----