-----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, O9Al7G7uj7sB5dFQ+mHpFbDxWNFd/+w71f2y4TtY2kGXk5O9C5Ysq4BfOgywHnmg E4R2yLsoOz8cAXIrTCD2CQ== 0000926274-01-500006.txt : 20010504 0000926274-01-500006.hdr.sgml : 20010504 ACCESSION NUMBER: 0000926274-01-500006 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010503 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPHIDIAN PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000872947 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 391661164 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-55419 FILM NUMBER: 1621320 BUSINESS ADDRESS: STREET 1: 5445 E CHERYL PKWY CITY: MADISON STATE: WI ZIP: 53711 BUSINESS PHONE: 6082710878 MAIL ADDRESS: STREET 1: OPHIDIAN PHARMACEUTICALS INC STREET 2: 5445 EAST CHERYL PARKWAY CITY: MADISON STATE: WI ZIP: 53711 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BRONSON STEVEN N CENTRAL INDEX KEY: 0001000383 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 201 SOUTH BISCAYNE BLVD STREET 2: STE 2950 CITY: MIAMI STATE: FL ZIP: 33131 BUSINESS PHONE: 305368501 SC 13D/A 1 snb13da1.txt BRONSON / OPHIDIAN 13D/A1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 1)* Ophidian Pharmaceuticals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.0025 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 683725105 - -------------------------------------------------------------------------------- (CUSIP Number) Steven N. Bronson 10 South Street, Suite 202 Ridgefield, Connecticut (203) 894-9755 with a copy to: James A. Prestiano, Esq. 317 Madison Avenue, Suite 2310 New York, New York 10017 (212) 949-9696 ------------------------------------------------------------------------ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 5, 2001 ------------------------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. (Continued on following pages) - ------------------------- * 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 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. 683725105 SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Steven N. Bronson - -------------------------------------------------------------------------------- 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 7 SOLE VOTING POWER SHARES 31,050 ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 163,352 ----------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 31,050 ----------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 163,352 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 194,402 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16.8% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 683725105 SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Catalyst Financial LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 163,352 ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 31,050 ----------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 163,352 ----------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 31,050 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 194,402 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16.8% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 683725105 SCHEDULE 13D Item 1. Security and Issuer. This Schedule 13D is filed on behalf of Steven N. Bronson and Catalyst Financial LLC with respect to the shares of Common Stock $.0025 par value per share (the "Common Stock") of Ophidian Pharmaceuticals, Inc., a Delaware corporation, with its principal offices located at 6320 Monona Drive, Suite 414, Madison, Wisconsin 53716 (the "Issuer"). As of February 12, 2001 the Issuer had 1,158,249 shares of Common Stock outstanding. Item 2. Identity and Background. (a) This Schedule 13D is filed on behalf of Steven N. Bronson and Catalyst Financial LLC, a New York limited liability company (the "Catalyst"). Mr. Bronson is the sole member of Catalyst. (b) Mr. Bronson's business address is 10 South Street, Ridgefield, Connecticut 06877. The principal place of business of Catalyst is 10 South Street, Ridgefield, Connecticut 06877. (c) Mr. Bronson is the president of Catalyst, a broker-dealer registered under the Securities Exchange Act of 1934. The principal place of business of Catalyst is 10 South Street, Ridgefield, Connecticut 06877. (d) During the last five years, neither Mr. Bronson nor Catalyst has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) Mr. Bronson and Catalyst have not, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining further violations of, or prohibiting or mandating activities subject to the federal or state securities laws or finding any violation with respect to such laws. (f) Mr. Bronson is a citizen of the United States. Catalyst is a limited liability company organized and existing under the laws of the State of New York. Item 3. Source and Amount of Funds or Other Consideration. On April 5, 2001, Mr. Bronson, acquired 13,500 shares of Common Stock at $1.11 per share for a purchase price of $14,985. On April 30, 2001, Mr. Bronson, through Catalyst, acquired an additional 6,000 shares of Common Stock at $1.22 per share for a purchase price of $7,320. Item 4. Purpose of Transaction. Mr. Bronson acquired the shares of Common Stock of the Issuer for investment purposes in the belief that such shares of Common Stock were undervalued. Other than as described above, Mr. Bronson does not have any plans or proposals which relate or would result in: (a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation involving the Issuer or any of its subsidiaries; (c) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) Any change in the present Board of Directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any vacancies on the Board of Directors of the Issuer; (e) Any material change in the present capitalization or dividend policy of the Issuer; (f) Any other material change in the Issuer's business or corporate structure; (g) Changes in the Issuer's charter, by-laws, or instruments corresponding thereto or any actions which may impede the acquisition or control of the Issuer by any person; (h) Causing a class of securities of the Issuer to be delisted form a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) Any action similar to any of those enumerated above. Item 5. Interest in Securities of the Issuer. (a)(b) Mr. Bronson may be deemed to beneficially own an aggregate of 194,402 shares of the Issuer's Common Stock, representing approximately 16.8% of the total shares of Common Stock deemed outstanding. Such shares include 31,050 shares of Common Stock owned directly by Mr. Bronson and 163,352 shares of Common Stock owned by Catalyst (c) On December 26, 2000, Mr. Bronson acquired 8,850 shares of Common Stock at $1.00 per share for a purchase price of $8,850. (d) No other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of such securities of the Issuer. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None Item 7. Material to be Filed as Exhibits. Exhibit N - Joint 13D Filing Statement. 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: May 2, 2001 /s/ STEVEN N. BRONSON ---------------------------- Steven N. Bronson Date: May 2, 2001 Catalyst Financial LLC By: /s/ STEVEN N. BRONSON ---------------------------- Steven N. Bronson, Sole Member Catalyst Financial LLC Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (See 18 U.S.C. Section l001). Exhibit N Reference is made to a report on Schedule 13D, being filed on or about the date hereof, with respect to the undersigned's beneficial ownership of shares of Common Stock of Ophidian Pharmaceuticals, Inc. The undersigned hereby acknowledge and agree that such Schedule 13D is being filed on behalf of each of the undersigned. This agreement may be executed in one or more counterparts, each of which shall be an original, but all of which shall constitute one and the same instrument. Date: May 2, 2001 /s/ STEVEN N. BRONSON ---------------------------- Steven N. Bronson Date: May 2, 2001 Catalyst Financial LLC By: /s/ STEVEN N. BRONSON ---------------------------- Steven N. Bronson, Sole Member Catalyst Financial LLC -----END PRIVACY-ENHANCED MESSAGE-----