-----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, EHY5stRfAl/r9gjPIgZmJgKSnO89qsorXuHgOLl6ZcpBowMCvIVGez+HT8iNZ+zG feFw28h3dgbiKTSlWRHY4A== 0001175735-03-000013.txt : 20031120 0001175735-03-000013.hdr.sgml : 20031120 20031120130434 ACCESSION NUMBER: 0001175735-03-000013 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031120 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PALATIN TECHNOLOGIES INC CENTRAL INDEX KEY: 0000911216 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 954078884 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45766 FILM NUMBER: 031015084 BUSINESS ADDRESS: STREET 1: 4C CEDAR BROOK DRIVE CITY: CRANBURY STATE: NJ ZIP: 08512 BUSINESS PHONE: 609-495-2200 MAIL ADDRESS: STREET 1: 4C CEDAR BROOK DRIVE CITY: CRANBURY STATE: NJ ZIP: 08512 FORMER COMPANY: FORMER CONFORMED NAME: INTERFILM INC DATE OF NAME CHANGE: 19930825 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALBERT FRIED & CO LLC CENTRAL INDEX KEY: 0001175735 IRS NUMBER: 135089432 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 60 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2124227282 MAIL ADDRESS: STREET 1: 60 BROAD STREET 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 SC 13G/A 1 pallatin.txt PALATIN 13 G/A AMENDMENT #2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A (Amendment No.2 ) Under the Securities Exchange Act of 1934 Palatin Technologies, Inc. Common Stock, $0.01 par value (Title of Class of Securities) (CUSIP Number: 696077304) November 18, 2003 Check the appropriate box to designate the rule pursuant to which the schedule is filed: |X| Rule 13d-1(b) |X| Rule 13d-1(c) |_| 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 disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be filled 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 to Schedule 13G). CUSIP No. 150934107 13G Page 2 of 10 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ALBERT FRIED JR. SS# ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,884,939 -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 2,258,537 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 1,884,939 WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 2,258,537 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,258,537 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.97% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 150934107 13G Page 3 of 10 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON THE FRIED FOUNDATION, INC. 13-3197403 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 75,000 (Shares issuable upon Warrant exercise) -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY NONE OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 75,000 WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER NONE - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 75,000 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.165% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO (Charitable Foundation established by Albert Fried Jr.) - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 150934107 13G Page 4 of 10 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ALBERT FRIED & COMPANY, LLC. 13-5089432 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 298,598 -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY NONE OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 298,598 WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER NONE - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 298,598 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.657% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* BD (NASD Member firm and a market maker (dealer) in the Issuers common stock - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT ITEM 1(a). NAME OF ISSUER: Palatin Technologies, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 4C Cedarbrook Drive Cranbury, New Jersey 08512 (609) 495-2200 ITEM 2(a) NAME OF PERSON FILING: This statement is filed on behalf of Albert Fried, Jr., The Fried Foundation, Inc. and Albert Fried & Company, LLC, an NASD Member Firm Albert Fried Jr. is the founder and President of The Fried Foundation Inc, a charitable foundation. Albert Fried, Jr. is also the managing member of Albert Fried & Company, LLC, an NASD Member Firm. Albert Fried & Company, LLC is a market maker (dealer) in the Issuers security. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: Albert Fried, Jrs address is 3158 Route 9G, Rhinebeck, NY 12572, The Fried Foundation Incs and Albert Fried & Company LLCs business address are both 60 Broad Street, 39th Floor, New York, NY 10004. ITEM 2(c). CITIZENSHIP: Albert Fried Jr. is a citizen of the United States of America. Albert Fried & Company, LLC is a Limited Liability Company duly organized in the state of New York. The Fried Foundation,Inc. is a charitable foundation organized in Delaware. ITEM 2(d). TITLE OF CLASS OF SECURITIES: 7 Common Stock, $0.01 Par Value ITEM 2(e). CUSIP NUMBER: 696077304 ITEM 3. [X] CHECK THIS BOX IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(c) ITEM 4. OWNERSHIP **2,258,537 (a mix on common stock and common issuable upon warrants exercise). ** This figure includes 1,400,000 shares of common stock and an additional 484,939 shares issuable upon the exercise of warrants owned by Albert Fried Jr. ** This figure includes 75,000 shares of common issuable upon warrant exercise held by The Fried Foundation. ** This figure includes 70,900 common shares and additional 227.698 shares issuable upon exercise of warrants owned by Albert Fried & Co, LLC. 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 ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in a transaction having that purpose and effect. 8 SIGNATURES 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. ALBERT FRIED, JR. Dated: November 19, 2003 By: /s/ Albert Fried, Jr. New York, NY ---------------------------------------- Name: Albert Fried Jr. THE FRIED FOUNDATION, INC. Dated: November 19, 2003 By: /s/ Albert Fried Jr. New York, NY ----------------------------------------- Name: Albert Fried Jr. Title: President ALBERT FRIED & COMPANY, LLC. Dated: November 19, 2003 By: /s/ Anthony Katsingris New York, NY ---------------------------------- Name: Anthony Katsingris Title: Member -----END PRIVACY-ENHANCED MESSAGE-----