-----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, BuVyZyj/0cuVWnz/+yrpaQ9ZnD/EYyEvcXcmAaAGcb4xNNbUEk2dULTW/6J7A8Qt 3WVHLeR3idtYSTS/HsfguQ== 0000932440-97-000039.txt : 19970222 0000932440-97-000039.hdr.sgml : 19970222 ACCESSION NUMBER: 0000932440-97-000039 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970212 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ CENTRAL INDEX KEY: 0000918112 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 943049219 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49135 FILM NUMBER: 97525614 BUSINESS ADDRESS: STREET 1: 1387 MARINA WAY S CITY: RICHMOND STATE: CA ZIP: 94804 BUSINESS PHONE: 5102158000 MAIL ADDRESS: STREET 1: 1387 MARINA WAY SOUTH CITY: RICHMOND STATE: CA ZIP: 94804 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEW YORK LIFE INSURANCE CO CENTRAL INDEX KEY: 0000071633 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 135582869 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 51 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 2125767643 MAIL ADDRESS: STREET 1: 51 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10010 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* NEUROBIOLOGICAL TECHNOLOGIES, INC. (Name of Issuer) COMMON STOCK, PAR VALUE, $.001 PER SHARE (Title of Class of Securities) 64124W 10 6 (CUSIP Number) *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). SCHEDULE 13G CUSIP NO. 64124W 10 6 PAGE 2 OF 4 PAGES 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON NEW YORK LIFE INSURANCE COMPANY 13-5582869 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 NUMBER OF 5. SOLE VOTING POWER 393,750 SHARES BENEFICIALLY 6. SHARED VOTING POWER 0 OWNED BY EACH 7. SOLE DISPOSITIVE POWER 393,750 REPORTING PERSON 8. SHARED DISPOSITIVE POWER 0 WITH 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 393,750 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.04% 12. TYPE OF REPORTING PERSON* IC *SEE INSTRUCTIONS BEFORE FILLING OUT SCHEDULE 13G CUSIP NO. 64124W 10 6 PAGE 3 OF 4 PAGES Item 1(a) Name of issuer: NEUROBIOLOGICAL TECHNOLOGIES, INC. Item 1(b) Address of issuer's principal executive offices: 1387 MARINA WAY SOUTH RICHARD, CALIFORNIA 94804 Item 2(a) Name of person filing: NEW YORK LIFE INSURANCE COMPANY Item 2(b) Address of principal business office: 51 MADISON AVENUE, ROOM 206 NEW YORK, NY 10010 Item 2(c) Citizenship: NEW YORK Item 2(d) Title of class of securities: COMMON STOCK, PAR VALUE $.001 PER SHARE Item 2(e) Cusip No.: 64124W106 Item 3 Type of Person: INSURANCE COMPANY AS DEFINED IN SECTION 3(A)(19) OF THE ACT Item 4(a) Amount beneficially owned: 393,750 Item 4(b) Percent of class: 6.04% Item 4(c) (i) sole power to vote: 393,750 (ii) shared power to vote: 0 (iii) sole power to dispose: 393,750 (iv) shared power to dispose: 0 Item 5 Ownership of 5 percent or less of a class: NOT APPLICABLE Item 6 Ownership of more than 5 percent on behalf of another person: NOT APPLICABLE Item 7 Identification and classification of subsidiary: NOT APPLICABLE Item 8 Identification and classification of members of the group: NOT APPLICABLE SCHEDULE 13G CUSIP NO. 64124W 10 6 PAGE 4 OF 4 PAGES NEUROBIOLOGICAL TECHNOLOGIES, INC. Item 9 Notice of dissolution of the 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 acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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. Dated: February 11, 1997 NEW YORK LIFE INSURANCE COMPANY By /s/ John L. Mattana ------------------------------ Name: John L. Mattana Title: Investment Vice President -----END PRIVACY-ENHANCED MESSAGE-----