-----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, DJrY7esvlxIXPogNoW2al3+JSa8YJjYlPtEE/ZHqTDZVMBEKWCck9Tgsc0cGEzzQ o0KPTL+DiE8aXQa+ElZjGg== 0000922423-00-000651.txt : 20000419 0000922423-00-000651.hdr.sgml : 20000419 ACCESSION NUMBER: 0000922423-00-000651 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000321 FILED AS OF DATE: 20000418 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ATLANTIC TECHNOLOGY VENTURES INC CENTRAL INDEX KEY: 0001001316 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 363898269 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 033-98478 FILM NUMBER: 604173 BUSINESS ADDRESS: STREET 1: 1017 MAIN CAMPUS DRIVE STREET 2: SUITE 3900 CITY: RALEIGH STATE: NC ZIP: 27606 BUSINESS PHONE: 9195137020 MAIL ADDRESS: STREET 1: 1017 MAIN CAMPUS DRIVE STREET 2: SUITE 3900 CITY: RALEIGH STATE: NC ZIP: 27605 FORMER COMPANY: FORMER CONFORMED NAME: ATLANTIC PHARMACEUTICALS INC DATE OF NAME CHANGE: 19960703 COMPANY DATA: COMPANY CONFORMED NAME: KLIEM PETER O CENTRAL INDEX KEY: 0001112256 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 26 DRIFTWOOD LANE CITY: WESTON STATE: MA ZIP: 02493 3 1 FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 1. Name and Address of Reporting Person Kliem Peter O. 26 Driftwood Lane Weston MA 02493 2. Date of Event Requiring Statement (Month/Day/Year) 03/21/2000 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Atlantic Technology Ventures, Inc. ATLC 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 7. Individual or Joint/Group Filing (Check Applicable Line) (X ) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
- ----------------------------------------------------------------------------------------------------------------------------------- Table I -- Non-Derivative Securities Beneficially Owned | - -----------------------------------------------------------------------------------------------------------------------------------| 1. Title of Security |2. Amount of |3. Ownership |4. Nature of Indirect | | Securities | Form: | Beneficial Ownership | | Beneficially | Direct(D) or | | | Owned | Indirect(I) | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | - -----------------------------------------------------------------------------------------------------------------------------------| *If form is filed by more than one reporting person, see Instruction 5(b)(v). (over) Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. SEC 1473 (7-96)
- ----------------------------------------------------------------------------------------------------------------------------------- Table II -- Derivative Securitites Beneficially Owned | - -----------------------------------------------------------------------------------------------------------------------------------| 1.Title of Derivative |2.Date Exer- |3.Title and Amount | |4. Conver-|5. Owner- |6. Nature of Indirect | Security | cisable and | of Underlying | |sion or |ship | Beneficial Ownership | | Expiration | Securities | |exercise |Form of | | | Date(Month/ |-----------------------|---------|price of |Deriv- | | | Day/Year) | |Amount |deri- |ative | | | Date | Expira- | |or |vative |Security: | | | Exer- | tion | Title |Number of|Security |Direct(D) or | | | cisable | Date | |Shares | |Indirect(I) | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to |3/21/00 |3/21/2010| Common Stock | 10,000 | $6.125 | D | | Buy) |(1) | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------|
Explanation of Responses: (1) The option became exercisable on March 21, 2000, but vests, and the Company's repurchase right shall lapse, in three equal annual installments beginning on March 21, 2001. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Peter O. Kliem ------------------------------- **Signature of Reporting Person April 12, 2000 ------------------ Date Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 of 2 -----END PRIVACY-ENHANCED MESSAGE-----