-----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, WKLEq4fTrizXashjPoCfT7JA+RlCF1OL9X8HFXyRZt7sY+wAJeL+M8Bv4K0g2pMQ SPBphLsluoK8N6dX7Na0LA== 0000902664-99-000423.txt : 19990727 0000902664-99-000423.hdr.sgml : 19990727 ACCESSION NUMBER: 0000902664-99-000423 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990726 FILED AS OF DATE: 19990726 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: VISIBLE GENETICS INC CENTRAL INDEX KEY: 0001010819 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 333-03118 FILM NUMBER: 99670263 BUSINESS ADDRESS: STREET 1: 700 BAY ST STREET 2: SUITE 1000 CITY: TORONTO ONTARIO CANA STATE: A6 BUSINESS PHONE: 2127025700 MAIL ADDRESS: STREET 1: 700 BAY ST STE 1000 STREET 2: TORONTO ONTARIO CANADA CITY: M5G 1Z6 COMPANY DATA: COMPANY CONFORMED NAME: HILAL PETER K MD CENTRAL INDEX KEY: 0001056302 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 60 EAST 42ND STREET STREET 2: SUITE 1946 CITY: NEW YORK STATE: NY ZIP: 10165 BUSINESS PHONE: 2129531003 3 1 - -------- ----------------------------- FORM 3 OMB APPROVAL - -------- ----------------------------- OMB Number: 3235-0104 Expires: September 30, 1998 Estimated average burden . hours per response .... 0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - - ---------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Hilal Capital Partners LLC - - --------------------------------------------------- (Last) (First) (Middle) c/o Hilal Capital Management LLC 60 East 42nd Street, Suite 1946 - - ---------------------------------------------------- (Street) New York New York 10165 - - ---------------------------------------------------- (City) (State) (Zip) - - ---------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 07/15/99 - - ---------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - - ---------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Visible Genetics Inc. (VGIN) - - ---------------------------------------------------------------------------- FORM 3 (continued) 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ ] Officer (give title below) [X] Other (Specify below) May be deemed a member of a group owning more than 10% of Issuer's Common Stock - - ---------------------------------------------------------------------------- 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 (Instr. 4) Securities Form: Beneficial Beneficially Direct (D) Ownership Owned or Indirect (Instr. 5) (Instr. 4) (I) (Instr. 5) - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ Common Stock 14,458 I See Note 1 - ------------------------------------------------------------------------------ Common Stock 47,979 I See Note 1 - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------
* If the Form is filed by more than one Reporting Person, SEE instruction 5(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) SEC 1473 (7-96) FORM 3 (continued)
TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date Exercisable and 3. Title and Amount (Instr. 4) Expiration Date of Securities (Month/Day/Year) Underlying ----------------------- Derivative Date Expiration Security Exercisable Date (Instr. 4) -------------------- Title Amount or Number of Shares - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ Warrants Anytime 07/08/2003 Common Stock 21,285 - ------------------------------------------------------------------------------ Warrants Anytime 07/08/2003 Common Stock 54,088 - ------------------------------------------------------------------------------ Warrants Anytime 04/30/2003 Common Stock 28,813 - ------------------------------------------------------------------------------ Warrants Anytime 09/29/2003 Common Stock 17,400 - ------------------------------------------------------------------------------ Warrants Anytime 04/29/2006 Common Stock 11,784 - ------------------------------------------------------------------------------ Warrants Anytime 04/30/2003 Common Stock 72,728 - ------------------------------------------------------------------------------ Warrants Anytime 09/29/2003 Common Stock 42,960 - ------------------------------------------------------------------------------ Warrants Anytime 04/29/2006 Common Stock 28,683 - ------------------------------------------------------------------------------ Class A Convertible Preferred Stock Anytime N/A Common Stock 51,919 - ------------------------------------------------------------------------------ Class A Convertible Preferred Stock Anytime N/A Common Stock 131,970 - ------------------------------------------------------------------------------ FORM 3 (continued) 4. Conversion or 5. Ownership Form of 6. Nature of Indirect Exercise Price Derivative Security: Beneficial Ownership of Derivative Direct (D) or (Instr. 5) Security Indirect (I) (Instr. 5) - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ $12.60 I See Note 2 - ------------------------------------------------------------------------------ $12.60 I See Note 2 - ------------------------------------------------------------------------------ $10.00 I See Note 2 - ------------------------------------------------------------------------------ $10.00 I See Note 2 - ------------------------------------------------------------------------------ $17.00 I See Note 2 - ------------------------------------------------------------------------------ $10.00 I See Note 2 - ------------------------------------------------------------------------------ $10.00 I See Note 2 - ------------------------------------------------------------------------------ $17.00 I See Note 2 - ------------------------------------------------------------------------------ $11.00 I See Note 3 - ------------------------------------------------------------------------------ $11.00 I See Note 3 - ------------------------------------------------------------------------------
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Explanation of Responses: Note 1 The Shares to which this note relates are held by Hilal Capital, L.P. ("HCLP") (14,458 shares) or Hilal Capital QP, LP ("HCQP") (47,979 shares). The undersigned is the sole general partner of HCLP and HCQP. In accordance with Instruction 5(b)(iv) the entire amount of the Issuer's securities held by HCLP and HCQP is reported herein. The undersigned disclaims any beneficial ownership of any of the Issuer's securities to which this Form relates for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except as to securities representing the undersigned's pro-rata partnership interest in, and interest in the profits of, HCLP and HCQP. FORM 3 (continued) Note 2 The warrants to which this note relates are held by HCLP (78,782 warrants) or HCQP (198,459 warrants). The undersigned is the sole general partner of HCLP and HCQP. In accordance with Instruction 5(b)(iv) the entire amount of the issuer's warrants held by HCLP and HCQP is reported herein. The undersigned disclaims any beneficial ownership of any of the Issuer's warrants to which this Form relates for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except as to warrants representing the undersigned's pro rata partnership interest in, and interest in the profit of HCLP and HCQP. Note 3 The preferred stock to which this note relates is held by HCLP (571 shares, convertible into 51,919 shares of Common Stock) or HCQP (1452 shares, convertible into 131,970 shares of Common Stock). The undersigned is the sole general partner of HCLP and HCQP. In accordance with Instruction 5(b)(iv) the entire amount of the issuer's warrants held by HCLP and HCQP is reported herein. The undersigned disclaims any beneficial ownership of any of the Issuer's preferred stock to which this Form relates for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except as to preferred stock representing the undersigned's pro rata partnership interest in, and interest in the profit of HCLP and HCQP. Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, SEE Instruction 6 for procedure. DATED: 07/26/99 Hilal Capital Partners LLC /s/Peter K. Hilal --------------------------- Peter K. Hilal, MD Managing Member Date: July 26, 1999 -----END PRIVACY-ENHANCED MESSAGE-----