-----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, O9WY++U6s8HbvabluFjG785w2owLElfrjSE3Wa+aXh+ngzcxf1FUzsI/iLs0+bhW 22xQ7WaAg1bwFrU6mZsbyw== 0001354488-11-000021.txt : 20110104 0001354488-11-000021.hdr.sgml : 20110104 20110104160813 ACCESSION NUMBER: 0001354488-11-000021 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20100511 FILED AS OF DATE: 20110104 DATE AS OF CHANGE: 20110104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alliqua, Inc. CENTRAL INDEX KEY: 0001054274 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 582349413 STATE OF INCORPORATION: FL FISCAL YEAR END: 1220 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE STREET 2: SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 800-518-4879 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE STREET 2: SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: HEPALIFE TECHNOLOGIES INC DATE OF NAME CHANGE: 20030529 FORMER COMPANY: FORMER CONFORMED NAME: ZETA CORP DATE OF NAME CHANGE: 20030219 FORMER COMPANY: FORMER CONFORMED NAME: ZETA CORP /CA DATE OF NAME CHANGE: 20000303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBORVIEW MASTER FUND LP CENTRAL INDEX KEY: 0001400704 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11505836 BUSINESS ADDRESS: STREET 1: HARBOUR HOUSE WATERFORD DRIVE STREET 2: PO BOX 972 CITY: TORTOLA STATE: D8 ZIP: 00000 BUSINESS PHONE: 294 694 4770 MAIL ADDRESS: STREET 1: HARBOUR HOUSE WATERFORD DRIVE STREET 2: PO BOX 972 CITY: TORTOLA STATE: D8 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harborview Advisors, LLC CENTRAL INDEX KEY: 0001492019 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11505835 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (646) 218-1400 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harborview Value Master Fund, L.P. CENTRAL INDEX KEY: 0001509151 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11505834 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (646) 218-1400 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 3/A 1 primary_doc.xml PRIMARY DOCUMENT X0203 3/A 2010-05-11 2010-05-21 0 0001054274 Alliqua, Inc. HPLF.OB 0001492019 Harborview Advisors, LLC 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 0 0 1 0 0001400704 HARBORVIEW MASTER FUND LP HARBOUR HOUSE WATERFORD DRIVE PO BOX 972 TORTOLA D8 00000 VIRGIN ISLANDS, BRITISH 0 0 1 0 0001509151 Harborview Value Master Fund, L.P. 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 0 0 1 0 Common Stock 35794498 I See Footnotes This statement is jointly filed by and on behalf of each of Harborview Master Fund, L.P. ("Harborview Master Fund"), Harborview Value Master Fund, L.P. ("Harborview Value Master Fund") and Harborview Advisors, LLC ("Harborview Advisors"). Harborview Master Fund and Harborview Value Master Fund are the record and direct beneficial owners of the securities covered by this statement. Harborview Advisors is the general partner of, and may be deemed to beneficially own securities owned by, each of Harborview Master Fund and Harborview Value Master Fund. Harborview Advisors and Harborview Value Master Fund were omitted from the original Form 3 filed by Harborview Master Fund and this Amendment is being filed to add Harborview Advisors and Harborview Value Master Fund as joint filers to the original Form 3. Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act") or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer. Includes (a) 27,981,999 shares directly beneficially owned by Harborview Master Fund and (b) 7,812,499 shares directly beneficially owned by Harborview Value Master Fund. Exhibit Index Exhibit 99.1 Joint Filer Information (furnished herewith) Exhibit 99.2 Joint Filing Agreement (furnished herewith) HARBORVIEW MASTER FUND, L.P., By: Harborview 2011-01-04 HARBORVIEW VALUE MASTER FUND, L.P., By: Harborview Advisors LLC, Its: General Partner, By: /s/ Richard Rosenblum, Name: Richard Rosenblum, Title: Managing Member 2011-01-04 HARBORVIEW ADVISORS, LLC, By: /s/ Richard Rosenblum, Name: Richard Rosenblum, Title: Managing Member 2011-01-04 EX-99.1 2 ex991.htm JOINT FILER INFORMATION Unassociated Document
EXHIBIT 99.1


JOINT FILER INFORMATION

Other Reporting Person(s)

1.HARBORVIEW MASTER FUND, L.P.

Item
Information
Name:
HARBORVIEW MASTER FUND, L.P.
 
Address:
850 Third Avenue, Suite 1801, New York, New York 10022
 
Designated Filer:
Harborview Advisors, LLC
 
Date of Event Requiring Statement (Month/Day/Year):
 
May 11, 2010
Issuer Name and Ticker or Trading Symbol:
 
Alliqua, Inc. [HPLF.OB]
Relationship of Reporting Person(s) to Issuer:
 
10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
Not Applicable
Individual or Joint/Group Filing:
Form filed by More than One Reporting Person
 
Signature: By: Richard Rosenblum  
  Name: Richard Rosenblum
  Title:  Managing Member
  Date: January 4, 2011
     


 
 
 

2.HARBORVIEW VALUE MASTER FUND, L.P.

Item
Information
Name:
HARBORVIEW VALUE MASTER FUND, L.P.
 
Address:
850 Third Avenue, Suite 1801, New York, New York 10022
 
Designated Filer:
Harborview Advisors, LLC
 
Date of Event Requiring Statement (Month/Day/Year):
 
May 11, 2010
Issuer Name and Ticker or Trading Symbol:
 
Alliqua, Inc. [HPLF.OB]
Relationship of Reporting Person(s) to Issuer:
 
10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
Not Applicable
Individual or Joint/Group Filing:
Form filed by More than One Reporting Person
 
  By: Richard Rosenblum  
  Name: Richard Rosenblum
  Title:  Managing Member
  Date: January 4, 2011
     
 
 EX-99.2 3 ex992.htm JOINT FILING AGREEMENT Unassociated Document
 
EXHIBIT 99.2

JOINT FILING AGREEMENT

Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto.  This agreement shall remain in full force and effect until revoked by any party hereto in a signed writing provided to each other part y hereto, and then only with respect to such revoking party.

IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused this agreement to be executed and effective as of the date set forth below.
 

Date: January 4, 2011
HARBORVIEW MASTER FUND, L.P
   
  
     
 
By:  
Harborview Advisors, LLC
 
Its:
General Partner
   
     
 
By:  
/s/ Richard Rosenblum
  Name:
Richard Rosenblum
Managing Member
 
 
Title:
 
 

         
HARBORVIEW VALUE MASTER FUND, L.P.
   
  
     
 
By:  
Harborview Advisors, LLC
 
Its:
General Partner
   
     
 
By:  
/s/ Richard Rosenblum
  Name:
Richard Rosenblum
Managing Member
 
 
Title:
 
 

         
HARBORVIEW ADVISORS, LLC
   
  
     
 
By:  
/s/ Richard Rosenblum
  Name:
Richard Rosenblum
Managing Member
 
 
Title:
 
 


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