ex991.htm

0001354488-11-000716.txt : 20110303 0001354488-11-000716.hdr.sgml : 20110303 20110303163247 ACCESSION NUMBER: 0001354488-11-000716 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20110301 FILED AS OF DATE: 20110303 DATE AS OF CHANGE: 20110303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STEFANSKY DAVID CENTRAL INDEX KEY: 0001320581 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11660676 MAIL ADDRESS: STREET 1: MOBILE REACH INTERNATIONAL INC. STREET 2: 8000 REGENCY PARKWAY, SUITE 430 CITY: CARY STATE: NC ZIP: 27511 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: ROSENBLUM RICHARD CENTRAL INDEX KEY: 0001205074 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11660677 MAIL ADDRESS: STREET 1: 19 HORIZON DRIVE CITY: WAYNE STATE: NJ ZIP: 07470 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11660679 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11660678 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2011-03-01 0 0001054274 Alliqua, Inc. ALQA.OB 0001492019 Harborview Advisors, LLC 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 1 1 1 0 Managing Member 0001509151 Harborview Value Master Fund, L.P. 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 0 0 0 1 Managing Member 0001205074 ROSENBLUM RICHARD 19 HORIZON DRIVE WAYNE NJ 07470 1 1 1 0 President 0001320581 STEFANSKY DAVID MOBILE REACH INTERNATIONAL INC. 8000 REGENCY PARKWAY, SUITE 430 CARY NC 27511 1 1 1 0 Chairman Stock Option (right to buy) 0.21 2011-03-01 4 A 0 1666667 0 A 2016-03-01 Common Stock 1666667 1666667 I See Footnotes Stock Option (right to buy) 0.21 2011-03-01 4 A 0 1666667 0 A 2016-03-01 Common Stock 1666667 3333334 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 Fund"), Harborview Advisors, LLC ("Harborview Advisors"), Richard Rosenblum and David Stefansky. Messrs. Rosenblum and Stefansky 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 Fund. Messrs. Rosenblum and Stefansky are the managing members of, and may be deemed to beneficially own securities owned by, Harborview Advisors. 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. Represents stock options granted to Mr. Rosenblum pursuant to the Alliqua, Inc. (the "Company") 2001 Incentive Stock Option Plan on March 1, 2011 and accepted by Mr. Rosenblum on March 1, 2011 (the "Transaction Date"). These stock options vest immediately. Represents stock options granted to Mr. Stefansky pursuant to the Company's 2001 Incentive Stock Option Plan on March 1, 2011 and accepted by Mr. Stefansky on the Transaction Date. These stock options vest immediately. 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 Advisors, LLC, Its: General Partner, By: /s/ Richard Rosenblum, Name: Richard Rosenblum,Title: Managing Member 2011-03-02 Harborview Value Master Fund, L.P., By: Harborview Advisors, LLC, Its: General Partner, By: /s/ Richard Rosenblum, Name: Richard Rosenblum, Title: Managing Member 2011-03-02 Harborview Advisors, LLC, By: Richard Rosenblum, Name: Richard Rosenblum, Title: Managing Member 2011-03-02 /s/ Richard Rosenblum, Name: Richard Rosenblum 2011-03-02 /s/ David Stefansky, Name: David Stefansky 2011-03-02 EX-99.1 2 ex991.htm JOINT FILER INFORMATION ex991.htm

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):	March 1, 2011
Issuer Name and Ticker or Trading Symbol:	Alliqua, Inc. [ALQA.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:	Harborview Advisors, LLC
	Its:	General Partner

Signature:	By:	/s/ Richard Rosenblum
	Name:	Richard Rosenblum
	Title:	Managing Member

	Date:	March 2, 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):	March 1, 2011
Issuer Name and Ticker or Trading Symbol:	Alliqua, Inc. [ALQA.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:	Harborview Advisors, LLC
	Its:	General Partner

Signature:	By:	/s/ Richard Rosenblum
	Name:	Richard Rosenblum
	Title:	Managing Member

	Date:	March 2, 2011

3. RICHARD ROSENBLUM

Item	Information
Name:	RICHARD ROSENBLUM
Address:	850 Third Avenue, Suite 1801, New York, New York 10022
Designated Filer:	Harborview Advisors, LLC
Date of Event Requiring Statement (Month/Day/Year):	March 1, 2011
Issuer Name and Ticker or Trading Symbol:	Alliqua, Inc. [ALQA.OB]
Relationship of Reporting Person(s) to Issuer:	Director, Officer and 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:	/s/ Richard Rosenblum
	Name:	Richard Rosenblum

	Date:	March 2, 2011

4. DAVID STEFANSKY

Item	Information
Name:	DAVID STEFANSKY
Address:	850 Third Avenue, Suite 1801, New York, New York 10022
Designated Filer:	Harborview Advisors, LLC
Date of Event Requiring Statement (Month/Day/Year):	March 1, 2011
Issuer Name and Ticker or Trading Symbol:	Alliqua, Inc. [ALQA.OB]
Relationship of Reporting Person(s) to Issuer:	Director, Officer and 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:	/s/ David Stefansky
	Name:	David Stefansky

	Date:	March 2, 2011

EX-99.2 3 ex992.htm JOINT FILING AGREEMENT ex992.htm

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 party 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: March 2, 2011	Harborview Master Fund, L.P.

	By:	Harborview Advisors, LLC
	Its:	General Partner

	By:	/s/ Richard Rosenblum
	Name:	Richard Rosenblum
	Title:	Managing Member

	Harborview Value Master Fund, L.P.

	By:	Harborview Advisors, LLC
	Its:	General Partner

	By:	/s/ Richard Rosenblum
	Name:	Richard Rosenblum
	Title:	Managing Member

	Harborview Advisors, LLC

	By:	/s/ Richard Rosenblum
	Name:	Richard Rosenblum
	Title:	Managing Member

	Richard Rosenblum

	By:	/s/ Richard Rosenblum
	Name:	Richard Rosenblum

	David Stefansky

	By:	/s/ David Stefansky
	Name:	David Stefansky