-----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, MY+gw217aRxG8u8Pwsgk1FLn5i4o+rkWKey2Mta++HeS1osPmfytB3Hi4oGOqFnY 288ktt2+8IKDKc2Ph1g2SQ== 0000911420-04-000471.txt : 20041203 0000911420-04-000471.hdr.sgml : 20041203 20041203185513 ACCESSION NUMBER: 0000911420-04-000471 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041202 FILED AS OF DATE: 20041203 DATE AS OF CHANGE: 20041203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RITA MEDICAL SYSTEMS INC CENTRAL INDEX KEY: 0001056421 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 943199149 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 967 N SHORELINE BLVD CITY: MOUNTAIN VIEW STATE: CA ZIP: 94013 BUSINESS PHONE: 6503858500 MAIL ADDRESS: STREET 1: 967 NORTH SHORELINE BLVD CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COMVEST VENTURE PARTNERS LP CENTRAL INDEX KEY: 0001163944 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30959 FILM NUMBER: 041185030 MAIL ADDRESS: STREET 1: 830 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALK MICHAEL CENTRAL INDEX KEY: 0001014026 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30959 FILM NUMBER: 041185031 MAIL ADDRESS: STREET 1: 830 THIRD AVENUE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 4 1 p1010022_ex.xml X0202 4 2004-12-02 0 0001056421 RITA MEDICAL SYSTEMS INC RITA 0001014026 FALK MICHAEL 1 NORTH CLEMATIS STREET SUITE 300 WEST PALM BEACH FL 33401 0 0 1 0 0001163944 COMVEST VENTURE PARTNERS LP 830 THIRD AVENUE NEW YORK NY 10022 0 0 1 0 Common Stock, par value $.001 per share 2004-12-02 4 S 0 52377 4.4224 D 168146 D Common Stock, par value $.001 per share 2004-12-02 4 S 0 25000 4.8575 D 168146 D Common Stock, par value $.001 per share 2004-12-02 4 S 0 1007 4.4379 D 168146 D Common Stock, par value $.001 per share 2004-12-02 4 S 0 7087 4.05 D 168146 D Common Stock, par value $.001 per share 2004-12-02 4 S 0 10237 4.25 D 168146 D Common Stock, par value $.001 per share 2004-12-02 4 S 0 5109 4.00 D 168146 D Common Stock, par value $.001 per share 2004-12-03 4 S 0 10000 4.2101 D 168146 D Common Stock, par value $.001 per share 2004-12-02 4 S 0 10000 4.4224 D 22120 I See footnote Common Stock, par value $.001 per share 2004-12-02 4 S 0 10000 4.4224 D 22120 I See footnote Common Stock, par value $.001 per share 2004-12-02 4 S 0 217130 4.4224 D 3833590 I See footnote Common Stock, par value $.001 per share 2004-12-02 4 S 0 75000 4.8575 D 3833590 I See footnote Common Stock, par value $.001 per share 2004-12-02 4 S 0 3018 4.4379 D 3833590 I See footnote Common Stock, par value $.001 per share 2004-12-02 4 S 0 21258 4.05 D 3833590 I See footnote Common Stock, par value $.001 per share 2004-12-02 4 S 0 30713 4.25 D 3833590 I See footnote Common Stock, par value $.001 per share 2004-12-02 4 S 0 20761 4.00 D 3833590 I See footnote On the date hereof, the Reporting Person has a direct beneficial ownership interest in 168,146 shares of common stock, par value $.001 per share ("Common Stock") of Rita Medical Systems, Inc. [RITA]. On the date hereof, the Reporting Person has an indirect beneficial ownership interest in 22,120 shares of Common stock, which are directly beneficially owned by the Mikaela Falk Trust, which the Reporting Person may be deemed to beneficially own by virtue of the fact that the Reporting Person's wife, Annie Falk, is Trustee of the Mikaela Falk Trust. The Reporting Person disclaims beneficial ownership with respect to these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 or for any other purpose. On the date hereof, the Reporting Person has an indirect beneficial ownership interest in 22,120 shares of Common Stock, which are directly beneficially owned by the Gianna Falk Trust, which the Reporting Person may be deemed to beneficially own by virtue of the fact that the Reporting Person's wife, Annie Falk, is Trustee of the Gianna Falk Trust. The Reporting Person disclaims beneficial ownership with respect to these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 or for any other purpose. On the date hereof, the Reporting Person has an indirect beneficial ownership interest in 3,833,590 shares of Common Stock, which are directly beneficially owned by ComVest Venture Partners, L.P. ("ComVest"), which the Reporting Person may be deemed to beneficially own by virtue of the fact that the Reporting Person is the Chairman and principal member of CAGH (the sole member of ComVest Management LLC, the general partner of ComVest). On the date hereof, the Reporting Person has an indirect beneficial ownership interest in 2,733 shares of Common Stock, which are directly beneficially owned by Commonwealth Associates, L.P. ("Commonwealth"), which the Reporting Person may be deemed to beneficially own by virtue of the fact that the Reporting Person is the Chairman and principal member of Commonwealth Associates Group Holdings, LLC ("CAGH") (the sole member of Commonwealth Management, LLC ("Commonwealth Management")) and a managing member of Commonwealth Management (the general partner of Commonwealth). On the date hereof, the Reporting Person has an indirect beneficial ownership interest in 59,046 shares of Common Stock, which are directly beneficially owned by CAGH, which the Reporting Person may be deemed to beneficially own by virtue of the fact that the Reporting Person is the Chairman and principal member of CAGH. /s/ Michael S. Falk 2004-12-03 /s/ Michael S. Falk for ComVest Venture Partners, L.P. 2004-12-03 -----END PRIVACY-ENHANCED MESSAGE-----