-----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, GzMaBjhuAWoM+UYaFs3t5jq+5Pv9RYmUXkw1aPmh2Pn/etI88fjsJ5xYQZCFUUU3 t5CBCDXgvqyj2U/hf+hW8Q== 0001099910-02-000088.txt : 20020415 0001099910-02-000088.hdr.sgml : 20020415 ACCESSION NUMBER: 0001099910-02-000088 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020301 FILED AS OF DATE: 20020322 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OXIS INTERNATIONAL INC CENTRAL INDEX KEY: 0000109657 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 941620407 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08092 FILM NUMBER: 02582620 BUSINESS ADDRESS: STREET 1: 6040 N CUTTER CIRCLE STE 317 CITY: PORTLAND STATE: OR ZIP: 97217 BUSINESS PHONE: 5032833911 MAIL ADDRESS: STREET 1: 6040 N CUTTER CIRCLE STE 317 CITY: PORTLAND STATE: OR ZIP: 97217 FORMER COMPANY: FORMER CONFORMED NAME: DDI PHARMACEUTICALS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DIAGNOSTIC DATA INC /DE/ DATE OF NAME CHANGE: 19850312 COMPANY DATA: COMPANY CONFORMED NAME: HAUSMAN MARVIN S MD CENTRAL INDEX KEY: 0001067956 DIRECTOR FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 825 THIRD AVE STREET 2: 40TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 5094275132 MAIL ADDRESS: STREET 1: 825 THIRD AVE STREET 2: 40TH FL CITY: NEW YORK STATE: NY ZIP: 10022 3 1 oxisintinc-mshausman_form3.txt INITIAL STATEMENT OF OWNERSHIP OF SECURITIES U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 3 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 HAUSMAN MARVIN S. - -------------------------------------------------------------------------------- (Last) (First) (Middle) #1 ASH LAKE ROAD - -------------------------------------------------------------------------------- (Street) STEVENSON, WA 99648 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) MARCH 7, 2002 ________________________________________________________________________________ 3. IRS or Social Security Number of Reporting Person (Voluntary) ________________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol OXIS INTERNATIONAL, INC. (symbol-OXIS.OB) ________________________________________________________________________________ 5. Relationship of Reporting Person 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 ============================================================================================================================= 3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- =============================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print of Type Responses) (Over) FORM 3 (continued)
================================================================================================================================ Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================================================================ 5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------- Series F Preferred Stock, par value $.01 per share Immed. N/A Common Stock 2,500,000 $0.10 I(1) - ------------------------------------------------------------------------------------------------------------------------------- Common Stock Purchase Warrants Immed. 3/1/07 Common Stock 250,000 $1.00 I(1) - ------------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------- ===============================================================================================================================
Explanation of Responses: (1) The reported shares are owned of record by a limited partnership in which Dr. Hausman is a limited partner. The number of shares reported represents a best estimate of Dr. Hausman's percentage interest in the limited partnership, multiplied by the total number of shares held by the limited partnership. In that Dr. Hausman does not control the general partner of the limited partnership, and has no investment control over the securities held by the limited partnership, Dr. Hausman disclaims ownership of the reported shares. /s/ Dr. Marvin S. Hausman 3/22/2002 - --------------------------------------------- ----------------------- Dr. Marvin S. Hausman Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. (Print of Type Responses) Page 2 -----END PRIVACY-ENHANCED MESSAGE-----