-----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, EPiOXBDqamqNlAXT5xB0N3YERdcgwUDFhj7GZ8DAIY4H5upUkS2JonnqnTi5ex3Y WRCKcYVRUNRKuB5IjQslmw== 0000893220-98-000020.txt : 19980112 0000893220-98-000020.hdr.sgml : 19980112 ACCESSION NUMBER: 0000893220-98-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971219 FILED AS OF DATE: 19980109 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RIBI IMMUNOCHEM RESEARCH INC CENTRAL INDEX KEY: 0000352331 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 810394349 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-11094 FILM NUMBER: 98504263 BUSINESS ADDRESS: STREET 1: 553 OLD CORVALLIS RD CITY: HAMILTON STATE: MT ZIP: 59840 BUSINESS PHONE: 4063636214 MAIL ADDRESS: STREET 1: 553 OLD CORVALLIS ROAD CITY: HAMILTON STATE: MT ZIP: 59840-3131 COMPANY DATA: COMPANY CONFORMED NAME: S R ONE LTD CENTRAL INDEX KEY: 0000923194 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER STATE OF INCORPORATION: PA FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 565 E SWEDESFORD RD STREET 2: STE 315 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 6102932404 MAIL ADDRESS: STREET 1: BAY COLONY EXEC PARK STREET 2: 565 E SWEDESFORD RD STE 315 CITY: WAYNE STATE: PA ZIP: 19087 4 1 S.R. ONE, LIMITED FORM 4 1 --------------------------- OMB APPROVAL --------------------------- - ------ OMB Number: 3235-0287 FORM 4 Expires: April 30, 1998 - ------ Estimated average burden hours per response .... 0.5 --------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP / / Check this box if no longer subject to Filed pursuant to Section 16(a) of the Securities Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the or Form 5 obligations Public Utility Holding Company Act of 1935 may continue. See or Section 30(f) of the Investment Company Instruction 1(b). Act of 1940 - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Persons to S.R. ONE, LIMITED RIBI IMMUNOCHEM RESEARCH, INC. (RIBI) Issuer (Check all applicable) - --------------------------------------------------------------------------------------------- Director X 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- --- BAY COLONY EXECUTIVE PARK Number of Reporting Month/Year Officer (give Other (Specify 565 E. SWEDESFORD ROAD Person (Voluntary) DECEMBER 1997 ---- title --- below) - --------------------------------------------- 23-1729901 ------------------- below) (Street) 5. If Amendment, 7. Individual or Joint Group Filing SUITE 315 Date of Original (Check Applicable) WAYNE PA 19087 (Month/Year) Form filed by One Reporting Person --- X Form filed by more than One ---Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. 8) End of Month Direct Benefi- (Month/ (Instr. 3 and 4) (D) or cial Day/ --------------------------------------- Indirect Owner- Year) Code V Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 12/16/97 S 10,000 D $4.0000 D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 12/17/97 S 32,000 D $4.0000 D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 12/18/97 S 10,000 D $4.0000 D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 12/19/97 S 2,000 D $4.0000 693,608 D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 1,103,448 I BY CORPORATION (1) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) *If the form filed by more than one reporting person, see Instruction for (b)(v). (Print or Type Responses) SEC 1474 (7/96)
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FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv- Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4, Year) ity Security and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ NON-QUALIFIED STOCK OPTION (2) COMMON (2) (RIGHT TO BUY) 12/31/96 12/31/98 STOCK 551,724 - ------------------------------------------------------------------------------------------------------------------------------------ WARRANT TO PURCHASE COMMON COMMON SHARES $5.0000 12/31/96 12/31/99 STOCK 500,000 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 9. Number of 10. Ownership 11. Nature of Security Derivative Form of Indirect (Instr. 3) Securities Derivative Beneficial Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (I) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------- (2) BY CORPORATION 551,724 I (1) - ------------------------------------------------------------------------------------------------------- BY CORPORATION 500,000 I (1) - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- Explanation of Responses: (1) Owned of record by SmithKline Beecham Biologicals Manufacturing S.A. ("SBBM"), an affiliate of Reporting Person, both of which are under common control as subsidiaries of SmithKline Beecham Corporation. (2) 551,724 shares (based on the Subsequent Market Price for the Common Stock at December 31, 1996) which SBBM has right to acquire by exercise of a stock option (expiring December 31, 1998). The stock option granted by the Issuer gives SBBM the right to acquire up to $2,000,000 in Common Stock at Subsequent Market Price defined in the underlying agreement as the average of the mean of the high and low prices for the Common Stock as reported on the NASDAQ National Market tier of the NASDAQ Stock Market for each of the five (5) consecutive trading days ending two (2) days prior to the closing date for the option exercise. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ DONALD F. PARMAN JANUARY 9, 1998 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- --------------- **Signature of Reporting Person Date BY: DONALD F. PARMAN, SECRETARY FOR: S.R. ONE, LIMITED Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the Page 2 form displays the currently valid OMD Number. SEC 1474 (7/96)
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