-----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, NXdXhj/XpyV6UYOBKi/IvpIQQP3i40QfChacPrwXxnRvVph3d7Baz2EwoBUSLqka JRZTlx95D/gDuQRopDd1BA== 0000950162-04-001076.txt : 20040922 0000950162-04-001076.hdr.sgml : 20040922 20040922153620 ACCESSION NUMBER: 0000950162-04-001076 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20040922 DATE AS OF CHANGE: 20040922 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SIGMA TAU FINANZIARIA SPA CENTRAL INDEX KEY: 0001092601 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: VIA SUDAFRICA 20 STREET 2: 00144 CITY: ROME ITALY MAIL ADDRESS: STREET 1: VIA SUDAFRICA 20 STREET 2: 00144 CITY: ROME ITALY FORMER COMPANY: FORMER CONFORMED NAME: SIGMA TAU FINANZIARIA DATE OF NAME CHANGE: 19990805 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: REGENERX BIOPHARMACEUTICALS INC CENTRAL INDEX KEY: 0000707511 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 521253406 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-37889 FILM NUMBER: 041041214 BUSINESS ADDRESS: STREET 1: 3 BETHESDA METRO CENTER STREET 2: SUITE 700 CITY: BETHESDA STATE: MD ZIP: 20814 BUSINESS PHONE: 3019611992 MAIL ADDRESS: STREET 1: 3 BETHESDA METRO CENTER STREET 2: SUITE 700 CITY: BETHESDA STATE: MD ZIP: 20814 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA 1 BIOMEDICALS INC DATE OF NAME CHANGE: 19950719 SC 13D/A 1 regenerx13da-092204.txt AMENDMENT NO. 3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ____________________________________________ SCHEDULE 13D/A3 (Amendment No. 3) Under the Securities Exchange Act of 1934 RegeneRx Biopharmaceuticals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, Par Value $0.01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 020910105 - -------------------------------------------------------------------------------- (CUSIP Number) James Robinson, Esq. Cahill Gordon & Reindel LLP 80 Pine Street New York, NY 10005 (212) 701-3000 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 2, 2004 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ]. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 240.13d-7 for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 6 - -------------------------------------------------------------------------------- CUSIP No. 020910105 - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Sigma-Tau Finanziaria SpA - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) SOURCE OF FUNDS AF - -------------------------------------------------------------------------------- (5) CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- (6) CITIZENSHIP OR PLACE OF ORGANIZATION Italy - -------------------------------------------------------------------------------- Number of (7) SOLE VOTING POWER Shares 0 - -------------------------------------------------------------------------------- (8) SHARED VOTING POWER Owned 10,138,309 - -------------------------------------------------------------------------------- by Each (9) SOLE DISPOSITIVE POWER Reporting 0 - -------------------------------------------------------------------------------- Person With (10) SHARED DISPOSITIVE POWER 10,138,309 - -------------------------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,138,309 - -------------------------------------------------------------------------------- (12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.6% (based on 34,274,643 shares of Common Stock outstanding on June 30, 2004, as reported in the Issuer's quarterly report on Form 10-QSB for the fiscal quarter ended June 30, 2004, 1,382,488 shares issued upon exercise of the 2003 Warrants (as defined below) and 263,157 shares of Common Stock issuable upon exercise of the 2004 Warrant (as defined below)). - -------------------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- Page 2 of 6 - -------------------------------------------------------------------------------- CUSIP No. 020910105 - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Defiante Farmaceutica L.d.a. - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- (5) CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- (6) CITIZENSHIP OR PLACE OF ORGANIZATION Portugal - -------------------------------------------------------------------------------- Number of (7) SOLE VOTING POWER Shares 0 - -------------------------------------------------------------------------------- Beneficially (8) SHARED VOTING POWER Owned 10,138,309 - -------------------------------------------------------------------------------- by Each (9) SOLE DISPOSITIVE POWER Reporting 0 - -------------------------------------------------------------------------------- Person With (10) SHARED DISPOSITIVE POWER 10,138,309 - -------------------------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,138,309 - -------------------------------------------------------------------------------- (12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.6% (based on 34,274,643 shares of Common Stock outstanding on June 30, 2004, as reported in the Issuer's quarterly report on Form 10-QSB for the fiscal quarter ended June 30, 2004, 1,382,488 shares issued upon exercise of the 2003 Warrants (as defined below) and 263,157 shares of Common Stock issuable upon exercise of the 2004 Warrant (as defined below)). - -------------------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- Page 3 of 6 Item 1. Security and Issuer. Item 1 of the Schedule 13D is hereby amended and restated in its entirety as follows: This Amendment No. 3 amends the Schedule 13D filed with the Securities and Exchange Commission (the "SEC") on June 23, 2003, as amended by the Amendment No. 1 filed with the SEC on January 26, 2004 and Amendment No. 2 filed with the SEC on September 9, 2004 by Sigma-Tau Finanziaria SpA, an Italian corporation, and Defiante Farmaceutica, L.d.a., a Portugese corporation ("Defiante", and together with Sigma Tau, the "Reporting Parties") with respect to the Common Stock, $0.01 par value, of RegeneRx Biopharmaceuticals, Inc. (the "Issuer"), a Delaware corporation whose principal offices are located at 3 Bethesda Metro Center, Suite 700, Bethesda, Maryland 20814, solely to file the exhibit listed below. Item 7. Material to Be Filed as Exhibits. Item 7 of the Schedule 13D is hereby amended by adding the following exhibits: 1. Warrant Amendment Agreement dated as of September 2, 2004 between Issuer and Defiante.(1) - ---------- 1 Filed herewith. Page 4 of 6 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement with respect to Sigma-Tau Finanziaria SpA is true, complete and correct. Date: September 22, 2004 SIGMA-TAU FINANZIARIA SPA By: /s/ Antonio Nicolai ------------------------------- Name: Antonio Nicolai Title: Managing Director After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement with respect to Defiante Farmaceutica L.d.a. is true, complete and correct. Date: September 22, 2004 DEFIANTE FARMACEUTICA L.D.A. By: /s/ Pedro Moreira da Cruz Quintas ------------------------------------- Name: Pedro Moreira da Cruz Quintas Title: Director Page 5 of 6 EXHIBIT INDEX Page No. -------- 1. Warrant Amendment Agreement dated as of September 2, 2004 between Issuer and Defiante.(1) - ---------- 1 Filed herewith. Page 6 of 6 EX-1 2 regenerx13dano3ex-1.txt WARRANT AMENDMENT AGREEMENT Exhibit 1 WARRANT AMENDMENT AGREEMENT THIS WARRANT AMENDMENT AGREEMENT (the "Agreement") , dated as of September 2, 2004, is entered into between RegeneRx Biopharmaceuticals, Inc., a Delaware corporation (the "Company"), and Defiante Farmaceutica, L.d.a., a Portuguese (Madeira) corporation belonging to the Sigma-Tau Group (the "Investor"). RECITALS The Company and the Investor entered into a Securities Purchase Agreement dated June 10, 2003 (the "SPA") whereby the Investor received two warrants which provided for an aggregate total warrant price of US$1,500,000 (the "Warrants"). By their terms, the Warrants provided a collective effective warrant exercise price of US$1.111 for a total of 1,350,000 shares with an exercise term through December 11, 2004. AGREEMENT The Company and the Investor hereby agree as follows: A. In lieu of the exercise of the Warrants according to the terms of the SPA , the Investor agrees to exercise its shares by not later than September 6, 2004 at 5:00 p.m. (EST) (the "Early Exercise Date"). B. In consideration of the exercise of the Warrants by the Early Exercise Date, the Company agrees to discount the effective warrant exercise price to US$1.085 (the "Early Exercise Discount") for a total of 1,382,488 shares (the "Early Exercise Option"). C. If the Investor does not exercise the Warrants by the Early Exercise Date, the Early Exercise Option will expire and the terms of the SPA will continue in effect. D. With the exception of the foregoing, all other terms and conditions included in the SPA remain the same. IN WITNESS WHEREOF, the parties have duly executed, or have caused their duly authorized officer or representative to execute, this Agreement as of the date first above written. REGENERX BIOPHARMACEUTICALS, INC. By: /s/ J.J. Finkelstein ----------------------------------------- Name: J.J. Finkelstein Title: Chief Executive Officer DEFIANTE FARMACEUTICA, L.d.a. By: /s/ Mr. Pedro Moreira da Cruz Quinta ---------------------------------------- Name: Mr. Pedro Moreira da Cruz Quintas Title: Director -----END PRIVACY-ENHANCED MESSAGE-----