-----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, UkTaXfOjcxd/pmriIQJ3/zNALhc7y2Edms150FtWIOFa87RQjeKVRrmJXkJ3lC5w aogdgnvXDrsHb3bt8b4dVA== 0000922423-97-000581.txt : 19970714 0000922423-97-000581.hdr.sgml : 19970714 ACCESSION NUMBER: 0000922423-97-000581 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970630 FILED AS OF DATE: 19970711 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: REPLIGEN CORP CENTRAL INDEX KEY: 0000730272 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 042729386 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14656 FILM NUMBER: 97639243 BUSINESS ADDRESS: STREET 1: 117 FOURTH AVE CITY: NEEDHAM STATE: MA ZIP: 02194 BUSINESS PHONE: 6174499560 MAIL ADDRESS: STREET 1: 117 FOURTH AVE CITY: NEEDHAM STATE: MA ZIP: 02194 COMPANY DATA: COMPANY CONFORMED NAME: ARIES DOMESTIC FUND L P CENTRAL INDEX KEY: 0001017538 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128325700 4 1 FORM 4 - 06/30/97 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person The Aries Domestic Fund, LP 787 Seventh Avenue 44th Floor New York, NY 10019 2. Issuer Name and Ticker or Trading Symbol REPLIGEN CORP RGEN 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 06/30/97 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director (X) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 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 Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/02/|P | |3,500 |A |$1.188 |688,600 |D | | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/03/|P | |3,500 |A |$1.250 |688,600 |D | | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/24/|P | |3,500 |A |$1.219 |688,600 |D | | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/27/|P | |3,500 |A |$1.1562 |688,600 |D | | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/30/|P | |5,000 |A |$1.1562 |688,600 |D | | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/30/|P | |5,000 |A |$1.1708 |688,600 |D | | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: * See Attachment SIGNATURE OF REPORTING PERSON /s/ Lindsay A. Rosenwald, M.D., President Paramount Capital Asset Management, Inc., General Partner The Aries Domestic Fund, L.P. DATE 07/10/97 -------------------- ATTACHMENT TO FORM 4 -------------------- Reporting Person: The Aries Domestic Fund, L.P. Issuer: Repligen Corporation (RGEN) Statement For: June/1997 Paramount Capital Asset Management, Inc. ("Paramount"), the General Partner of the Aries Domestic Fund, L.P. (the "Partnership"), also serves as the Investment Manager to The Aries Trust (the "Trust"), a Cayman Islands trust, which also owns securities of the Issuer. Lindsay A. Rosenwald, M.D., is the sole shareholder of Paramount. Paramount and Dr. Rosenwald disclaim beneficial ownership of the securities held by the Partnership and the Trust, except to the extent of their pecuniary interest therein. -----END PRIVACY-ENHANCED MESSAGE-----