-----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, RxsIxlBxuACVsIjATgPQkQo1aQ4GFbmwxZV4zdovQsTmXISqIHDzsBYW4WL12vtg gf7G2o29m6Q1iEfF3QnpUA== 0001005477-00-000794.txt : 20000211 0001005477-00-000794.hdr.sgml : 20000211 ACCESSION NUMBER: 0001005477-00-000794 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000101 FILED AS OF DATE: 20000210 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: SEC FILE NUMBER: 000-14656 FILM NUMBER: 531235 BUSINESS ADDRESS: STREET 1: 117 FOURTH AVE CITY: NEEDHAM STATE: MA ZIP: 02494 BUSINESS PHONE: 7814499560 MAIL ADDRESS: STREET 1: 117 FOURTH AVE CITY: NEEDHAM STATE: MA ZIP: 02494 COMPANY DATA: COMPANY CONFORMED NAME: ARIES FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0001007000 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 1501 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128324379 4 1 FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* Paramount Capital Asset Management, Inc. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 787 Seventh Avenue, 48th Floor - -------------------------------------------------------------------------------- (Street) New York NY 10019 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Repligen Corporation (RGEN) ================================================================================ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ================================================================================ 4. Statement for Month/Year January 2000 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person 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 ================================================================================ * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ---------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By The Aries Master 01/06/00 17,171 $3.063 4,426,950(1) I Fund(1) - ------------------------------------------------------------------------------------------------------------------------------------
Pagae 1 of 6 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By The Aries Master 01/11/00 9,838 $3.800 4,426,950(1) I Fund(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By The Aries Master 01/12/00 13,117 $3.747 4,426,950(1) I Fund(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By The Aries Master 01/13/00 9,838 $4.021 4,426,950(1) I Fund(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By The Aries Master 01/18/00 6,559 $4.060 4,426,950(1) I Fund(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By The Aries Master 01/19/00 7,466 $4.020 4,426,950(1) I Fund(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By The Aries Master 01/21/00 16,230 $4.400 4,426,950(1) I Fund(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By The Aries Master 01/24/00 16,000 $5.125 4,426,950(1) I Fund(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By The Aries Master 01/25/00 8,115 $5.125 4,426,950(1) I Fund(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By The Aries Master 01/27/00 10,000 $5.000 4,426,950(1) I Fund(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By The Aries Master 01/31/00 6,492 $4.563 4,426,950(1) I Fund(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/06/00 6,536 $3.063 4,426,950(1) I Fund, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/11/00 4,467 $3.800 4,426,950(1) I Fund, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/12/00 5,956 $3.747 4,426,950(1) I Fund, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/14/00 4,467 $4.021 4,426,950(1) I Fund, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/18/00 2,978 $4.060 4,426,950(1) I Fund, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/19/00 3,509 $4.020 4,426,950(1) I Fund, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/21/00 7,628 $4.400 4,426,950(1) I Fund, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/25/00 3,814 $5.125 4,426,950(1) I Fund, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------
Page 2 of 6 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/31/00 3,051 $4.563 4,426,950(1) I Fund, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/04/00 15,000 $3.090 4,426,950(1) I Fund II, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/06/00 1,293 $3.063 4,426,950(1) I Fund II, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/07/00 10,000 $3.313 4,426,950(1) I Fund II, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/11/00 695 $3.800 4,426,950(1) I Fund II, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/12/00 927 $3.747 4,426,950(1) I Fund II, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/14/00 695 $4.021 4,426,950(1) I Fund II, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/18/00 463 $4.060 4,426,950(1) I Fund II, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/19/00 525 $4.020 4,426,950(1) I Fund II, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/21/00 1,142 $4.400 4,426,950(1) I Fund II, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/25/00 571 $5.125 4,426,950(1) I Fund II, L.P.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock P A By Aries Domestic 01/31/00 457 $4.563 4,426,950(1) I Fund II, L.P.(1) ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 3 of 6 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- Form of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature of Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 5) 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ N/A ====================================================================================================================================
Explanation of Responses: (1) See Attachment A ** See Attachment B ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Lindsay A. Rosenwald February 8, 2000 - --------------------------------------------- ----------------------- ** Signature of Reporting Person Date Lindsay A. Rosenwald, M.D. Chairman Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 4 of 6 ATTACHMENT A Securities beneficially owned by Paramount Capital Asset Management, Inc. (PCAM) are presented on an as-converted basis and consist of the following: 1. 3,089,289 shares of common stock of the Issuer, par value $0.01 per share (the "Common Stock") owned by The Aries Master Fund, a Cayman Island Exempted Company (the "Master Fund") 2. 1,213,960 shares of Common Stock of the Issuer owned by Aries Domestic Fund, L.P. ("Aries I") 3. 123,691 shares of Common Stock owned by Aries Domestic Fund II, L.P. ("Aries II" and collectively with Aries I and the Master Fund, the "Aries Funds") Page 5 of 6 ATTACHMENT B Reporting Person: Paramount Capital Asset Management, Inc. Issuer: Repligen Corporation (RGEN) Statement For: January 2000 Paramount Capital Asset Management, Inc. ("PCAM") is the general partner of each of the Aries Domestic Fund, L.P. ("Aries I") and Aries Domestic Fund II, L.P. ("Aries II"), each a Delaware limited partnership, and also serves as the investment manager of the Aries Master Fund, a Cayman Island exempted company (the "Master Fund"), which also owns securities of the Issuer. Dr. Rosenwald is the chairman and sole stockholder of PCAM. As a result, Dr. Rosenwald and PCAM may be deemed to have voting and investment control over the securities of the issuer owned by the Aries Funds under Rule 16a-(a)(1) of the Securities Exchange Act of 1934. Dr. Rosenwald and PCAM disclaim beneficial ownership of the securities held by the Aries Funds, except to the extent of its pecuniary interest therein, if any. Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----