-----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, UP68Cn6sHO/2JxDeEZToS5Ktmj4TqeJXOHBVj2Kzh22fnWeWYOdI30pC8AhzTq6c sn2YDV4U8nisaHlQkOk2hg== 0000912057-99-005922.txt : 19991117 0000912057-99-005922.hdr.sgml : 19991117 ACCESSION NUMBER: 0000912057-99-005922 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991031 FILED AS OF DATE: 19991115 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SHEFFIELD PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000894158 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 133808303 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-12584 FILM NUMBER: 99753768 BUSINESS ADDRESS: STREET 1: 425 WOODSMILL RD CITY: ST LOUIS STATE: MO ZIP: 63017 BUSINESS PHONE: 3145799899 MAIL ADDRESS: STREET 1: 425 WOODSMILL RD CITY: ST LOUIS STATE: MO ZIP: 63017 FORMER COMPANY: FORMER CONFORMED NAME: SHEFFIELD MEDICAL TECHNOLOGIES INC DATE OF NAME CHANGE: 19940606 COMPANY DATA: COMPANY CONFORMED NAME: ELAN CORP PLC CENTRAL INDEX KEY: 0000737572 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] OWNER IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: LINCOLN HOUSE LINCOLN PLACE STREET 2: COUNTY WESTMEATH CITY: DUBLIN 2 IRELAND STATE: L2 BUSINESS PHONE: 3537094000 MAIL ADDRESS: STREET 1: LINCOLN HOUSE LINCOLN PLACE STREET 2: EIGHTY PINE STREET CITY: DUBLIN 2 IRELAND STATE: L2 ZIP: 00000 4 1 4
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL - -------- ----------------------------- / / CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287 LONGER SUBJECT TO EXPIRES: FEBRUARY 1, 1994 SECTION 16. FORM 4 OR Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ESTIMATED AVERAGE BURDEN FORM 5 OBLIGATIONS MAY Section 17(a) of the Public Utility Holding Company Act of 1935 or HOURS PER RESPONSE .... 0.5 CONTINUE. SEE Section 30(f) of the Investment Company Act of 1940 ----------------------------- INSTRUCTION 1(b). (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name AND Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Elan Pharmaceutical Investments Ltd. Sheffield Pharmaceuticals, Inc.(SHM) Director 10% Owner Elan International Services, Ltd. ---- --x-- - --------------------------------------------------------------------------------------------- Officer (give Other (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- title ---- (specify Number of Reporting Month/Year below) below 102 St. James Court Person (Voluntary) ----------------- ------------------ October 1999 - -------------------------------------------- --------------------- (Street) 5. If Amendment, Date of Original Flatts, Smith Parish F104 Bermuda (Month/Year) - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship of In- Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Instr. 8) Owned at Direct Bene- (Month/ End of (D) or ficial Day/ ------------------------------------------- Month Indirect Owner- Year) (A) or (I) ship Code V Amount (D) Price (Instr. 3 (Instr. 4) (Instr. 4) and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock June 30, 1998 P (2) 4,571,428 (3) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of 3 * If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). SEC 1474 (3/91) POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.
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 Security 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- 6. Date Exer- (Instr. 3) sion or action tion Code ative Securities Ac- cisable and Ex- Exercise Date (Instr. 8) quired (A) or Dis- piration Date Price of (Month/ posed of (D) (Month/Day/ Deriv- Day/ (Instr. 3, 4, and 5) Year) ative Year) Security -------------------- Date Expira- -------------------------------------- Exer- tion cisable Date Code V (A) (D) - ------------------------------------------------------------------------------------------------------------------------ Series D Preferred Stock $4.86 10/18/99 P 12,015 10/18/01 10/18/05 - ------------------------------------------------------------------------------------------------------------------------ Series F Preferred Stock $3.40 10/18/99 P 5,000 10/18/01 10/18/05 - ------------------------------------------------------------------------------------------------------------------------ Warrant $6.00 10/18/99 P N/A 10/18/02 10/18/06 - ------------------------------------------------------------------------------------------------------------------------ Warrant $2.00 6/30/98 P N/A 12/31/98 6/30/05 - ------------------------------------------------------------------------------------------------------------------------ Series C Convertible $1.41 6/30/98 P 11,500 6/30/98 6/30/08 Preferred Stock - ------------------------------------------------------------------------------------------------------------------------ Convertible Promissory $1.75 6/30/98 P N/A 6/30/05 Note - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ See attached page - ------------------------------------------------------------------------------------------ 7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Nature lying Securities of of Deriv- ship of In- (Instr. 3 and 4) Deriv- ative Form direct ative Securi- of De- Bene- Secur- ties rivative ficial ity Bene- Secu- Own- (Instr. ficially rity: ership 5) Owned Direct (Instr. 4) at End (D) or Amount or of Indi- Title Number of Month rect (I) Shares (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------ Common 2,472,222 $12,015,000 12,015 (3) Stock - ------------------------------------------------------------------------------------------ Common N/A (1) 5,000 (3) Stock - ------------------------------------------------------------------------------------------ Common 150,000 (1) N/A (3) Stock - ------------------------------------------------------------------------------------------ Common 99,000 (2) N/A (3) Stock - ------------------------------------------------------------------------------------------ 8,904,965 Common (as of $11,500,000 12,556 (3) Stock 10/19/99) - ------------------------------------------------------------------------------------------ 1,209,485 Common (as of N/A N/A (3) Stock 10/19/99) - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ Page 2 of 3 SEC 1474 (3/91)
Explanation of Responses: (1) The Shares of Series F Preferred Stock and the Warrant issued in October, 1999 were purchased for smaller aggregate consideration of $5,000,000. See Signatures Below ----------------------------------- (2) The Shares of Common Stock and the Warrant issued on June 30, 1998 **Signature of Reporting Person were purchased for aggregate consideration of $6,000,000. (3) Elan Pharmaceutical Investments Ltd. ("EPIL") is the record and beneficial owner of the securities purchased on June 30, 1998. Elan International Services, Ltd. is the record and beneficial owner of securities purchased on October 18, 1999 ("EIS"). EIS and EPIL are each wholly-owned subsidiaries of Elan Corporation, plc, an Irish public limited company. SIGNATURES After due inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: November 10, 1999 ELAN PHARMACEUTICAL INVESTMENTS LTD. ELAN INTERNATIONAL SERVICES, LTD. By: /s/ Kevin Insley By: /s/ Kevin Insley --------------------------------- --------------------------------- ** Signature of Reporting Person ** Signature of Reporting Person **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 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 form displays a currently valid OMB Number. Page 3 of 3 SEC 1474 (3/91)
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