-----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, FE59mSX7vnpMFMWMla+gKw4KFCXGzMltRkYVP3Zoh3WTwAZqcd1C2NfhzunPgLz2 Wn7KPdC1NdpsEJ86nknybQ== 0000950135-97-000383.txt : 19970211 0000950135-97-000383.hdr.sgml : 19970211 ACCESSION NUMBER: 0000950135-97-000383 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970207 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED MAGNETICS INC CENTRAL INDEX KEY: 0000792977 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 042742593 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-38286 FILM NUMBER: 97520993 BUSINESS ADDRESS: STREET 1: 61 MOONEY ST CITY: CAMBRIDGE STATE: MA ZIP: 02138 BUSINESS PHONE: 6173543929 MAIL ADDRESS: STREET 1: TESTA HURWITZ & THIBEAULT STREET 2: 53 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDSTEIN MARLENE KAPLAN CENTRAL INDEX KEY: 0000903449 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O ADVANCED MAGNETICS STREET 2: 725 CONCORD AVENUE CITY: CAMBRIDGE STATE: MA ZIP: 02138 BUSINESS PHONE: 6173543929 SC 13G/A 1 MARLENE KAPLAN GOLSTEIN ON BEHALF OF ADVANCED 1 -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: October 31, 1997 Estimated average burden hours per response...14.90 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 9)* ADVANCED MAGNETICS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 00753P 10 3 ------------------------------ (CUSIP Number) *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 the disclosures provided in a prior cover page. The information required in 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). 2 - ------------------------- ---------------------- CUSIP NO. 00753P 10 3 13G PAGE 2 OF 5 PAGES ----------- --- --- - ------------------------- ---------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Marlene Kaplan Goldstein ###-##-#### - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION No Change - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER 660,457 NUMBER OF ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 29,500 EACH ---------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 660,457 ---------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 29,500 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 689,957 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN [ ] SHARES* See Item 4(a) - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.2% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* No Change - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 - ------------------------- ---------------------- CUSIP NO. 00753P 10 3 13G PAGE 3 OF 5 PAGES ----------- --- --- - ------------------------- ---------------------- Item 1: (a) Name of Issuer: --------------- Advanced Magnetics, Inc. (b) Address of Issuer's Principal Executive Offices: ------------------------------------------------ 725 Concord Avenue Cambridge, MA 02138 Item 2: (a) Name of Person Filing: ---------------------- Marlene Kaplan Goldstein (b) Address of Principal Business Office or, if none, Residence: ------------------------------------------------------------ c/o Advanced Magnetics, Inc. 725 Concord Avenue Cambridge, MA 02138 (c) Citizenship: ------------ United States (d) Title of Class of Securities: ----------------------------- Common Stock, $.01 Par Value (e) CUSIP Number: ------------- 00753P 10 3 Item 3: Status if filed pursuant to Rules 13d-1(b) or 13d-2(b): ------------------------------------------------------- Inapplicable Item 4: Ownership: ---------- (a) Amount Beneficially Owned: 689,957. This amount does not include 671,622 and 118,300 shares owned by spouse and daughters, respectively, as to which beneficial ownership of such shares is disclaimed. (b) Percent of Class: 10.2% (based on 6,796,318 shares of Common Stock reported by the Company's transfer agent as outstanding at the close of business on February 3, 1997). 4 - ------------------------- ---------------------- CUSIP NO. 00753P 10 3 13G PAGE 4 OF 5 PAGES ----------- --- --- - ------------------------- ---------------------- (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote 660,457. (ii) shared power to vote or to direct the vote 29,500. (iii) sole power to dispose or to direct the disposition of 660,457. (iv) shared power to dispose or to direct the disposition of 29,500. Item 5: Ownership of Five Percent or Less of a Class: --------------------------------------------- Inapplicable. Item 6: Ownership of More than Five Percent on Behalf of Another Person: ---------------------------------------------------------------- Inapplicable. Item 7: Identification and Classification of the Subsidiary Which Acquired ------------------------------------------------------------------ the Security Being Reported on By the Parent Holding Company: ------------------------------------------------------------- Inapplicable. Item 8: Identification and Classification of Members of the Group: ---------------------------------------------------------- Inapplicable. Item 9: Notice of Dissolution of Group: ------------------------------- Inapplicable. Item 10: Certification: -------------- Inapplicable. 5 - ------------------------- ---------------------- CUSIP NO. 00753P 10 3 13G PAGE 5 OF 5 PAGES ----------- --- --- - ------------------------- ---------------------- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. FEBRUARY 7, 1997 /s/ MARLENE KAPLAN GOLDSTEIN - -------------------------- ---------------------------------- Date Signature Marlene Kaplan Goldstein, Secretary ----------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----