4/A 1 form4a-jer_11670b.txt AMENDED FORM 4 - JONATHAN E. ROTHSCHILD ================================================================================ 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 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* Rothschild, Jonathan E. -------------------------------------------------------------------------------- (Last) (First) (Middle) 111 Briney Avenue, #2509 -------------------------------------------------------------------------------- (Street) Pompano Beach, FL 33062 -------------------------------------------------------------------------------- (City) (State) (Zip) -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Immucell Corporation (ICCC) -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) -------------------------------------------------------------------------------- 4. Statement for Month/Year October 21-22, 2002 -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) Amendment to October 21-22, 2002 Form 4, filed on January 10, 2003 -------------------------------------------------------------------------------- 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] 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 ================================================================================
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, $0.10 par value 10/21/02 P 1,200 A $1.80 284,100 D (1) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.10 par value 10/21/02 P 200 A $1.72 284,300 D (1) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.10 par value 10/21/02 P 1,400 A $1.80 285,700 D n/a ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.10 par value 10/22/02 P 2,000 A $1.80 287,700 D n/a ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.10 par value 10/22/02 P 500 A $1.76 288,200 D n/a ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.10 par value 10/22/02 P 500 A $1.72 288,700 D (1) ------------------------------------------------------------------------------------------------------------------------------------
(1) These shares were acquired by Arterio Inc., a company soley owned by Mr. Rothschild. This Form 4 amends the Form 4 originally filed on October 23, 2002. The original filing unintentionally understated the purchases made beneficially by Mr. Rothschild on October 21, 2002 by 300 shares. In addition to the shares originally reported, Arterio Inc., a company owned solely by Mr. Rothschild, also acquired another 100 shares at $1.80 per share and another 200 shares at $1.72 per share. Accordingly, this amendment also has the effect of amending the following dated Form 4's that were filed subsequent to October 23, 2002 by increasing the end of period holdings by 300 shares: October 31, 2002; November 7, 2002; November 20, 2002; and January 2, 2003. ================================================================================ * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) (Over) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or 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) 4) 4) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: /s/ Michael F. Brigham 1/10/03 --------------------------------------------- ----------------------- Attorney-in-fact Date **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 provided is insufficient, see Instruction 6 for procedure. Page 2