-----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, MwMqh8hwESFgN5LVSCJPHK2T65UA+Rx1g5d0pTtkSK1d4Tryn5AVYBryBdvBHKaT Ut08ANL/TBnQZ14XuKFHaw== 0001140361-09-021819.txt : 20090928 0001140361-09-021819.hdr.sgml : 20090928 20090928132043 ACCESSION NUMBER: 0001140361-09-021819 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090924 FILED AS OF DATE: 20090928 DATE AS OF CHANGE: 20090928 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAVAZZA CLAUDIO CENTRAL INDEX KEY: 0001164803 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16929 FILM NUMBER: 091089716 MAIL ADDRESS: STREET 1: VIA SUDAFRICA 20 CITY: ROME ITALY STATE: L6 ZIP: 00000 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DOR BIOPHARMA INC CENTRAL INDEX KEY: 0000812796 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 411505029 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 29 EMMONS DRIVE STREET 2: SUITE C-10 CITY: PRINCETON STATE: NJ ZIP: 08540 BUSINESS PHONE: 609-452-0001 MAIL ADDRESS: STREET 1: 29 EMMONS DRIVE STREET 2: SUITE C-10 CITY: PRINCETON STATE: NJ ZIP: 08540 FORMER COMPANY: FORMER CONFORMED NAME: ENDOREX CORP DATE OF NAME CHANGE: 19960916 FORMER COMPANY: FORMER CONFORMED NAME: IMMUNOTHERAPEUTICS INC DATE OF NAME CHANGE: 19920703 4 1 doc1.xml FORM 4 X0303 4 2009-09-24 0 0000812796 DOR BIOPHARMA INC DORB 0001164803 CAVAZZA CLAUDIO VIA SUDAFRICA, 20 ROME L6 00144 ITALY 0 0 1 0 Common Stock 2009-09-24 4 P 0 3952569 0.253 A 45619236 I Indirect Common Stock Warrant (warrant to buy) 0.278 2009-09-24 4 J 0 1 0 A 2009-09-27 2014-09-27 Common Stock 1976284 1 I Indirect Shares directly owned by Sigma-Tau Pharmaceuticals, Inc. (?Pharmaceuticals?). Pharmaceuticals is a direct wholly-owned subsidiary of Sigma-Tau America S.A. (?America?). America is a direct wholly-owned subsidiary of Sigma-Tau International S.A. (?International?). International is a direct wholly-owned subsidiary of Sigma-Tau Finanziaria S.p.A. ("Sigma Tau"). Claudio Cavazza directly and indirectly owns 57% of Sigma Tau. This warrant was issued by the Issuer to Pharmaceuticals in consideration of Pharmaceuticals? purchase of 3,952,569 shares of common stock on September 24, 2009. The expiration date of the warrant may be accelerated at the Issuer?s option if the Issuer?s common stock meets certain price thresholds and the common shares underlying the warrant are registered for resale pursuant to an effective registration statement or are freely transferable without volume restrictions pursuant to Rule 144 under the Securities Act of 1933, as amended. /s/ Maurizio Terenzi, Proxy-holder authorized 2009-09-28 -----END PRIVACY-ENHANCED MESSAGE-----