-----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, MJ61C22n9VhXtnj12If1oVLtJ9BEImYxmvdaX2FWMaxbP9znlsulRlLzgAVT2HXc bMkTOgYK2bDw/rJTZ6K60Q== 0001144204-04-001617.txt : 20040217 0001144204-04-001617.hdr.sgml : 20040216 20040217160534 ACCESSION NUMBER: 0001144204-04-001617 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040212 FILED AS OF DATE: 20040217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES SELECT I LLC CENTRAL INDEX KEY: 0001162800 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16929 FILM NUMBER: 04608706 BUSINESS ADDRESS: STREET 1: PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES SELECT LTD CENTRAL INDEX KEY: 0001167537 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16929 FILM NUMBER: 04608707 BUSINESS ADDRESS: STREET 1: PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0001007000 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16929 FILM NUMBER: 04608708 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 1501 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128324379 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES TRUST CENTRAL INDEX KEY: 0001017537 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16929 FILM NUMBER: 04608703 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128325700 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES DOMESTIC FUND L P CENTRAL INDEX KEY: 0001017538 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16929 FILM NUMBER: 04608702 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128325700 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: 1691 MICHIGAN AVE. STREET 2: SUITE 435 CITY: MIAMI STATE: FL ZIP: 33139 BUSINESS PHONE: 305-534-3383 MAIL ADDRESS: STREET 1: 1691 MICHIGAN AVE. STREET 2: SUITE 435 CITY: MIAMI STATE: FL ZIP: 33139 FORMER COMPANY: FORMER CONFORMED NAME: ENDOREX CORP DATE OF NAME CHANGE: 19960916 FORMER COMPANY: FORMER CONFORMED NAME: IMMUNOTHERAPEUTICS INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENWALD LINDSAY A MD CENTRAL INDEX KEY: 0000941841 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16929 FILM NUMBER: 04608700 BUSINESS ADDRESS: STREET 1: 375 PARK AVE STREET 2: SUITE 1501 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128324366 MAIL ADDRESS: STREET 1: 375 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10152 FORMER NAME: FORMER CONFORMED NAME: ROSENWALD LINDSAY MD DATE OF NAME CHANGE: 19950316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES DOMESTIC FUND II L P CENTRAL INDEX KEY: 0001263317 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16929 FILM NUMBER: 04608701 BUSINESS ADDRESS: STREET 1: C/O PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125544300 MAIL ADDRESS: STREET 1: C/O PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NJ ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARIES SELECT II LLC CENTRAL INDEX KEY: 0001263318 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16929 FILM NUMBER: 04608705 BUSINESS ADDRESS: STREET 1: C/O PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125544300 MAIL ADDRESS: STREET 1: C/O PARAMOUNT CAPITAL ASSET MGMT STREET 2: 787 7TH AVE 48TH FL CITY: NEW YORK STATE: NJ ZIP: 10019 4 1 v01631_ex.xml X0201 4 2004-02-12 1 0000812796 DOR BIOPHARMA INC DOR 0001007000 ARIES FINANCIAL SERVICES INC 787 SEVENTH AVENUE 48TH FLOOR NEW YORK NY 10019 0 0 1 0 0001167537 ARIES SELECT LTD PARAMOUNT CAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001162800 ARIES SELECT I LLC PARAMOUNT CAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001263318 ARIES SELECT II LLC C/O PARAMOUNT CAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0001017537 ARIES TRUST C/O PARAMOUNT CAPITAL ASSET MGMT., INC. 787 SEVENTH AVENUE, 48TH FL. NEW YORK NY 10019 0 0 1 0 0001017538 ARIES DOMESTIC FUND L P C/O PARAMOUNT CAPITAL ASSET MGMT., INC. 787 SEVENTH AVE., 48TH FL. NEW YORK NY 10019 0 0 1 0 0001263317 ARIES DOMESTIC FUND II L P C/O PARAMOUNT CAPITAL ASSET MGMT 787 7TH AVE 48TH FL NEW YORK NY 10019 0 0 1 0 0000941841 ROSENWALD LINDSAY A MD PARAMOUNT CAPITAL ASSET MANAGEMENT, INC. 787 SEVENTH AVENUE, 48TH FL. NEW YORK NY 10019 0 0 1 0 Equity 2004-02-12 4 J 0 886399 0 D 3230922 I By Paramount Capital Asset Management, Inc. Warrant 2.5438 2004-02-12 4 J 0 1141622 0 D 1998-04-16 2008-04-16 Common 1141622 168692 I By Paramount Capital Asset Mangagement, Inc. Warrant 0.8756 2004-02-14 4 J 0 367340 0 D 2003-09-17 2008-09-16 Common 367340 168692 I By Paramount Capital Asset Management, Inc. Warrant 2.5438 2004-02-12 4 J 0 292411 0 D 1998-04-16 2008-04-16 Common 292411 168692 I By Paramount Capital Asset Management, Inc. Warrant 5.25 2004-02-12 4 J 0 66931 0 D 2000-10-12 2007-10-11 Common 66931 168692 I By Paramount Capital Asset Management, Inc. Warrant 8.11 2004-02-12 4 J 0 82469 0 D 2001-11-08 2008-11-08 Common 82469 168692 I By Paramount Capital Asset Management, Inc. On February 12, 2004 the Reporting Party engaged in the following transactions: (a) the Reporting Person transferred 176,481 shares of Common Stock of the Issuer and warrants to purchase 1,787,058 shares of Common Stock of the Issuer to the Lindsay A. Rosenwald 2000 Irrevocable Indenture of Trust (the "Trust"); (b) Paramount Capital Drug Development Holdings, LLC, of which the Reporting Person is the sole member, transferred 682,774 shares of Common Stock to the Trust; (c) June Street Corporation and Huntington Street Corporation, for which the Reporting Person is the sole stockholder, each transferred 13,572 shares of Common Stock to the Trust, and . The Reporting Person does not control the right to vote or dispose of the shares held by the Trust. As such, disclaims beneficial ownership over such shares for purposes of Section 13d of the Securities Exchange Act of 1934. The transactions reported herein reduced the number of shares over which the Reporting Person has voting and dispositive control by 2,673,457 shares of Common Stock. Dr. Rosenwald is chairman and sole stockholder of Paramount Capital Asset Management, Inc. ("PCAM"). PCAM is the managing member of Aries Select I, LLC ("AS1") and Aries Select II, LLC ("AS2"), each a Delaware LLC, the general partner of the Aries Domestic Fund, L.P. ("ADF1") and Aries Domestic Fund II, L.P. ("ADF2"), each a Delaware limited partnership, and the investment manager of Aries Select, Ltd. ("Aries Select") and the Aries Master Fund II ("AMF2"), each a Cayman Island exempted company (such entities referred to above, the "Aries Funds"). Dr. Rosenwald and PCAM may be deemed to beneficially own the securities of the Issuer owned by the Aries Funds under Rule 16a-1(a)(1) of the Securities Exchange Act of 1934. Each of Dr. Rosenwald and PCAM disclaim beneficial ownership of the securities held by the Aries Funds under Rule 16a-1(a)(2), except to the extent of its pecuniary interest therein, if a ny. Following the transactions described in Table 1 and 2, Dr. Rosenwald may be deemed to beneficially own 3,399,684 shares of Common Stock ("Shares") as follows: (a) 2,214,493 Shares and warrants to purchase 112,159 Shares owned by Aries Select; (b) 996,215 Shares and warrants to purchase 56,533 Shares owned by AS1, including; and (c) 20,284 Shares owned by AS2. Chief Executive Officer Paramount Capital Asset Management,Inc. /s/ Lindsay A. Rosenwald, M.D. 2004-02-12 -----END PRIVACY-ENHANCED MESSAGE-----