-----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, CUiH3KNRxBZn3/U4VqtCjdPLhzyvmgvCVptNEjZk18d+CZ0SkNwq+lZSnc7VP3vf JSK4lFpJNoton4tqr70Xrg== 0000902664-09-001041.txt : 20090219 0000902664-09-001041.hdr.sgml : 20090219 20090219201632 ACCESSION NUMBER: 0000902664-09-001041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090217 FILED AS OF DATE: 20090219 DATE AS OF CHANGE: 20090219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHAFER OSCAR CENTRAL INDEX KEY: 0001135943 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17254 FILM NUMBER: 09622928 MAIL ADDRESS: STREET 1: 150 CENTRAL PARK SOUTH STREET 2: APT. 3601 CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OSS CAPITAL MANAGEMENT CENTRAL INDEX KEY: 0001218321 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17254 FILM NUMBER: 09622927 MAIL ADDRESS: STREET 1: 605 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10158 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goffe Andrew J. CENTRAL INDEX KEY: 0001430370 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17254 FILM NUMBER: 09622925 BUSINESS ADDRESS: BUSINESS PHONE: 212-756-8700 MAIL ADDRESS: STREET 1: 598 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NOVEN PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000815838 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 592767632 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11960 SW 144TH ST CITY: MIAMI STATE: FL ZIP: 33186 BUSINESS PHONE: 3052535099 MAIL ADDRESS: STREET 1: 11960 SW 144TH STREET CITY: MIAMI STATE: FL ZIP: 33185 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schafer Brother LLC CENTRAL INDEX KEY: 0001430686 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17254 FILM NUMBER: 09622926 BUSINESS ADDRESS: STREET 1: 598 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-756-8700 MAIL ADDRESS: STREET 1: 598 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 4 1 p09-0523form4_ex.xml X0303 4 2009-02-17 0 0000815838 NOVEN PHARMACEUTICALS INC NOVN 0001218321 OSS CAPITAL MANAGEMENT 598 MADISON AVENUE NEW YORK NY 10022 0 0 1 0 0001430686 Schafer Brother LLC 598 MADISON AVENUE NEW YORK NY 10022 0 0 1 0 0001135943 SCHAFER OSCAR 598 MADISON AVENUE NEW YORK NY 10022 0 0 1 0 0001430370 Goffe Andrew J. 598 MADISON AVENUE NEW YORK NY 10022 0 0 1 0 Common Stock ($.0001 par value) 2009-02-17 4 S 0 17000 9.68 D 2753795 I See Footnote Common Stock ($.0001 par value) 2009-02-18 4 S 0 10000 9.65 D 2743795 I See Footnote This Form 4 is being filed to report that O.S.S. Capital Management LP, a Delaware limited partnership (the "Investment Manager"), Schafer Brothers LLC, a Delaware limited liability company ("SB LLC"), Mr. Oscar S. Schafer ("Mr. Schafer") and Mr. Andrew Goffe ("Mr. Goffe", collectively with the Investment Manager, SB LLC and Mr. Shafer, the "Reporting Persons") have sold 27,000 shares of Noven Pharmaceuticals Inc. common stock. The Reporting Persons have investment discretion with respect to securities held by a Cayman Islands exempted company and two Delaware limited partnerships as more fully described in the Form 3 filed on July 16, 2007 (Accession Number: 0000902664-07-002296), the Form 4 filed on August 8, 2007 (Accession Number: 0000902664-07-002474), the Form 4 filed on August 14, 2007 (Accession Number 0000902664-07-002630), the Form 4 filed on September 12, 2007 (Accession Number 0000902664-07-002795), the Form 4 filed on September 14, 2007 (Accession Number 0000902664-07-002815), the Form 4 filed on September 17, 2007 (Accession Number 0000902664-07-002830), the Form 4 filed on October 2, 2007 (Accession Number 0000902664-07-002925), the Form 4 filed on March 17, 2008 (Accession Number: 0000902664-08-001576), the Form 4 filed on March 31, 2008 (Accession Number 0000902664-08-001729), the Form 4 filed on October 31, 2008 (Accession Number: 0000902664-08-003101). (Footnote 2 cont'd) the Form 4 filed on December 29, 2008 (Accession Number: 0000902664-08-003465), the Form 4 filed on December 31, 2008 (Accession Number: 0000902664-08-003494), the Form 4 filed on January 5, 2009 (Accession Number: 0000902664-09-000011), the Form 4 filed on January 7, 2009 (Accession Number: 0000902664-09-000023), the Form 4 filed on January 9, 2009 (Accession Number: 0000902664-09-000039), the Form 4 filed on January 13, 2009 (Accession Number: 0000902664-09-000050), the Form 4 filed on January 21, 2009 (Accession Number: 0000902664-09-000134), the Form 4 filed on January 29, 2009 (Accession Number: 0000902664-09-000233), the Form 4 filed on February 2, 2009 (Accession Number: 0000902664-09-000284) and the Form 4 filed on February 17, 2009 (Accession Number: 0000902664-09-000924). Each of the Reporting Persons may be deemed to beneficially own 2,743,795 shares of common stock, which represent, together, approximately 11.0% of the outstanding shares of common stock. Each of the Reporting Persons disclaims beneficial ownership of the securities included in this report and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of such person's pecuniary interest therein. /s/ Oscar S. Schafer, Senior Managing Member of Schafer Brothers LLC, the general partner of O.S.S. Capital Management L.P. 2009-02-19 EX-99 2 p09-0523jointfiler.txt JOINT FILER EXHIBIT 99 FORM 4 JOINT FILER INFORMATION Name: Schafer Brothers LLC Address: 598 Madison Avenue New York, NY 10022 Designated Filer: O.S.S. Capital Management LP Issuer and Ticker Symbol: Noven Pharmaceuticals Inc. [ NOVN ] Date of Event requiring statement: February 17, 2009 /s/ Oscar S. Schafer - --------------------------- Oscar S. Schafer Senior Managing Member FORM 4 JOINT FILER INFORMATION Name: Mr. Oscar S. Schafer Address: 598 Madison Avenue New York, NY 10022 Designated Filer: O.S.S. Capital Management LP Issuer and Ticker Symbol: Noven Pharmaceuticals Inc. [ NOVN ] Date of Event requiring statement: February 17, 2009 /s/ Oscar S. Schafer - --------------------------- Oscar S. Schafer EXHIBIT 99 FORM 4 JOINT FILER INFORMATION Name: Mr. Andrew Goffe Address: 598 Madison Avenue New York, NY 10022 Designated Filer: O.S.S. Capital Management LP Issuer and Ticker Symbol: Noven Pharmaceuticals Inc. [ NOVN ] Date of Event requiring statement: February 17, 2009 /s/ Andrew J. Goffe - --------------------------- Andrew J. Goffe -----END PRIVACY-ENHANCED MESSAGE-----