-----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, ARu8Vkd9xMKmjBlUWIOwGTVf4Fyk6FMtVhi7cLk9c4GgIrUrcY1Ve5A6Ul0F6ZBz 5m3jFz+2y92FkneKrTz81Q== 0000898432-03-000633.txt : 20030724 0000898432-03-000633.hdr.sgml : 20030724 20030711193935 ACCESSION NUMBER: 0000898432-03-000633 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030707 FILED AS OF DATE: 20030714 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31732 FILM NUMBER: 03784459 BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IMMUNE RESPONSE CORP CENTRAL INDEX KEY: 0000817785 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 330255679 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5935 DARWIN COURT CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 6194317080 MAIL ADDRESS: STREET 1: 5935 DARWIN COURT CITY: CARLSBAD STATE: CA ZIP: 92008 4 1 kevinbkimberlin-form4_ex.xml X0101 4 2003-07-07 0000817785 IMMUNE RESPONSE CORP IMNR 0000904841 KIMBERLIN KEVIN 1 0 1 0 Common Stock, par value $.0025 per share 2003-07-07 4 P 0 2662332 1.33 A 9483139 I See Notes Class A warrants 1.33 2003-07-07 4 X 0 1774888 2360601 A 2002-12-10 2003-07-07 Common Stock Class B Warrants 1774888 24606788 I See Notes 8% Convertible Debenture due 2005 1.4570 2003-07-07 4 H 0 2611709 3805260.27 D 2003-06-10 2003-07-07 Common Stock 2611709 21995079 I See Notes 8% Convertible Debenture due 2005 1.4570 2003-07-07 4 H 0 1006986 1467178.03 A 2003-07-07 2006-07-07 Common Stock 1006986 23002065 I See Notes This number does not include the number from Column 9 in Table II 8,750 shares of stock are held by the reporting person's spouse. 4,000 shares of common stock are held by Kimberlin Family Partners, L.P., a Colorado limited partnership, of which the reporting person is the general partner. 448,717 shares of common stock are held by Kevin Kimberlin Partners, L.P., a Delaware limited partnership ("KKP"), of which the general partner is KKP Management LLC, of which the reporting person is the managing member. 6,535,792 shares of common stock are held by Cheshire Associates LLC, of which the reporting person is a related party. 2,485,880 shares of the Issuer's common stock are held collectively by Spencer Trask Private Equity Fund I, Spencer Trask Private Equity Fund II and Spencer Trask Private Equity/Accredited Fund III, LLC (collectively, the "Funds"). The reporting person is approximately an 80% owner of the entity that is a 100% owner of the manager of such Funds. The reporting person disclaims beneficial ownership of the 2,485,880 shares of the Issuer's common stock held by the Funds except to the extent of the reporting person's pecuniary interest therein. In filing this Form 4 and reporting the information contained herein, the undersigned is not admitting to or conceding beneficial ownership of the 2,485,880 shares of common stock pursuant to Sections 13 or 16 of the Securities Exchange Act of 1934, as amended, or any rule or regulation promulgated thereunder. On July 7, 2003, Cheshire Associates LLC, of which the reporting person is a related party, exercised 1,774,888 Class A warrants in accordance with the revised terms for certain holders of shares of common stock and Class A warrants issued by the Issuer in connection with its December 2002 private placement. Upon exercise of the Class A warrants, Cheshire Associates LLC received 2,662,332 shares of common stock and 1,774,888 Class B warrants of the Issuer. Cheshire Associates LLC satisfied the payment of the aggregate exercise price for its exercise of the 1,774,888 Class A warrants (i.e., $2,360,601) by means of its partial cancellation and surrender of the $3,805,260.27 8% Convertible Secured Promissory Note issued by IRC in favor of Cheshire on 6/10/03. On July 7, 2003, Cheshire Associates LLC also purchased a $1,467,178.03 promissory note initially convertible into 1,006,986 shares of the Issuer's common stock. Such note was issued in consideration for the partial cancellation and surrender of the $3,805,260.27 8% Convertible Secured Promissory Note issued by IRC in favor of Cheshire on 6/10/03. This number includes the number of shares of the Issuer's common stock underlying options, convertible notes and warrants held by the reporting person or related parties of the reporting person, including 994,352 shares of common stock underlying the Class B warrants held by the Funds. The reporting person disclaims beneficial ownership of the 994,352 shares of the Issuer's common stock underlying the Class B warrants held by the Funds except to the extent of the reporting person's pecuniary interest therein. In filing this Form 4 and reporting the information contained herein, the undersigned is not admitting to or conceding beneficial ownership of the 994,352 shares of common stock pursuant to Sections 13 or 16 of the Securities Exchange Act of 1934, as amended, or any rule or regulation promulgated thereunder. /s/ KEVIN B. KIMBERLIN 2003-07-11 -----END PRIVACY-ENHANCED MESSAGE-----