-----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, QM85bZAuoHCSrjZ/bGKpSTot0KGK0AbXF4lbfL9IUy3xLi6bxC6Pm/UF7qiiY4W2 aRtxuT/p+hlJNKOC//6Wig== 0001104659-10-053806.txt : 20101026 0001104659-10-053806.hdr.sgml : 20101026 20101026194332 ACCESSION NUMBER: 0001104659-10-053806 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100913 FILED AS OF DATE: 20101026 DATE AS OF CHANGE: 20101026 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAMPBELL ANTHONY R CENTRAL INDEX KEY: 0001073308 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-10352 FILM NUMBER: 101143303 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA LABORATORIES INC CENTRAL INDEX KEY: 0000821995 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 592758596 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 354 EISENHOWER PARKWAY CITY: LIVINGSTON STATE: NJ ZIP: 07039 BUSINESS PHONE: 9739943999 MAIL ADDRESS: STREET 1: 354 EISENHOWER PARKWAY CITY: LIVINGSTON STATE: NJ ZIP: 07039 3/A 1 a3a.xml 3/A X0203 3/A 2010-09-13 2008-12-22 0 0000821995 COLUMBIA LABORATORIES INC CBRX 0001073308 CAMPBELL ANTHONY R 0 0 0 1 See Remarks Common Stock, $.01 par value per share 111368 D Common Stock, $.01 par value per share 9125 I By custodian of Individual Retirement Account Common Stock, $.01 par value per share 1470723 I By Knott Partners, L.P. Common Stock, $.01 par value per share 576100 I By Shoshone Partners, L.P. Common Stock, $.01 par value per share 982070 I By Knott Partners Offshore Master Fund, L.P. Common Stock, $.01 par value per share 1600 I By Managed Account A Common Stock, $.01 par value per share 68479 I By Managed Account B Series C Convertible Preferred Stock Common Stock, $.01 par value per share I By custodian of Individual Retirement Account Series E Preferred Stock 2.00 Common Stock, $.01 par value per share 399000 I By Knott Partners, L.P. Series E Preferred Stock 2.00 Common Stock, $.01 par value per share 479000 I By Knott Partners Offshore Master Fund L.P. Series E Preferred Stock 2.00 Common Stock, $.01 par value per share 259000 I By Shoshone Partners, L.P. Series E Preferred Stock 2.00 Common Stock, $.01 par value per share 49000 I By Managed Account B Series E Preferred Stock 2.00 Common Stock, $.01 par value per share 14000 I By Managed Account C Convertible Subordinated Notes due 2011 5.25 2011-12-31 Common Stock, $.01 par value per share 25905 I By Knott Partners, L.P. Convertible Subordinated Notes due 2011 5.25 2011-12-31 Common Stock, $.01 par value per share 119619 I By Shoshone Partners, L.P. Convertible Subordinated Notes due 2011 5.25 2011-12-31 Common Stock, $.01 par value per share 750476 I By Knott Partners Offshore Master Fund L.P. Convertible Subordinated Notes due 2011 5.25 2011-12-31 Common Stock, $.01 par value per share 15810 I By Mulsanne Partners, L.P. Convertible Subordinated Notes due 2011 5.25 2011-12-31 Common Stock, $.01 par value per share 30095 I By Managed Account B Convertible Subordinated Notes due 2011 5.25 2011-12-31 Common Stock, $.01 par value per share 10476 I By Managed Account C Warrant to purchase Common Stock, $.01 par value per share 5.39 2011-09-13 Common Stock, $.01 par value per share 82921 I By Knott Partners, L.P. Warrant to purchase Common Stock, $.01 par value per share 5.39 2011-09-13 Common Stock, $.01 par value per share 116636 I By Shoshone Partners, L.P. Warrant to purchase Common Stock, $.01 par value per share 5.39 2011-09-13 Common Stock, $.01 par value per share 427355 I By Knott Partners Offshore Master Fund, L.P. Warrant to purchase Common Stock, $.01 par value per share 5.39 2011-09-13 Common Stock, $.01 par value per share 4743 I By Mulsanne Partners, L.P. Warrant to purchase Common Stock, $.01 par value per share 5.39 2011-09-13 Common Stock, $.01 par value per share 16479 I By Managed Account B Warrant to purchase Common Stock, $.01 par value per share 5.39 2011-09-13 Common Stock, $.01 par value per share 8868 I By Managed Account C Includes award of 20,833 restricted Shares of Common Stock upon election to Board that vest at the 2009 Annual Meeting. Shares of Series C Convertible Preferred Stock are convertible into Shares of Common Stock. The conversion option does not expire. The number of Shares of Common Stock issuable upon conversion of a Share of the Series C Convertible Preferred Stock will be such number as is equal to the quotient obtained by dividing the stated value of such share ($1,000) by the lower of: (i) $3.50, and (ii) 100% of the average of the closing prices of the Common Stock on the three trading days immediately preceding the receipt by the Company of a conversion notice. This entry relates to 175 shares of Series C Convertible Preferred Stock. The Reporting Person is a member of Knott Partners Management LLC ("KPM"). KPM is the sole general partner of Shoshone Partners, L.P., Mulsanne Partners, L.P. and Knott Partners Offshore Master Fund, L.P., as well as the managing general partner of Knott Partners, L.P. The Reporting Person may be deemed to beneficially own an indirect pecuniary interest in the securities represented in this entry as a result of a performance-related fee. Except with respect to (a) Knott Partners, L.P., in which the Reporting Person owns a beneficial interest, and (b) Knott Partners, L.P., Shoshone Partners, L.P. and Knott Partners Offshore Master Fund, L.P., but only to the extent of the Reporting Person's indirect pecuniary interest in KPM, the Reporting Person disclaims beneficial ownership in such securities except to the extent ultimately realized. Each of Knott Partners, L.P., Shoshone Partners, L.P., Mulsanne Partners, L.P., and Knott Partners Offshore Master Fund, L.P., and each of the Managed Accounts disclaims beneficial ownership of securities reported as owned by any other party. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or any other purpose. These securities are currently convertible or exercisable, as the case may be. These securities do not expire. The securities reported in this entry are convertible at any time but only to the extent that after giving effect to such exercise the holder thereof, together with such holder's affiliates, would not beneficially own in excess of 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. The Reporting Person is a senior analyst of Dorset Management Corporation ("DMC"). DMC provides investment management services to Knott Partners, L.P., Shoshone Partners, L.P., Mulsanne Partners, L.P., Knott Partners Offshore Master Fund, L.P. and the Managed Accounts. Each of Knott Partners, L.P., Shoshone Partners, L.P., Mulsanne Partners, L.P., Knott Partners Offshore Master Fund, L.P. and the Managed Accounts disclaims beneficial ownership of securities reported as owned by any other party. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or any other purpose. This amendment is being filed solely to note that the Reporting Person is no longer a member of the Board of Directors of the Company and does not reflect any change in securities holdings. As of the last filing, the Reporting Person's securities holdings represented less than a 10% interest in securities of the Company. In consequence, the Reporting Person is no longer subject to Section 16 reporting, /s/ Anthony R. Campbell 2010-10-26 -----END PRIVACY-ENHANCED MESSAGE-----