-----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, H6ks9ncKzhyVuZGrjqCePUdhgK1+l0vaRZ9MgoMhehNd/3/jn8Y6UpG7q0tK0a6y /MwdEp/1n8DBYs0QgWQ4NA== 0000950135-97-002436.txt : 19970515 0000950135-97-002436.hdr.sgml : 19970515 ACCESSION NUMBER: 0000950135-97-002436 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970514 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PROTEON INC/MA CENTRAL INDEX KEY: 0000874316 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 042531856 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41872 FILM NUMBER: 97605493 BUSINESS ADDRESS: STREET 1: NINE TECHNOLOGY DRIVE CITY: WESTBOROUGH STATE: MA ZIP: 01581 BUSINESS PHONE: 5088982800 MAIL ADDRESS: STREET 1: 9 TECHNOLOGY DR CITY: WESTBOROUGH STATE: MA ZIP: 01581 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SALWEN HOWARD C CENTRAL INDEX KEY: 0000940588 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 130 DUDLEY ROAD CITY: NOWTON STATE: MA ZIP: 02159 MAIL ADDRESS: STREET 1: 130 DUDLEY ROAD CITY: NEWTON STATE: MA ZIP: 02159 SC 13G/A 1 HOWARD C. SALWEN 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ----------------------------- OMB APPROVAL ----------------------------- SCHEDULE 13G OMB Number 3235-0145 Expires: October 31, 1997 Estimated average burden hour per response...... 14.90 ----------------------------- Under the Securities Exchange Act of 1934 (Amendment No. 2 )* ----- Proteon, Inc, - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 Par Value Per Share - -------------------------------------------------------------------------------- (Title of Class of Securities) 743700106 -------------------- (CUSIP Number) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 2 - ---------------------------- ------------------------------ CUSIP NO. 743700106 13G Page 2 of 5 Pages --------------- --- --- - ---------------------------- ------------------------------ ================================================================================ 1 NAME(S) OF REPORTING PERSON(S) S.S, OR I,R,S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) Howard C. Salwen - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP U.S.A. ================================================================================ NUMBER OF 5 SOLE VOTING POWER SHARES 1,019,564* ------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -O- ------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 894,400 ------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH -0- ================================================================================ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,019,564 * - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.6% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN ================================================================================ 3 - ---------------------------- ------------------------------ CUSIP NO. 743700106 13G Page 3 of 5 Pages --------------- --- --- - ---------------------------- ------------------------------ Item l(a) Name of Issuer -------------- Proteon, Inc. Item l(b) Address of Issuer's Principal Executive Offices ----------------------------------------------- 9 Technology Drive Westborough, MA 01581 Item 2(a) Name of Person Filing --------------------- Howard C. Salwen Item 2(b) Address of Principal Business Office or, if none, Residence ----------------------------------------------------------- 9 Technology Drive Westborough, MA 01581 Item 2(c) Citizenship ----------- U.S.A. Item 2(d) Title of Class of Securities ---------------------------- Common Stock, $.01 Par Value Per Share Item 2(e) CUSIP Number ------------ 743700106 Item 3. If this statement is filed pursuant to Rules 13d-l(b), or 13d-2(b), ------------------------------------------------------------------- check whether the person filing is a ------------------------------------ (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in Section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act (d) [ ] Investment Company registered under Section 8 of the Investment Company Act (e) [ ] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see sec.240.13d-l(b)(1)(ii)(F) 4 - ---------------------------- ------------------------------ CUSIP NO. 743700106 13G Page 4 of 5 Pages --------------- --- --- - ---------------------------- ------------------------------ (g) [ ] Parent Holding Company, in accordance with sec.240.13d-l(b)(1)(ii)(G) (h) [ ] Group, in accordance with sec.240.13d-l(b)(1)(ii)(H) Item 4. Ownership --------- (a) Amount Beneficially Owned: 1,019,564* (b) Percent of Class: 6.6% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1,019,564* (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: 894,400 (iv) shared power to dispose or to direct the disposition of: -0- Item 5. Ownership of Five Percent or Less of a Class -------------------------------------------- n/a Item 6. Ownership of More than Five Percent on Behalf of Another Person --------------------------------------------------------------- n/a Item 7. Identification and Classification of the Subsidiary Which Acquired ------------------------------------------------------------------ the Security Being Reported on By the Parent Holding Company ------------------------------------------------------------ n/a Item 8. Identification and Classification of Members of the Group --------------------------------------------------------- n/a Item 9. Notice of Dissolution of Group ------------------------------ n/a 5 - ---------------------------- ------------------------------ CUSIP NO. 743700106 13G Page 5 of 5 Pages --------------- --- --- - ---------------------------- ------------------------------ Item 10. Certification ------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. Signature --------- After reasonably inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. DATE: 4/25/97 BY: /s/ Howard C. Salwen --------------------------- ---------------------------------------- Howard C. Salwen * Reporting person disclaims beneficial ownership of 125,164 shares held in irrevocable trust. -----END PRIVACY-ENHANCED MESSAGE-----