-----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, TaPzY9e9SwNvDuwi2NFSA8KkgLgbwHs7jqAWtd8VJPcQMe2GH6dbS5yZfAPoSFY/ VXE3dLBcef9LWH+6DCZpTQ== 0000899681-07-000237.txt : 20070315 0000899681-07-000237.hdr.sgml : 20070315 20070315163334 ACCESSION NUMBER: 0000899681-07-000237 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20070313 FILED AS OF DATE: 20070315 DATE AS OF CHANGE: 20070315 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEOSE TECHNOLOGIES INC CENTRAL INDEX KEY: 0000877902 STANDARD INDUSTRIAL CLASSIFICATION: MEDICINAL CHEMICALS & BOTANICAL PRODUCTS [2833] IRS NUMBER: 133549286 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 102 WITMER RD CITY: HORSHAM STATE: PA ZIP: 19044 BUSINESS PHONE: 2154415890 MAIL ADDRESS: STREET 1: 102 WITMER ROAD CITY: HORSHAM STATE: PA ZIP: 19044 FORMER COMPANY: FORMER CONFORMED NAME: NEOSE PHARMACEUTICALS INC DATE OF NAME CHANGE: 19950817 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RACHESKY MARK H MD CENTRAL INDEX KEY: 0001194368 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27718 FILM NUMBER: 07696812 BUSINESS ADDRESS: STREET 1: NEOSE TECHNOLOGIES INC STREET 2: 102 WITMER RD CITY: HORSHAM STATE: PA ZIP: 19044 BUSINESS PHONE: 2122620005 MAIL ADDRESS: STREET 1: 40 WEST 57TH STREET, 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-03-13 0000877902 NEOSE TECHNOLOGIES INC NTEC 0001194368 RACHESKY MARK H MD 40 WEST 57TH STREET 24TH FLOOR NEW YORK NY 10019 1 0 0 0 Common Stock 2007-03-13 4 P 0 2219242 A 3056493 I See footnote Common Stock 2007-03-13 4 P 0 256005 A 367832 I See footnote Common Stock 502759 I See footnote Common Stock 42105 I See footnote Common Stock Purchase Warrant (right to buy) 1.96 2007-03-13 4 P 0 998659 A 2007-03-09 2012-03-09 Common Stock 998659 998659 I See footnote (2) Common Stock Purchase Warrant (right to buy) 1.96 2007-03-13 4 P 0 115202 A 2007-03-09 2012-03-09 Common Stock 115202 115202 I See footnote (3) See Exhibit 99. See Exhibit 99. See Exhibit 99. See Exhibit 99. See Exhibit 99. The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of any securities not held directly for his or its account for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. Mark H. Rachesky, M.D. 2007-03-15 EX-99 2 rachesky-ex99_031407.txt EXHIBIT 99 (1) The reported securities are included within units (the "Units") purchased pursuant to a Securities Purchase Agreement with the Issuer dated March 8, 2007. The purchase price per Unit was $2.02, and each Unit consists of one share of common stock of the Issuer, par value $.01 per share (the "Common Stock") and 45/100 of a warrant to purchase one share of Common Stock (a "Warrant"). (2) These securities are held for the account of MHR Capital Partners Master Account LP, an Anguilla, British West Indies limited partnership ("Master Account"). MHR Advisors LLC, a Delaware limited liability company ("Advisors"), is the general partner of Master Account. Mark H. Rachesky, M.D. ("Dr. Rachesky") is the managing member of Advisors. In such capacity, Dr. Rachesky may be deemed to be the beneficial owner of the securities held for the account of Master Account. MHR Fund Management LLC, a Delaware limited liability company ("Fund Management"), has an investment management agreement with Master Account pursuant to which it has the power to vote or direct the vote and to dispose or to direct the disposition of the securities held for the account of Master Account and, accordingly, Fund Management may be deemed to beneficially own the securities held for the account of Master Account. The Reporting Person previously reported indirect beneficial ownership of securities of the Issuer on Form 4 held for the account of MHR Capital Partners (500) LP (f/k/a MHR Capital Partners LP) ("Capital Partners (500)"). Capital Partners (500) transferred 837,251 shares of Common Stock previously owned by Capital Partners (500) to Master Account. (3) These securities are held for the account of MHR Capital Partners (100) LP, a Delaware limited partnership ("Capital Partners (100)"). Advisors is the general partner of Capital Partners (100). Dr. Rachesky is the managing member of Advisors. In such capacity, Dr. Rachesky may be deemed to be the beneficial owner of the securities held for the account of Capital Partners (100). Fund Management has an investment management agreement with Capital Partners (100) pursuant to which it has the power to vote or direct the vote and to dispose or to direct the disposition of the securities held for the account of Capital Partners (100) and, accordingly, Fund Management may be deemed to beneficially own the securities held for the account of Capital Partners (100). The Reporting Person previously reported indirect beneficial ownership of securities of the Issuer on Form 4 held for the account of Capital Partners (500). Capital Partners (500) transferred 111,827 shares of Common Stock previously owned by Capital Partners (500) to Capital Partners (100). (4) These securities are held for the account of MRL Partners LP, a Delaware limited partnership ("MRL"). Advisors is the general partner of MRL. Dr. Rachesky is the managing member of Advisors. In such capacity, Dr. Rachesky may be deemed to be the beneficial owner of the securities held for the account of MRL. Fund Management has an investment management agreement with MRL pursuant to which it has the power to vote or direct the vote and to dispose or to direct the disposition of the securities held for the account of MRL and, accordingly, Fund Management may be deemed to beneficially own the securities held for the account of MRL. (5) These securities are held for the account of OTT LLC, a Delaware limited liability company ("OTT"). Dr. Rachesky is the managing member of OTT. In such capacity, Dr. Rachesky may be deemed to be the beneficial owner of the securities held for the account of OTT. -----END PRIVACY-ENHANCED MESSAGE-----