-----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, NSxwEFvjyXLISNFVM5Sf+aIfJc72G60GdWfWxw91hVzizJhDah7Z3RiFx7XewlC9 13hEd5geDmLPMx2e9uuBUQ== 0000902664-03-001925.txt : 20031212 0000902664-03-001925.hdr.sgml : 20031212 20031212191940 ACCESSION NUMBER: 0000902664-03-001925 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031209 FILED AS OF DATE: 20031212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MILLENNIUM MANAGEMENT LLC CENTRAL INDEX KEY: 0001273087 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19871 FILM NUMBER: 031052902 MAIL ADDRESS: STREET 1: 666 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10103-0899 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MILLENNIUM HOLDING GROUP LP CENTRAL INDEX KEY: 0001273089 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19871 FILM NUMBER: 031052900 MAIL ADDRESS: STREET 1: 666 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10103-0899 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RIVERVIEW GROUP LLC CENTRAL INDEX KEY: 0001273091 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19871 FILM NUMBER: 031052901 MAIL ADDRESS: STREET 1: 666 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10103-0899 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STEMCELLS INC CENTRAL INDEX KEY: 0000883975 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 943078125 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3155 PORTER DRIVE STREET 2: . CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 6504753100 MAIL ADDRESS: STREET 1: 3155 PORTER DRIVE STREET 2: . CITY: PALO ALTO STATE: CA ZIP: 94304 FORMER COMPANY: FORMER CONFORMED NAME: CYTOTHERAPEUTICS INC/DE DATE OF NAME CHANGE: 19930328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ENGLANDER ISRAEL A CENTRAL INDEX KEY: 0001017456 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19871 FILM NUMBER: 031052899 BUSINESS ADDRESS: STREET 1: 111 BROEDWAY 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 2123767158 MAIL ADDRESS: STREET 1: 111 BROADWAY 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10006 3 1 srz9557020v1_ex.xml X0201 3 2003-12-09 0 0000883975 STEMCELLS INC STEM 0001273087 MILLENNIUM MANAGEMENT LLC 666 FIFTH AVE NEW YORK NY 10103-0899 0 0 1 0 0001273091 RIVERVIEW GROUP LLC 666 FIFTH AVE NEW YORK NY 10103-0899 0 0 1 0 0001273089 MILLENNIUM HOLDING GROUP LP 666 FIFTH AVE NEW YORK NY 10103-0899 0 0 1 0 0001017456 ENGLANDER ISRAEL A 111 BROADWAY 20TH FLOOR NEW YORK NY 10006 0 0 1 0 Common Stock, par value $0.01 per share 5000000 I See Common Stock Warrants (right to buy) 4.73 2005-07-31 Common Stock 101587 I See Common Stock Warrants (right to buy) 3.42 2005-12-04 Common Stock 350877 I See Common Stock Warrants (right to buy) 6.03 2005-08-30 Common Stock 19900 I See Common Stock Warrants (right to buy) 4.77 2006-06-09 Common Stock 50352 I See Common Stock Warrants (right to buy) 1.50 2005-05-08 Common Stock 800000 I See This transaction was affected by The Riverview Group, LLC, a Delaware limited liability company ("Riverview"), which as of the date hereof directly holds 9,026,048 shares of Common Stock of StemCells, Inc. (the "Company"). Riverview is a wholly owned subsidiary of Millennium Holding Group, L.P., a Delaware limited partnership ("Holding"). Millennium Management, LLC, a Delaware limited liability company ("Millennium Management"), is the general partner of Holding and consequently has voting control and investment discretion over securities owned by Holding and by Riverview. Israel A. Englander ("Mr. Englander) is the sole managing member of Millennium Management. As a result, Mr. Englander may be considered the beneficial owner of any shares deemed to be beneficially owned by Millennium Management. Each of Holding, Millennium Management and Mr. Englander disclaims any beneficial ownership of the shares owned by Riverview to the extent such beneficial ownership exceeds such person's pecuniary interest. Millennium Partners, L.P., a Cayman Islands limited partnership ("Partners"), is a limited partner of Holding. As a limited partner, Partners has no ability to control Holding. Therefore, as of the date of this filing, Partners may not be deemed a beneficial owner of the shares of the Company or a member of the above-listed group. Immediately exercisable. MILLENNIUM MANAGEMENT, LLC by /s/ Israel A. Englander, Managing Member 2003-12-12 THE RIVERVIEW GROUP, LLC by /s/ Terry Feeney, Chief Executive Officer 2003-12-12 MILLENNIUM HOLDING GROUP, L.P. By: Millennium Management, LLC as General Partner By: /s/ Israel A. ... 2003-12-12 /s/ Israel A. Englander 2003-12-12 -----END PRIVACY-ENHANCED MESSAGE-----