-----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, SeK/PSl0pP5CKC2H5ZgK6G9/ty1N6kWPD1n/4YzibBLrJ/RW2LdZwbBy3pYkWO21 t9wNzNJHGD3HkOizPEMaaw== 0001005794-03-000039.txt : 20030218 0001005794-03-000039.hdr.sgml : 20030217 20030218112118 ACCESSION NUMBER: 0001005794-03-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030214 FILED AS OF DATE: 20030218 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: GREGORY JOHN M CENTRAL INDEX KEY: 0001200376 RELATIONSHIP: OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 340 EDGEMONT AVE STREET 2: SUITE 500 CITY: BRISTOL STATE: TN ZIP: 37620 BUSINESS PHONE: 4239897211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CELLEGY PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000887247 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 820429727 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26372 FILM NUMBER: 03570343 BUSINESS ADDRESS: STREET 1: 349 OYSTER POINT BLVD. STREET 2: SUITE 200 CITY: SO. SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 6506262200 MAIL ADDRESS: STREET 1: 349 OYSTER POINT BLVD. STREET 2: SUITE 200 CITY: SO. SAN FRANCISCO STATE: CA ZIP: 94080 4 1 f4jmg021403.txt STATEMENT OF BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* GREGORY JOHN M. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 340 EDGEMONT AVENUE, SUITE 500 - -------------------------------------------------------------------------------- (Street) BRISTOL, TN 37620 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol CELLEGY PHARMACEUTICALS, INC. (CLGY) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) ================================================================================ 4. Statement for Month/Day/Year 02/14/2003 ================================================================================ 5. If Amendment, Date of Original (Month/Day/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ X ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) [ ] Form filed by one Reporting Person [ X ] Form filed by more than one Reporting Person ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship 2A. 3. Disposed of (D) Beneficially Form: 7. Deemed Transaction (Instr. 3, 4 and 5) Owned Follow- Direct Nature of 2. Execution Code ------------------------------- ing Reported (D) or Indirect 1. Transaction Date, if (Instr. 8) (A) Transaction Indirect Beneficial Title of Security Date any ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 02/14/03 N/A J(1) 4,884,330 D N/A D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 02/14/03 N/A J(1) 4,884,330 A N/A 4,884,330 (2) (2) ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of 4 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. Number of 10. Deriv- Owner- ative ship 2. Secur- of Conver- 5. 7. ities Deriv- 11. sion Number of Title and Amount Bene- ative Nature of Derivative 6. of Underlying 8. ficially Secur- of Exer- 3A. 4. Securities Date Securities Price Owned ity: In- cise 3. Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Follow- Direct direct Price Trans- Execu- action or Disposed Expiration Date ---------------- Deriv- ing (D) or Bene- 1. of action tion Code of(D) (Month/Day/Year) Amount ative Reported In- ficial Title of Deriv- Date Date, (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner- Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity action(s)(I) ship Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Shares were transferred to SJ Strategic Investments, LLC, ("SJSI") an entity controlled by John M. Gregory. (2) These shares are owned directly by SJSI, a ten percent owner of the issuer, and indirectly by John M. Gregory, as the Managing Member of SJSI and due to his financial interests in SJSI. Mrs. Gregory may also be deemed to be the beneficial owner of the shares as a result of her financial interests in SJSI. By: /s/ John M. Gregory 02/18/2003 ----------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedures. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to Rule 101(b)(4) of Regulation S-T. Page 2 of 4 JOINT FILER INFORMATION Name: Joan P. Gregory Address: 340 Edgemont Avenue, Suite 500 Bristol, TN 37620 Designated Filer: John M. Gregory Issuer & Ticker Symbol: Cellegy Pharmaceuticals, Inc. (CLGY) Date of Event Requiring Statement: February 14, 2003 Signature: /s/ Joan P. Gregory ------------------------------ Page 3 of 4 pages JOINT FILER INFORMATION Name: SJ Strategic Investements, LLC Address: 340 Edgemont Avenue, Suite 500 Bristol, TN 37620 Designated Filer: John M. Gregory Issuer & Ticker Symbol: Cellegy Pharmaceuticals, Inc. (CLGY) Date of Event Requiring Statement: February 14, 2003 SJ Strategic Investments, LLC Signature: /s/ John M. Gregory ------------------------------------- By: John M. Gregory Its: Managing Member Page 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----