-----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, T2Ph0pUdXSuSbRJZxtgT/dM3rhHaTTbQozDZpygu51QnjHUn1Tmte2NKTogTckeS FXDOwFQG7BQNLpNIRvFOOw== /in/edgar/work/20000710/0001005477-00-005041/0001005477-00-005041.txt : 20000712 0001005477-00-005041.hdr.sgml : 20000712 ACCESSION NUMBER: 0001005477-00-005041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000601 FILED AS OF DATE: 20000710 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CELL THERAPEUTICS INC CENTRAL INDEX KEY: 0000891293 STANDARD INDUSTRIAL CLASSIFICATION: [2834 ] IRS NUMBER: 911533912 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-12465 FILM NUMBER: 670495 BUSINESS ADDRESS: STREET 1: 201 ELLIOTT AVE W STREET 2: STE 400 CITY: SEATTLE STATE: WA ZIP: 98119 BUSINESS PHONE: 2062707100 COMPANY DATA: COMPANY CONFORMED NAME: ROSENWALD LINDSAY A MD CENTRAL INDEX KEY: 0000941841 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 375 PARK AVE STREET 2: SUITE 1501 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128324366 MAIL ADDRESS: STREET 1: 375 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10152 FORMER COMPANY: FORMER CONFORMED NAME: ROSENWALD LINDSAY MD DATE OF NAME CHANGE: 19950316 4 1 0001.txt FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 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* Rosenwald, M.D. Lindsay A. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Paramount Capital Asset Management, Inc. 787 Seventh Avenue, 48th Floor - -------------------------------------------------------------------------------- (Street) New York NY 10019 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Cell Therapeutics, Inc. (CTIC) ================================================================================ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ================================================================================ 4. Statement for Month/Year June 2000 ================================================================================ 5. If Amendment, Date of Original (Month/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 ================================================================================ * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ---------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/02/00 P 6,010 A $17.750 3,502,210(1) I By The Aries Master Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/05/00 P 6,010 A $18.500 3,502,210(1) I By The Aries Master Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/06/00 P 4,207 A $19.718 3,502,210(1) I By The Aries Master Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/07/00 P 3,005 A $19.580 3,502,210(1) I By The Aries Master Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/07/00 P 6,010 A $19.310 3,502,210(1) I By The Aries Master Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/13/00 P 3,029 A $22.310 3,502,210(1) I By The Aries Master Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/02/00 P 3,224 A $17.750 3,502,210(1) I By The Aries Domestic Fund, L.P.(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/05/00 P 3,224 A $18.500 3,502,210(1) I By The Aries Domestic Fund, L.P.(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/06/00 P 2,257 A $19.718 3,502,210(1) I By The Aries Domestic Fund, L.P.(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/07/00 P 1,612 A $19.580 3,502,210(1) I By The Aries Domestic Fund, L.P.(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/07/00 P 3,224 A $19.310 3,502,210(1) I By The Aries Domestic Fund, L.P.(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/13/00 P 1,584 A $22.310 3,502,210(1) I By The Aries Domestic Fund, L.P.(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/02/00 P 766 A $17.750 3,502,210(1) I By The Aries Domestic Fund II, L.P.(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/05/00 P 766 A $18.500 3,502,210(1) I By The Aries Domestic Fund II, L.P.(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/06/00 P 536 A $19.718 3,502,210(1) I By The Aries Domestic Fund II, L.P.(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/07/00 P 383 A $19.580 3,502,210(1) I By The Aries Domestic Fund II, L.P.(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/07/00 P 766 A $19.310 3,502,210(1) I By The Aries Domestic Fund II, L.P.(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 06/13/00 P 387 A $22.310 3,502,210(1) I By The Aries Domestic Fund II, L.P.(2) ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of 3 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- Form of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature of Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ N/A ====================================================================================================================================
Explanation of Responses: (1) See Attachment A. (2) Paramount Capital Asset Management, Inc. ("PCAM") is the general partner of each of the Aries Domestic Fund, L.P. ("Aries I") and Aries Domestic Fund II, L.P. ("Aries II"), each a Delaware limited partnership, and also serves as the investment manager of the Aries Master Fund II, a Cayman Island exempted company (the "Master Fund"), which also owns securities of the Issuer. Dr. Rosenwald is the chairman and sole stockholder of PCAM. As a result, Dr. Rosenwald and PCAM may be deemed to have voting and investment control over the securities of the issuer owned by the Aries Funds under Rule 16a-(a)(1) of the Securities Exchange Act of 1934. Dr. Rosenwald and PCAM disclaim beneficial ownership of the securities held by the Aries Funds, except to the extent of its pecuniary interest therein, if any. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Lindsay A. Rosenwald July 10, 2000 - --------------------------------------------- ----------------------- ** Signature of Reporting Person Date Lindsay A. Rosenwald, M.D. Chairman Paramount Capital Asset Management, Inc. Investment Manager - Aries Master Fund II General Partner - Aries Domestic Fund, L.P. General Partner - Aries Domestic Fund II, L.P. Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2 of 3 ATTACHMENT A Securities beneficially owned by Dr. Rosenwald are presented on an as-converted basis and consist of the following: 1. 973,918 shares of Common Stock owned directly by Dr. Rosenwald; 2. 780,578 shares of Common Stock issuable upon conversion of 1,688 shares of Series D Convertible Preferred Stock; Warrants to purchase 257,219 shares of Common Stock; and 638,318 shares of Common Stock purchased in the open market owned by the Aries Master Fund II; 3. 316,301 shares of Common Stock issuable upon conversion of 684 shares of Series D Convertible Preferred Stock; Warrants to purchase 104,229 shares of Common Stock; and 329,132 shares of Common Stock purchased in the open market owned by the Aries Domestic Fund, L.P.; and 4. 24,509 shares of Common Stock issuable upon conversion of 53 shares of Series D Convertible Preferred Stock; Warrants to purchase 8,076 shares of Common Stock; and 69,930 shares of Common Stock purchased in the open market owned by the Aries Domestic Fund II, L.P. Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----