-----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, HiLKVlcxrq+gTnqj6dt8FonETqYWiRkZaf+rify68Dhp02S0tdCvhucEqAAXtXBV BSp5ytptJHbdlE5dz+7/fg== 0000921895-97-000525.txt : 19970801 0000921895-97-000525.hdr.sgml : 19970801 ACCESSION NUMBER: 0000921895-97-000525 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970331 FILED AS OF DATE: 19970731 SROS: AMEX FILER: COMPANY DATA: COMPANY CONFORMED NAME: SHEFFIELD PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000894158 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 133808303 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-12584 FILM NUMBER: 97648924 BUSINESS ADDRESS: STREET 1: 30 ROCKEFELLER PLAZA STREET 2: SUITE 4515 CITY: NEW YORK STATE: NY ZIP: 10112 BUSINESS PHONE: 2129576600 MAIL ADDRESS: STREET 1: 30 ROCKEFELLER PLAZA STREET 2: SUITE 4515 CITY: NEW YORK STATE: NY ZIP: 10112 FORMER COMPANY: FORMER CONFORMED NAME: SHEFFIELD MEDICAL TECHNOLOGIES INC DATE OF NAME CHANGE: 19940606 10-Q/A 1 FORM 10-Q/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 --------------------- FORM 10-Q/A (Amendment No. 1) (Mark One) /X/ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 1997 OR / / TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ________ to ________ Commission file number 1-12584 SHEFFIELD PHARMACEUTICALS, INC. - -------------------------------------------------------------------------------- (Exact name of Registrant as Specified in its Charter) DELAWARE 13-3808303 - --------------------------------- ---------------------------- (State or Other Jurisdiction (IRS Employer Identification of Incorporation or Organization) Number) 30 ROCKEFELLER PLAZA, NEW YORK, NEW YORK 10112 - ---------------------------------------- ---------- (Address of Principal Executive Offices) (Zip Code) Registrant's Telephone Number, Including Area Code: (212) 957-6600 SHEFFIELD MEDICAL TECHNOLOGIES INC. - -------------------------------------------------------------------------------- (Former Name, Former Address and Former Fiscal Year, if Changed Since Last Report) Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes X No ----- ----- Indicate the number of shares outstanding of each of the issuer's classes of common stock, as of the latest practicable date: At March 31, 1997 there were outstanding 11,388,274 shares of Common Stock, $.01 par value, of the Registrant. ITEM 2. CHANGES IN SECURITIES. The following unregistered securities were issued by the Company during the quarter ended March 31, 1997:
Number of Shares Sold/Issued/ Subject to Offering/ Date of Description of Options or Exercise Price Sale/Issuance Securities Issued Warrants per share ($) Purchaser or Class - -------------------- ----------------------- --------------------- ------------------- ------------------------- January 1997 Common Stock 5,000 3.25 - 3.50 Advisor Options January - March Common Stock 7,500 2.75 - 3.6875 Advisor 1997 Options January 1, 1997 Common Stock 45,000 3.25 Issuances to Options Directors pursuant to Directors Stock Option Plan March 1997 Common Stock 6,000 3.0625 - 3.25 Issuances to Options employees pursuant to 1993 Stock Option Plan March 1997 Common Stock 15,000 3.1875 Legal Counsel Options
The issuance of these securities are claimed to be exempt from registration pursuant to Section 4(2) of the Securities Act of 1933, as amended, as transactions by an issuer not involving a public offering. There were no underwriting discounts or commissions paid in connection with the issuance of any of these securities. -1- S I G N A T U R E S Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. SHEFFIELD PHARMACEUTICALS, INC. /S/ GEORGE LOMBARDI ------------------------- George Lombardi (Vice President and Chief Financial Officer) Date: July 31, 1997 -2- -----END PRIVACY-ENHANCED MESSAGE-----