-----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, MXL/m5QbozqUJoZJTnzIjhiTXfaP+nyNXASh9s34ZcfboFFqgSJfqct+icEoO+TN bCTRhRpiHsvgh1ph27WHWQ== 0000769993-99-000032.txt : 19990112 0000769993-99-000032.hdr.sgml : 19990112 ACCESSION NUMBER: 0000769993-99-000032 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981231 FILED AS OF DATE: 19990111 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BIOFIELD CORP \DE\ CENTRAL INDEX KEY: 0001007018 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 133703450 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-27848 FILM NUMBER: 99504218 BUSINESS ADDRESS: STREET 1: 1225 NORTHMEADOW PARKWAY STREET 2: STE 120 CITY: ROSWELL STATE: GA ZIP: 30076 BUSINESS PHONE: 7707408180 MAIL ADDRESS: STREET 1: 1225 NORTHMEADOW PKWY STREET 2: SUITE 120 CITY: ROSWELL STATE: GA ZIP: 30076 COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP LP CENTRAL INDEX KEY: 0000904571 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OTHER IRS NUMBER: 133501777 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 4 1 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP UNITED STATES 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 [ X ] 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* The Goldman Sachs Group, L.P. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 85 Broad Street - -------------------------------------------------------------------------------- (Street) New York, New York 10004 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Biofield Corp. (BZET) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ================================================================================ 4. Statement for Month/Year December/1998 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ ] Officer (give title below) [ X ] Other (specify below) Former 10% Owner ------------------------------------------- ================================================================================ 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 | ==================================================================================================================================== | | | | |6. | | | | | 4. |5. |Owner- | | | | | Securities Acquired (A) or |Amount of |ship | | | | 3. | Disposed of (D) |Securities |Form: |7. | |2. | Transaction| (Instr. 3, 4 and 5) |Beneficially |Direct |Nature of | |Transaction | Code | -------------------------------|Owned at End |(D) or |Indirect | 1. |Date | (Instr. 8) | | (A) | |of Month |Indirect |Beneficial| Title of Security |(Month/Day/ | -----------| Amount | or | Price |(Instr. 3 |(I) |Ownership | (Instr. 3) |Year) | Code | V | | (D) | |and 4) |(Instr.4)|(Instr. 4)| - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | Common Stock | 12/28/98 | S(01) | | 02 | D | 01 | -0- | 02 | 02 | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). 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- |of | | |Conver- | | |5. | |7. | |ative |Deriv-|11. | |sion | | |Number of | |Title and Amount | |Secur- |ative |Nature| |or | | |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) | - -----------------------------------------------------------------------------------------------------------------------------------| Option | | | | | | | | | | | | | | | (right to buy) | $3.75 |6/4/98 |A(03)|V| 2,500| | Immed. |6/4/08 |Common Stock | 2,500 | | | I | 03 | - -----------------------------------------------------------------------------------------------------------------------------------| Option | | | | | | | | | | | | | | | (right to buy) | $3.75 |12/28/98|J(03)| | | 2,500| Immed. |6/4/08 |Common Stock | 2,500 | | -0- | I | 03 | - -----------------------------------------------------------------------------------------------------------------------------------| Option | | | | | | | | | | | | | | | (right to buy) | $4.69 |12/28/98|J(03)| | | 2,500| Immed. |6/4/07 |Common Stock | 2,500 | | -0- | I | 03 | - -----------------------------------------------------------------------------------------------------------------------------------| Option | | | | | | | | | | | | | | | (right to buy) | $11.00 |12/28/98|J(03)| | | 10,000| 04 |1/29/06 |Common Stock | 10,000 | | -0- | I | 03 | ====================================================================================================================================
Instruction 4(b)(v) list of other Reporting Persons: This statement is being filed by GS Capital Partners, L.P. ("GSCP"), GS Advisors, L.P. ("GS Advisors"), Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, L.P. ("GS Group", and together with GSCP, GS Advisors and Goldman Sachs, the "Reporting Persons"). The principal business address of each of Goldman Sachs, GS Group, GSCP and GS Advisors is 85 Broad Street, New York, New York, 10004. Explanation of Responses: 01: Pursuant to a stock repurchase agreement, dated as of December 28, 1998 (the "Repurchase Agreement"), by and among Biofield Corp. (the "Company") and GSCP and various investment partnerships affiliated with Goldman Sachs ("Other Limited Partnerships", and together with GSCP, the "Limited Partnerships"), the Limited Partnerships sold all shares of Common Stock held by them the Company for a total consideration of $100.00. 02: Goldman Sachs and GS Group may be deemed to have owned beneficially and indirectly 2,246,131 shares of Common Stock sold by the Limited Partnerships. Goldman Sachs and GS Group disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein. 2,021,523 shares of Common Stock were sold and may be deemed to have been beneficially owned directly by GSCP and may be deemed to have been beneficially owned indirectly by its general partner, GS Advisors. GS Advisors disclaims beneficial ownership of these securities except to the extent of its pecuniary interest therein. 224,608 shares of Common Stock were sold and may be deemed to have been beneficially owned directly by the Other Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner. 03: The options were granted to Joseph H. Gleberman, a managing director of Goldman Sachs and at the time of the grant, a director of the Company, under the Biofield Corp. 1996 Stock Option Plan for Non-Employee Directors. Mr. Gleberman had an agreement with GS Group pursuant to which he held the stock options for the benefit of GS Group. On December 28, 1998, Mr. Gleberman resigned from the Board of Directors of the Company. In connection with such resignation and the Repurchase Agreement, Mr. Gleberman tendered to the Company for cancellation all of his options to acquire shares of Common Stock granted to him pursuant to the Biofield Corp. 1996 Stock Option Plan for Non-Employee Directors. 04: These options become exercisable in three equal annual installments on each anniversary of the grant date, which was January 29, 1996. Signature: GOLDMAN, SACHS & CO. By: s/ Hans L. Reich --------------------- Name: Hans L. Reich Title: Attorney-in-fact THE GOLDMAN SACHS GROUP, L.P. By: s/ Hans L. Reich --------------------- Name: Hans L. Reich Title: Attorney-in-fact GS CAPITAL PARTNERS, L.P. By: s/ Hans L. Reich --------------------- Name: Hans L. Reich Title: Attorney-in-fact GS ADVISORS, L.P. By: s/ Hans L. Reich --------------------- Name: Hans L. Reich Title: Attorney-in-fact Date: January 11, 1999 ** 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. -----END PRIVACY-ENHANCED MESSAGE-----