-----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, H9XWu9Gjs5ogs5AICtM8srLJcDgCsNOoef1+gBJF0rJSpigU80T9rMGlnLopzHlo Jq7wkx6Pu/C/xxvNFv5nIw== 0000898432-02-000142.txt : 20020414 0000898432-02-000142.hdr.sgml : 20020414 ACCESSION NUMBER: 0000898432-02-000142 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990615 FILED AS OF DATE: 20020215 COMPANY DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 OWNER FILING VALUES: FORM TYPE: 3/A BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARESIDE INC CENTRAL INDEX KEY: 0001070602 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 232862507 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-15051 FILM NUMBER: 02551243 BUSINESS ADDRESS: STREET 1: C/O CARESIDE INC STREET 2: 6100 BRISTOL PARKWAY CITY: CULVER CITY STATE: CA ZIP: 90230 BUSINESS PHONE: 3103386767 MAIL ADDRESS: STREET 1: C/O CARESIDE INC STREET 2: 6100 BRISTOL PARKWAY CITY: CULVER CITY STATE: CA ZIP: 90230 3/A 1 s183224.txt FEBRUARY 15, 2002 -------------------------- - --------- U.S. SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL FORM 3 Washington, D.C. 20549 -------------------------- - -------- OMB Number 3235-0104 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Expires: December 31, 2001 Estimated average burden hours per response...0.5 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 (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Date of Event 4. Issuer Name and Ticker or Trading Symbol Kimberlin Kevin B. Requiring Statement Careside, Inc. (CSA) (Month/Day/Year) - ------------------------------------------ --------------------------------------------------------------------- (Last) (First) (Middle) 6/15/99 5. Relationship of Reporting Person(s) to Issuer 6. If Amendment, (Check all applicable) Date of Original 535 Madison Avenue, 18th Floor --------------- (Month/Day/Year) 3. IRS Director X 10% Owner 6/14/99 Identification --- --- Number of Officer (give Other - ------------------------------------------ Reporting Person, --- title below) --- (specify below) (Street) if an Entity New York New York 10011 (voluntary) 7. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One -- Reporting Person Form filed by -- More than One Reporting Person
- ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Amount of 3. Ownership Form: 4. Nature of Indirect (Instr. 4) Securities Direct (D) or Beneficial Ownership Beneficially Indirect (I) (Instr. 5) Owned (Instr. 5) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ 371,090 I See Note (1) Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 55,760 I See Note (2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 339,041 I See Note (3) - ------------------------------------------------------------------------------------------------------------------------------------ (1) Held by Oshkim Limited Partners, L.P., a Nevada limited partnership (`Oshkim"), of which the reporting person is the general partner. (2) Held by Spencer Trask Securities, Incorporated ("STSI"), a Delaware corporation and wholly owned subsidiary of Spencer Trask Holding, Inc., a Delaware corporation ("STHI"), of which the reporting person is the controlling shareholder. (3) Held by Kevin Kimberlin Partners, L.P., a Delaware limited partnership ("KKP"), of which the reporting person is the general partner. - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially (Over) owned directly or indirectly. SEC 1473 (3-99) *If the form is filed by more than one reporting person, SEE Instruction 5(b)(v).
FORM 3 (continued)Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ---------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative Security 2. Date 3. Title and Amount 4. Conver- 5. Ownership 6. Nature of Indirect (Instr. 4) Exercisable of Securities sion or Form of Beneficial Ownership and Underlying Exercise Derivative (Instr. 5) Expiration Derivative Price of Security: Date Security Deriv- Direct (Instr. 4) ative (D) or (Month/Day/ Security Indirect Year) (I) (Instr. 5) -------------------------------------------------- Date Expira- Amount Exer- tion or cisable Date Title Number of Shares - ------------------------------------------------------------------------------------------------------------------------------------ Warrants to purchase Common Stock 5/19/97 3 Common Stock 20,517 $5.20 I See Note (4) years from IPO Closing - ------------------------------------------------------------------------------------------------------------------------------------ Warrants to purchase Common Stock 5/19/97 3 Common Stock 157,181 $5.20 I See Note (5) years from IPO Closing - ------------------------------------------------------------------------------------------------------------------------------------ Warrants to purchase Common Stock 7/9/98 3 Common Stock 38,095 $6.76 I See Note (6) years from IPO Closing - ------------------------------------------------------------------------------------------------------------------------------------ Warrants to purchase Common Stock 7/9/98 3 Common Stock 120,556 $6.76 I See Note (7) years from IPO Closing - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (4) Held by Oshkim, of which the reporting person is the general partner. (5) Held by STSI, wholly owned subsidiary of STHI, of which the reporting person is the controlling shareholder. (6) Held by KKP of which the reporting person is the general partner. (7) Held by STSI, wholly owned subsidiary of STHI, of which the reporting person is the controlling shareholder. - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: /s/ Kevin B. Kimberlin February 15, 2002 **Intentional misstatements or omissions of facts --------------------------------------------- ------------------ constitute Federal Criminal Violations. **Signature of Reporting Person Date See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Kevin B. Kimberlin Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Page 2 Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. SEC 1473 (3-99)
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