-----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, SwIJJV7DJRjcrD7p2Q+4lOwbGwKAM7SGh07TRTCReM4XR90M2P55xrQFxZV7tjs2 ml15/a877ocCPT2gGAYnkA== 0000898432-05-000599.txt : 20050728 0000898432-05-000599.hdr.sgml : 20050728 20050728180012 ACCESSION NUMBER: 0000898432-05-000599 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050726 FILED AS OF DATE: 20050728 DATE AS OF CHANGE: 20050728 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32741 FILM NUMBER: 05982287 BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vyteris Holdings (Nevada), Inc. CENTRAL INDEX KEY: 0001139950 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 841394211 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1390 SOUTH 1100 EAST SUITE 204 CITY: SALT LAKE CITY STATE: UT ZIP: 84105-2463 BUSINESS PHONE: 2017032299 MAIL ADDRESS: STREET 1: 13-01 POLLITT DRIVE CITY: FAIR LAWN STATE: NJ ZIP: 07410 FORMER COMPANY: FORMER CONFORMED NAME: TREASURE MOUNTAIN HOLDINGS INC DATE OF NAME CHANGE: 20010503 4 1 kimberlin-form4_ex.xml X0202 4 2005-07-26 0 0001139950 Vyteris Holdings (Nevada), Inc. VYHN 0000904841 KIMBERLIN KEVIN 535 MADISON AVENUE 18TH FLOOR NEW YORK NY 10022 0 0 1 0 Warrants 3.58 2005-07-26 4 J 0 21653 A 2005-07-26 2010-07-26 Common Stock 21653 21653 I See Note Warrants 3.58 2005-07-26 4 J 0 6496 A 2005-07-26 2010-07-26 Common Stock 6496 6496 I See Notes Warrants 3.58 2005-07-26 4 J 0 3248 A 2005-07-26 2010-07-26 Common Stock 3248 3248 I See Notes Warrants 3.58 2005-07-26 4 J 0 4331 A 2005-07-26 2010-07-26 Common Stock 4331 4331 I See Notes Warrants 3.58 2005-07-26 4 J 0 7579 A 2005-07-26 2010-07-26 Common Stock 7579 7579 I See Notes Warrants 3.58 2005-07-26 4 J 0 3125 A 2005-05-27 2010-05-27 Common Stock 3125 3125 I See Note Warrants 3.58 2005-07-26 4 J 0 938 A 2005-05-27 2010-05-27 Common Stock 938 938 I See Notes Warrants 3.58 2005-07-26 4 J 0 469 A 2005-05-27 2010-05-27 Common Stock 469 469 I See Notes Warrants 3.58 2005-07-26 4 J 0 625 A 2005-05-27 2010-05-27 Common Stock 625 625 I See Notes Warrants 3.58 2005-07-26 4 J 0 1094 A 2005-05-27 2010-05-27 Common Stock 1094 1094 I See Notes Warrants 3.58 2005-07-26 4 J 0 3155 A 2005-06-26 2010-06-26 Common Stock 3155 3155 I See Note Warrants 3.58 2005-07-26 4 J 0 946 A 2005-06-26 2010-06-26 Common Stock 946 946 I See Notes Warrants 3.58 2005-07-26 4 J 0 473 A 2005-06-26 2010-06-26 Common Stock 473 473 I See Notes Warrants 3.58 2005-07-26 4 J 0 631 A 2005-06-26 2010-06-26 Common Stock 631 631 I See Notes Warrants 3.58 2005-07-26 4 J 0 1104 A 2005-06-26 2010-06-26 Common Stock 1104 1104 I See Notes The warrants were acquired pursuant to the terms of a working capital credit facility (the "Credit Facility") in partial consideration for the extension of credit on May 27, 2005 to the Issuer under the Credit Facility. While the Reporting Person is reporting this transaction for purposes of Section 16(a) of Securities Exchange Act of 1934 (the "Act"), the Reporting Person believes that this transaction is not subject to Section 16(b) of the Act. Held by Spencer Trask Specialty Group, LLC, a Delaware limited liability company, of which the Reporting Person is the non-member manager and indirectly the principal owner. Held by Spencer Trask Private Equity Fund I LP ("Fund I"), a Delaware limited partnership. Spencer Trask & Co. ("ST&Co."), a Delaware corporation of which the Reporting Person is the sole stockholder and chairman of the Board of Directors, is the sole member of the general partner of Fund I. The Reporting Person disclaims any pecuniary interest in these securities. Held by Spencer Trask Private Equity Fund II LP ("Fund II"), a Delaware limited partnership. ST&Co. is the sole member of the general partner of Fund II. Held by Spencer Trask Private Equity Accredited Fund III LLC ("Fund III"), a New York limited liability company. ST&Co. is the sole member of the manager of Fund III. Held by Spencer Trask Illumination Fund LLC ("Illumination"), a New York limited liability company. ST&Co. is the sole stockholder of the manager of Illumination. The acquisition of these warrants was previously reported in connection with the extension of credit to the Issuer under the Credit Facility. Under the terms of the Credit Facility, the exercise price of the warrants was automatically adjusted from $4.00 per share to $3.58 per share. While the Reporting Person is reporting this transaction, he does not concede that such reporting is required by Section 16(a) of the Act; moreover, the Reporting Person believes that this transaction is not subject to Section 16(b) of the Act. /s/ Kevin B. Kimberlin 2005-07-28 -----END PRIVACY-ENHANCED MESSAGE-----