-----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, OtBNMw5WEl1DTjBAnQ7S799zeCZ/+r6cExJTdynMfdy34F7M9SEurb5h4lUmdnZj rdlBx80oiUPfdfHc+IByWQ== 0000898432-07-000879.txt : 20071004 0000898432-07-000879.hdr.sgml : 20071004 20071004170903 ACCESSION NUMBER: 0000898432-07-000879 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070717 FILED AS OF DATE: 20071004 DATE AS OF CHANGE: 20071004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MINRAD INTERNATIONAL, INC. CENTRAL INDEX KEY: 0001121225 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 870299034 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 847 MAIN ST. CITY: BUFFALO STATE: NY ZIP: 14203 BUSINESS PHONE: 716-855-1068 MAIL ADDRESS: STREET 1: 847 MAIN ST. CITY: BUFFALO STATE: NY ZIP: 14203 FORMER COMPANY: FORMER CONFORMED NAME: TECHNOLOGY ACQUISITION CORP DATE OF NAME CHANGE: 20000804 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: 001-32666 FILM NUMBER: 071157357 BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 4 1 form4_ex.xml X0202 4 2007-07-17 0 0001121225 MINRAD INTERNATIONAL, INC. BUF 0000904841 KIMBERLIN KEVIN 535 MADISON AVENUE 18TH FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 2007-07-17 4 S 0 4200 5.35 D 3458020 I See footnote Common Stock 2007-07-17 4 S 0 5800 5.35 D 3452220 I See footnote Common Stock 2007-07-20 4 X 0 280148 1.15 A 3732368 I See footnote Common Stock 2007-08-06 4 S 0 9278 4.64 D 3723090 I See footnote Common Stock 2007-08-15 5 G 0 105263 0 D 3617827 I See footnote Common Stock 2007-08-15 4 J 0 70000 0 D 3547827 I See footnote Warrants 1.15 2007-07-20 4 X 0 19278 0 D 2002-11-20 2009-03-28 Common Stock 19278 3836127 I See footnote Warrants 1.15 2007-07-20 4 X 0 260870 0 D 2002-03-28 2009-03-28 Common Stock 260870 3575257 I See footnote Of this total: 3,004,200 shares of Common Stock of the Issuer ("Common Stock") are held by Spencer Trask Enterprise Portfolio LLC ("STEP"), a Delaware limited liability company of which the Reporting Person is the non-member manager; and 453,820 shares of Common Stock are held by Kevin Kimberlin Partners, L.P. ("KKP"), a Delaware limited partnership, of which the Reporting Person is the general partner. Of this total: 3,004,200 shares of Common Stock are held by STEP and 448,020 shares of Common Stock are held by Kevin Kimberlin Partners, L.P. ("KKP"), a Delaware limited liability partnership, of which the Reporting Person is the general partner. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Of this total: 3,004,200 shares of Common Stock are held by STEP; 458,020 shares of Common Stock are held by KKP; 9,278 shares of Common Stock are held by Spencer Trask & Co. ("ST&Co."), a Delaware corporation, of which the Reporting Person is the sole stockholder and Chairman; 182,609 shares of Common Stock are held by Spencer Trask Private Equity Fund I LP ("Fund I"), a Delaware limited partnership; and 78,261 shares of Common Stock are held by Spencer Trask Private Equity Fund II LP ("Fund II"), a Delaware limited partnership. The general partner of each of Fund I and Fund II is Trask Partners LLC, a Delaware limited liability company that is wholly owned by ST&Co. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Of this total: 3,004,200 shares of common stock are held by STEP; 458,020 shares of Common Stock are held by KKP; 182,609 shares of Common Stock are held by Fund I; and 78,261 shares of Common Stock are held by Fund II. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Of this total: 3,004,200 shares of common stock are held by STEP; 352,757 shares of Common Stock are held by KKP; 182,609 shares of Common Stock are held by Fund I; and 78,261 shares of Common Stock are held by Fund II. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The shares of Common Stock were transferred to Donald Farley ("Farley") pursuant to a loan agreement between Farley and Spencer Trask Specialty Group, LLC ("STSG"), a Delaware limited liability company, of which the Reporting Person is the non-member manager and indirectly the principal owner. Of this total: 3,004,200 shares of common stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 182,609 shares of Common Stock are held by Fund I; and 78,261 shares of Common Stock are held by Fund II. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Of this total: ST&Co. directly owns warrants to purchase up to 190,628 shares of Common Stock; Fund I directly owns warrants to purchase up to 182,609 shares of Common Stock; Fund II directly owns warrants to purchase up to 78,261 shares of common stock; and STEP directly owns warrants to purchase up to 3,384,629 shares of Common Stock. Of this total: ST&Co. directly owns warrants to purchase up to 190,628 shares of Common Stock and STEP directly owns warrants to purchase up to 3,384,629 shares of Common Stock. /s/ Kevin B. Kimberlin 2007-10-02 -----END PRIVACY-ENHANCED MESSAGE-----