-----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, JdlLfqXwZlLM7v9M73vgkNNqWkfI2goDQswOL13/LdKQunggc/Tn3fbPc2to6JQV R1j/EEgZNSuqydxm9p55sg== 0000898432-08-000560.txt : 20080612 0000898432-08-000560.hdr.sgml : 20080612 20080612165603 ACCESSION NUMBER: 0000898432-08-000560 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050622 FILED AS OF DATE: 20080612 DATE AS OF CHANGE: 20080612 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: 08896261 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_minradex.xml X0202 4 2005-06-22 0 0001121225 MINRAD INTERNATIONAL, INC. BUF 0000904841 KIMBERLIN KEVIN 535 MADISON AVENUE 18TH FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 2006-11-22 4 C 0 125000 0 A 3672827 I See footnote Common Stock 2006-11-29 4 S 0 50000 5.03 D 3622827 I See footnote Common Stock 2006-11-30 4 S 0 75000 5.05 D 3547827 I See footnote Common Stock 2007-06-25 4 X 0 62500 0 A 3610327 I See footnote Common Stock 2008-04-22 4 S 0 10000 2.33 D 3600327 I See footnote Common Stock 2008-04-22 4 S 0 5000 2.33 D 3595327 I See footnote Common Stock 2008-04-22 4 S 0 5000 2.33 D 3590327 I See footnote Common Stock 2008-04-23 4 S 0 2900 2.30 D 3587427 I See footnote Common Stock 2008-04-24 4 S 0 10000 2.30 D 3577427 I See footnote Common Stock 2008-04-24 4 S 0 5000 2.30 D 3572427 I See footnote Common Stock 2008-04-24 4 S 0 5000 2.30 D 3567427 I See footnote Common Stock 2008-04-24 4 S 0 3301 2403 D 3564126 I See footnote Common Stock 2008-04-25 4 S 0 4000 2.30 D 3560126 I See footnote Common Stock 2008-04-25 4 S 0 1000 2.30 D 3559126 I See footnote Common Stock 2008-04-25 4 S 0 5000 2.30 D 3554126 I See footnote Common Stock 2008-04-25 4 S 0 5000 2.307 D 3549126 I See footnote Common Stock 2008-04-28 4 S 0 8800 2.369 D 3540326 I See footnote Common Stock 2008-04-28 4 S 0 10000 2.30 D 3530326 I See footnote Common Stock 2008-04-28 4 S 0 5000 2.30 D 3525326 I See footnote Common Stock 2008-04-28 4 S 0 5000 2.323 D 3520326 I See footnote Common Stock 2008-04-29 4 S 0 1000 2.35 D 3519326 I See footnote Common Stock 2008-04-29 4 S 0 4400 2.353 D 3514926 I See footnote Common Stock 2008-05-01 4 S 0 10000 2.302 D 3504926 I See footnote Common Stock 2008-05-01 4 S 0 10000 2.271 D 3494926 I See footnote Common Stock 2008-05-01 4 S 0 5000 2.331 D 3489926 I See footnote Common Stock 2008-05-01 4 S 0 5000 2.304 D 3484926 I See footnote Common Stock 2008-05-01 4 S 0 5000 2.350 D 3479926 I See footnote Common Stock 2008-05-01 4 S 0 5000 2.274 D 3474926 I See footnote Common Stock 2008-05-02 4 S 0 2600 2.428 D 3472326 I See footnote Common Stock 2008-05-02 4 S 0 550 2.408 D 3471776 I See footnote Of this total: 125,000 shares of common stock of the Issuer ("Common Stock") are held by Spencer Trask Illumination Fund LLC ("STI"); 3,004,200 shares Common Stock are held by Spencer Trask Enterprise Portfolio LLC ("STEP"); 282,757 shares of Common Stock are held by Kevin Kimberlin Partners, L.P. ("KKP"); 182,609 shares of Common Stock are held by Spencer Trask Private Equity Fund I LP ("Fund I"); and 78,261 shares of Common Stock are held by Spencer Trask Private Equity Fund II LP ("Fund II"). The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Of this total: 75,000 shares of Common Stock are held by STI; 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 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; 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: 62,500 shares of Common Stock are held by STI; 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: 62,500 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 172,609 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: 62,500 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 172,609 shares of Common Stock are held by Fund I; and 73,261 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: 57,500 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 172,609 shares of Common Stock are held by Fund I; and 73,261 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: 54,600 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 172,609 shares of Common Stock are held by Fund I; and 73,261 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: 54,600 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 162,609 shares of Common Stock are held by Fund I; and 73,261 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: 54,600 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 162,609 shares of Common Stock are held by Fund I; and 68,261 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: 49,600 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 162,609 shares of Common Stock are held by Fund I; and 68,261 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: 46,299 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 162,609 shares of Common Stock are held by Fund I; and 68,261 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: 46,299 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 158,609 shares of Common Stock are held by Fund I; and 68,261 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: 46,299 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 157,609 shares of Common Stock are held by Fund I; and 68,261 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: 46,299 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 157,609 shares of Common Stock are held by Fund I; and 63,261 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: 41,299 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 157,609 shares of Common Stock are held by Fund I; and 63,261 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: 41,299 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 148,809 shares of Common Stock are held by Fund I; and 63,261 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: 41,299 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 138,809 shares of Common Stock are held by Fund I; and 63,261 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: 41,299 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 138,809 shares of Common Stock are held by Fund I; and 58,261 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: 36,549 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 138,809 shares of Common Stock are held by Fund I; and 58,261 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: 35,599 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 138,509 shares of Common Stock are held by Fund I; and 58,261 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: 35,599 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 138,509 shares of Common Stock are held by Fund I; and 53,861 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: 35,599 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 128,509 shares of Common Stock are held by Fund I; and 53,861 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: 35,599 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 118,509 shares of Common Stock are held by Fund I; and 53,861 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: 35,599 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 118,509 shares of Common Stock are held by Fund I; and 48,861 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: 35,599 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 118,509 shares of Common Stock are held by Fund I; and 43,861 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: 30,599 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 118,509 shares of Common Stock are held by Fund I; and 43,861 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: 25,599 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 118,509 shares of Common Stock are held by Fund I; and 43,861 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: 23,249 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 118,509 shares of Common Stock are held by Fund I; and 43,861 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: 22,999 shares of Common Stock are held by STI; 3,004,200 shares of Common Stock are held by STEP; 282,757 shares of Common Stock are held by KKP; 117,959 shares of Common Stock are held by Fund I; and 43,861 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. /s/ Kevin B. Kimberlin 2008-06-11 -----END PRIVACY-ENHANCED MESSAGE-----