-----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, JRut3C8sYLIBoRffaV0Lb1g2kOUtKH81cifHqHw3/L+gfbj4U4vI+mjQaTFgR6yj AX+nF6W6OM1pt5h/gixaig== 0000898432-08-000562.txt : 20080612 0000898432-08-000562.hdr.sgml : 20080612 20080612170303 ACCESSION NUMBER: 0000898432-08-000562 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: 08896342 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 Series R Warrants 3.85 2005-06-22 4 P 0 62500 A 2008-06-08 Common Stock 62500 3447129 I See footnote Series A Convertible Preferred Stock 2.00 2005-06-22 4 P 0 250 A 2009-06-08 Common Stock 125000 3447379 I See footnote Series A Convertible Preferred Stock 2.00 2006-11-22 4 C 0 250 0 D 2009-06-08 Common Stock 125000 3447129 I See footnote Series R Warrants 3.85 2007-06-25 4 X 0 62500 0 D 2008-06-08 Common Stock 62500 3384629 I See footnote The warrants were exercisable at any time. Pursuant to that certain Securities Purchase Agreement, by and among the Issuer and certain investors, dated June 8, 2005, Spencer Trask Illumination Fund LLC ("STI") purchased Series R Warrants and Convertible Preferred Stock ("Preferred Stock") for an aggregate purchase price of $250,000. Of this total: Spencer Trask Enterprise Portfolio LLC, a Delaware limited liability company ("STEP") directly owns the warrants to purchase up to 3,384,629 shares of common stock of the Issuer ("Common Stock"); STI owns the warrants to purchase up to 62,500 shares of Common Stock. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The Preferred Stock was convertible into Common Stock at any time. Of this total: STEP directly owns the warrants to purchase up to 3,384,629 shares of Common Stock; and STI owns the warrants to purchase up to 62,500 shares of Common Stock and the 250 shares of Preferred Stock. The Reporting Person disclaims beneficial ownership of these securities except to the extent to his pecuniary interest therein. Of this total: STEP directly owns the warrants to purchase up to 3,384,629 shares of Common Stock; and STI owns the warrants to purchase up to 62,500 shares of Common Stock. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Of the total: STEP directly owns the warrants to purchase up to 3,384,629 shares of Common Stock. 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-----