-----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, GtQJwMahIIVP7Gt1j40uiYv4drB8l9HPOEbzsYOqypOEpqFTtcww186b8Vr9NwpP zXnZdvJY4dAyqZ0vZ6R3/A== 0000898432-10-000172.txt : 20100218 0000898432-10-000172.hdr.sgml : 20100218 20100218122623 ACCESSION NUMBER: 0000898432-10-000172 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091224 FILED AS OF DATE: 20100218 DATE AS OF CHANGE: 20100218 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: 10615419 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vyteris, Inc. CENTRAL INDEX KEY: 0001139950 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] 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: Vyteris Holdings (Nevada), Inc. DATE OF NAME CHANGE: 20050503 FORMER COMPANY: FORMER CONFORMED NAME: TREASURE MOUNTAIN HOLDINGS INC DATE OF NAME CHANGE: 20010503 4 1 vh-kimberlin_ex.xml X0303 4 2009-12-24 0 0001139950 Vyteris, Inc. VYTR 0000904841 KIMBERLIN KEVIN C/O 535 MADISON AVENUE 18TH FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 2009-12-24 4 C 0 24180241 0.40 A 25848814 I See Footnote Common Stock 2009-12-24 4 C 0 26330806 0.40 A 52179620 I See Footnote Senior Secured Convertible Debt 0.40 2009-12-24 4 C 0 9672096 0 D 2009-12-24 2009-12-24 Common 24180241 0 I See Footnote Series B Convertible Preferred Stock 0.40 2009-12-24 2009-12-24 4 C 0 500000 0 D 2009-12-24 2009-12-24 Common 26330806 0 I See Footnote Shares of the Issuer's common stock (the "Common Stock") were acquired through a Restructuring Agreement, as amended (the "Agreement"), dated as of December 24, 2009, by Spencer Trask Specialty Group ("STSG"), a Delaware limited liability company, of which the Reporting Person is the non-member manager. The Agreement provided that all existing debt in excess of $2,000,000 would be converted into shares of Common Stock in full satisfaction of such amounts owed by the Issuer to STSG at $0.40 per share. The conversion occurred simultaneously with the execution of the Agreement. Shares were acquired through the Agreement pursuant to which the Series B Convertible Preferred Stock (the "Preferred Stock") would be converted into shares of Common Stock in full satisfaction of all obligations by the Issuer to STSG under the Preferred Stock at $0.40 per share. The conversion occurred simultaneously with the execution of the Agreement. The aggregate debt includes senior secured convertible debt and working capital facilities debt. All debt, with the exception of $2,000,000, was paid off by the conversion pursuant to the Agreement. /s/ Kevin Kimberlin 2010-02-17 -----END PRIVACY-ENHANCED MESSAGE-----