-----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, TievltdyGdmV3ztZJJa+dRemD/W253P+gLBA1E55EvsnvXMUgEfsWOXNL61frMBh CgjBjT6HhzgFLM+HSeJdEg== 0001082504-05-000050.txt : 20050629 0001082504-05-000050.hdr.sgml : 20050629 20050629193444 ACCESSION NUMBER: 0001082504-05-000050 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050627 FILED AS OF DATE: 20050629 DATE AS OF CHANGE: 20050629 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: 05926436 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 primary_doc.xml PRIMARY DOCUMENT X0202 4 2005-06-27 0 0001139950 Vyteris Holdings (Nevada), Inc. VYHN 0000904841 KIMBERLIN KEVIN 535 MADISON AVENUE 18TH FLOOR NEW YORK NY 10022 0 0 1 0 Warrants 4 2005-05-27 4 J 0 3155 A 2005-05-27 2010-05-27 Common Stock 3155 3155 I See Notes Warrants 4 2005-05-27 4 J 0 946 A 2005-05-27 2010-05-27 Common Stock 946 946 I See Notes Warrants 4 2005-05-27 4 J 0 473 A 2005-05-27 2010-05-27 Common Stock 473 473 I See Notes Warrants 4 2005-05-27 4 J 0 631 A 2005-05-27 2010-05-27 Common Stock 631 631 I See Notes Warrants 4 2005-05-27 4 J 0 1104 A 2005-05-27 2010-05-27 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. Under the terms of the Credit Facility, additional warrants will be issued and the exercise price of all the warrants will be adjusted to $3.58 per share if the outstanding balance under the Credit Facility is not repaid in full on or before July 26, 2005. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest. Holdings of Spencer Trask Specialty Group, LLC, a Delaware limited liability company ("STSG"), of which the Reporting Person is the principal owner and non-member manager. Holdings of Spencer Trask Private Equity Fund I LP, a Delaware limited partnership ("Fund I"). Spencer Trask & Co., a Delaware corporation of which the Reporting Person is the sole stockholder and chairman ("ST&Co."), is the sole member of the general partner of Fund I. Holdings of Spencer Trask Private Equity Fund II LP, a Delaware limited partnership ("Fund II"). ST&Co. is the sole member of the general partner of Fund II. Holdings of Spencer Trask Private Equity Accredited Fund III LLC, a New York limited liability company ("Fund III"). ST&Co. is the sole member of the manager of Fund III. Holdings of Spencer Trask Illumination Fund LLC, a New York limited liability company ("Illumination"). ST&Co. is the sole stockholder of the manager of Illumination. /s/ Kevin B. Kimberlin 2005-06-29 -----END PRIVACY-ENHANCED MESSAGE-----