-----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, CLxFA+kC9/I6NhaDnBvHGhiOt/E05tdGiz/NLBTVBaawiEHKSYqanE+PrDttReiP BQ0xX8e7Wk1TRk9wcDSSFw== 0001082504-07-000022.txt : 20070402 0001082504-07-000022.hdr.sgml : 20070402 20070402185751 ACCESSION NUMBER: 0001082504-07-000022 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060705 FILED AS OF DATE: 20070402 DATE AS OF CHANGE: 20070402 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-32666 FILM NUMBER: 07741149 BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 4/A 1 primary_doc.xml PRIMARY DOCUMENT X0202 4/A 2006-07-05 2006-12-20 0 0001121225 MINRAD INTERNATIONAL, INC. TACQ 0000904841 KIMBERLIN KEVIN 535 MADISON AVENUE 18TH FLOOR NEW YORK NY 10022 0 0 1 0 Warrants 1.15 2006-12-11 4 J 0 44785 D 2009-03-29 Common Stock 44785 1172405 I See Note Warrants 0.75 2006-07-05 4 J 0 50000 D 2009-09-30 Common Stock 50000 0 I See Note Warrants 0.75 2006-07-05 4 J 0 40000 D 2009-10-30 Common Stock 40000 10000 I See Note 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, distributed shares of the common stock ("Common Stock") of Minrad International, Inc. (the "Issuer") and warrants to purchase shares of Common Stock (collectively, the "Securities") to one of its members, Spencer Trask Investment Partners, LLC ("STIP"), a Delaware limited liability company, of which the Reporting Person is the non-member manager. STIP then distributed the Securities to its members, Spencer Trask & Co. ("ST&Co."), a Delaware corporation, of which the Reporting Person is the sole stockholder and Chairman, and two natural person members. The Securities reported here were distributed to such two natural persons, each of whom is not an affiliate of the Reporting Person. While the Reporting Person is reporting this transaction for purposes of Section 16(a) of Securities Exchange Act of 1934, as amended (the "Act"), the Reporting Person believes that this transaction is not subject to Section 16(b) of the Act. This amended Form 4 amends Note 4 and supplements Table II of the Reporting Person's Form 4 filed on December 20, 2006. Warrants are currently exercisable. Of this total: warrants to purchase 701,629 shares of Common Stock are held by KKP; warrants to purchase 209,906 shares of Common Stock are held by ST&Co.; warrants to purchase 182,609 shares of Common Stock are held by Spencer Trask Private Equity Fund I LP ("Fund I"), a Delaware limited partnership; and warrants to purchase 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 ownership of these securities except to the extent of his pecuniary interest therein. Held by KKP. The Reporting Person disclaims ownership of these securities except to the extent of his pecuniary interest therein. KKP transferred warrants to John Liviakis, who is not an affiliate of the Reporting Person, in consideration for past services rendered by Mr. Liviakis to the Issuer. /s/ Kevin B. Kimberlin 2007-04-02 -----END PRIVACY-ENHANCED MESSAGE-----