-----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, JPcH5a/IuyknO7J8nK9tcSIJXTshd49wQaJusL+A44LV6/PubItEWrxtYP0qqIpR x5ecqs7RDfqzGCPvqH3B9w== 0000950137-03-000019.txt : 20030103 0000950137-03-000019.hdr.sgml : 20030103 20030103124105 ACCESSION NUMBER: 0000950137-03-000019 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030101 FILED AS OF DATE: 20030103 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: TWADDELL SOPHIA H CENTRAL INDEX KEY: 0001209296 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 3 MAIL ADDRESS: STREET 1: 1560 SHERMAN AVENUE STREET 2: SUITE 1000 CITY: EVANSTON STATE: IL ZIP: 60201 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHFIELD LABORATORIES INC /DE/ CENTRAL INDEX KEY: 0000920947 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 363378733 STATE OF INCORPORATION: DE FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24050 FILM NUMBER: 03502221 BUSINESS ADDRESS: STREET 1: 1560 SHERMAN AVE STREET 2: SUITE 1000 CITY: EVANSTON STATE: IL ZIP: 60201-4800 BUSINESS PHONE: 8478643500 MAIL ADDRESS: STREET 1: 1560 SHERMAN AVE STE 1000 STREET 2: 37TH FLOOR CITY: EVANSTON STATE: IL ZIP: 60201-4800 3 1 c73815e3.htm INITIAL STATEMENT OF BENEFICIAL OWNERSHIP Initial Statement of Beneficial Ownership
 

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 3

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(h) of the Investment Company Act of 1940

1. Name and Address of Reporting
Person* (Last, First, Middle)		 2. Date of Event Requiring Statement
(Month/Day/Year)		 3. I.R.S. Identification Number of Reporting
Person, if an entity (voluntary)
  TWADDELL, SOPHIA H.
  1/1/2003
 
  1560 SHERMAN AVE., SUITE 1000
(Street)
 4. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
(Check All Applicable)
    NORTHFIELD LABORATORIES INC., NFLD
  o  Director
o  10% Owner		 x  Officer (give title below)
o  Other (specify below)
  EVANSTON, IL 60201
(City)         (State)        (Zip)
 6. If Amendment, Date of Original
(Month/Day/Year)		   VICE PRESIDENT
   
7. Individual or Joint/Group Filing
(Check Applicable Line)
                x  Form filed by One Reporting Person
o  Form filed by More than One Reporting Person
*   If the form is filed by more than one reporting person, see Instruction 5(b)(v).
 
Reminder:   Report on a separate line for each class of securities beneficially owned directly or indirectly.

 

 
Table I — Non-Derivative Securities Beneficially Owned
1. Title of Security
(Instr. 4)		 2. Amount of Securities Beneficially Owned
(Instr. 4)		 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)		 4. Nature of Indirect Beneficial Ownership
(Instr. 5)
  COMMON STOCK, PAR VALUE $0.01/SH     500     D  
           
           
           
           
           
           

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Table II — Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of
Derivative
Security
(Instr. 4)		 2. Date Exercisable and
Expiration Date
(Month/Day/Year)		 3. Title and Amount of Securities
Underlying Derivative Security
(Instr. 4)		 4. Conversion or
Exercise Price
of Derivative
Security		 5. Ownership Form of
Derivative Security:
Direct (D) or Indirect (I)
(Instr. 5)		 6. Nature of Indirect Beneficial Ownership
(Instr. 5)
      Date
Exer-
cisable		 Expi-
ration
Date		  
Title		 Amount
or
Number
of Shares		            
  STOCK OPTION (1)   1/2/2007 (2) 1/2/2013   COMMON STOCK 10,000 $3.62   D  
         
         
         
         
         
         

Explanation of Responses:

(1) THE STOCK OPTION WAS GRANTED ON JANUARY 2, 2003.

(2) THE STOCK OPTION BECOMES FULLY VESTED AND EXERCISABLE AS OF JANUARY 2, 2007.

/s/ SOPHIA H. TWADDELL   1/2/03
**Signature of Reporting Person		  
Date

 
**   Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
 
Note:   File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
 

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