-----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, LpmANLlZKglY5mpN1c/gUqwZ3HZ9OtmyL8b/eGUZnji+no42H1SraUnL6/e6VQyg rrgaIJ0BAjYq5gjrn1SIuQ== 0000927016-98-003437.txt : 19980915 0000927016-98-003437.hdr.sgml : 19980915 ACCESSION NUMBER: 0000927016-98-003437 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980914 SROS: NASD GROUP MEMBERS: FREDERICK W. MCCARTHY GROUP MEMBERS: TRIUMPH CONNECTICUT LTD PARTNERSHIP GROUP MEMBERS: TRIUMPH-CAPITAL GROUP, INC. GROUP MEMBERS: TRIUMPH-CONNECTICUT CAPITAL ADVISORS, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASCENT PEDIATRICS INC CENTRAL INDEX KEY: 0001019731 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 043047405 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-51097 FILM NUMBER: 98708609 BUSINESS ADDRESS: STREET 1: 187 BALLARDVALE ST CITY: WILMINGTON STATE: MA ZIP: 01887 BUSINESS PHONE: 9786582500 MAIL ADDRESS: STREET 1: 187 BALLARDVALE ST CITY: WILMINGTON STATE: MA ZIP: 01887 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRIUMPH CONNECTICUT LTD PARTNERSHIP CENTRAL INDEX KEY: 0000923556 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 60 STATE ST 21ST FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6175576000 MAIL ADDRESS: STREET 1: 60 STATE ST 21ST FLOOR CITY: BOSTON STATE: MA ZIP: 02109 SC 13G/A 1 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. __1__)/1/ ASCENT PEDIATRICS, INC. - -------------------------------------------------------------------------------- (Name of issuer) COMMON STOCK, par value $0.00004 per share - -------------------------------------------------------------------------------- (Title of class of securities) 04362X101 - -------------------------------------------------------------------------------- (CUSIP number) June 1, 1998 - -------------------------------------------------------------------------------- (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) (Continued on the following pages) (Page 1 of 9 Pages) ________________________________ /1/The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13G - ------------------- ------------------- CUSIP NO. 04362X101 PAGE 2 OF 9 PAGES - ------------------- ------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSONS. 1 S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Triumph - Connecticut Limited Partnership - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 State of Connecticut - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 654,591 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 None OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 654,591 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 None - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 654,591 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 8.64% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 9 SCHEDULE 13G - ------------------- ------------------- CUSIP NO. 04362X101 PAGE 3 OF 9 PAGES - ------------------- ------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSONS. 1 S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Triumph - Connecticut Capital Advisors, L.P. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 State of Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 654,591 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 None OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 654,591 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 None - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 654,591 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 8.64% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 3 of 9 SCHEDULE 13G - ------------------- ------------------- CUSIP NO. 04362X101 PAGE 4 OF 9 PAGES - ------------------- ------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSONS. 1 S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Triumph - Capital Group, Inc. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 State of Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 654,591 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 None OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 654,591 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 None - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 654,591 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 8.64% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 4 of 9 SCHEDULE 13G - ------------------- ------------------- CUSIP NO. 04362X101 PAGE 5 OF 9 PAGES - ------------------- ------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSONS. 1 S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Frederick W. McCarthy - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 USA - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 654,591 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 None OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 654,591 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 None - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 654,591 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 8.64% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 5 of 9 STATEMENT ON SCHEDULE 13G Item 1(a). Name of Issuer: -------------- Ascent Pediatrics, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: ----------------------------------------------- 187 Ballardvale Street Wilmington, MA 01887 Item 2(a). Names of Person Filing: ---------------------- Triumph - Connecticut Limited Partnership Triumph - Connecticut Capital Advisors, L.P. Triumph Capital Group, Inc. Frederick W. McCarthy Item 2(b). Business Mailing Address for the Person Filing: ---------------------------------------------- Triumph Capital Group, Inc. 60 State Street, 21st Floor Boston, MA 02109 Item 2(c). Citizenship: ----------- State of Connecticut State of Delaware State of Delaware USA Item 2(d). Title of Class of Securities: ---------------------------- Common Stock, par value $0.00004 per share Item 2(e). CUSIP Number: ------------ 04362X101 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or --------------------------------------------------------- 13d-2(b), check whether the person filing is a: ----------------------------------------------- Not Applicable Item 4. Ownership: --------- (a) Amount Beneficially Owned: 654,591 shares of Common Stock (b) Percent of Class: 8.64% (c) Number of shares as to which such person has: Page 6 of 9 (i) sole power to vote or to direct the vote: 654,591 shares of Common Stock (ii) shared power to vote or to direct the vote: none (iii) sole power to dispose or to direct the disposition of: 654,591 shares of Common Stock (iv) shared power to dispose or to direct the disposition of: none Item 5. Ownership of Five Percent or Less of a Class: -------------------------------------------- Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person: --------------------------------------------------------------- Not Applicable Item 7. Identification and Classification of the Subsidiary Which --------------------------------------------------------- Acquired the Security Being Reported on By the Parent Holding ------------------------------------------------------------- Company: ------- Not Applicable Item 8. Identification and Classification of Members of the Group: --------------------------------------------------------- Not Applicable Item 9. Notice of Dissolution of Group: ------------------------------ Not Applicable Item 10. Certification: ------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 7 of 9 Signature --------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: September ___, 1998 Triumph-Connecticut Limited Partnership by Triumph-Connecticut Capital Advisors, L.P. Its General Partner By: /s/ Frederick W. McCarthy -------------------------------- Frederick W. McCarthy Its General Partner Triumph-Connecticut Capital Advisors, L.P. By: /s/ Frederick W. McCarthy -------------------------------- Frederick W. McCarthy Its General Partner Triumph Capital Group, Inc. By: /s/ Frederick W. McCarthy -------------------------------- Frederick W. McCarthy Its President /s/ Frederick W. McCarthy ------------------------------------- Frederick W. McCarthy Page 8 of 9 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of Ascent Pediatrics, Inc. and further agree that this agreement be included as an exhibit to such filing. Each party to the agreement expressly authorizes each other party to file on its behalf any and all amendments to such statement. Each party to this agreement agrees that this joint filing agreement may be signed in counterparts. In evidence whereof, the undersigned have caused this Agreement to be executed on their behalf this ____ day of September, 1998. Triumph-Connecticut Limited Partnership by Triumph-Connecticut Capital Advisors, L.P. Its General Partner By: /s/ Frederick W. McCarthy -------------------------------- Frederick W. McCarthy Its General Partner Triumph-Connecticut Capital Advisors, L.P. By: /s/ Frederick W. McCarthy -------------------------------- Frederick W. McCarthy Its General Partner Triumph Capital Group, Inc. By: /s/ Frederick W. McCarthy -------------------------------- Frederick W. McCarthy Its President /s/ Frederick W. McCarthy ------------------------------------- Frederick W. McCarthy Page 9 of 9 -----END PRIVACY-ENHANCED MESSAGE-----