-----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, EkuOK2ImhfDPgA99b3tLRzcK/UJ9Vu8RjdeJhPK7wlzLh0OooAxWa/1DkgLzFyNy 5a3W4Jz+MiLfR4CDBP6/Ww== 0001144204-03-007379.txt : 20031117 0001144204-03-007379.hdr.sgml : 20031117 20031117092143 ACCESSION NUMBER: 0001144204-03-007379 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031107 FILED AS OF DATE: 20031117 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MANHATTAN PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001001316 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 363898269 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 787 SEVENTH AVENUE STREET 2: 48TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125544555 MAIL ADDRESS: STREET 1: 787 SEVENTH AVENUE STREET 2: 48TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: ATLANTIC TECHNOLOGY VENTURES INC DATE OF NAME CHANGE: 20000330 FORMER COMPANY: FORMER CONFORMED NAME: ATLANTIC PHARMACEUTICALS INC DATE OF NAME CHANGE: 19960703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENWALD LINDSAY A MD CENTRAL INDEX KEY: 0000941841 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27282 FILM NUMBER: 031006730 BUSINESS ADDRESS: STREET 1: 375 PARK AVE STREET 2: SUITE 1501 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128324366 MAIL ADDRESS: STREET 1: 375 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10152 FORMER NAME: FORMER CONFORMED NAME: ROSENWALD LINDSAY MD DATE OF NAME CHANGE: 19950316 3 1 manh-rosen_ex.xml X0201 3 2003-11-07 0 0001001316 MANHATTAN PHARMACEUTICALS INC MHTT.OB 0000941841 ROSENWALD LINDSAY A MD C/O PARAMOUNT CAPITAL 787 SEVENTH AVENUE, 48TH FLOOR NEW YORK NY 10019 0 0 1 0 Series A Convertible Preferred Stock 1.10 2003-11-07 Common 221109 D The Series A Preferred Stock is immediately convertible into shares of common stock by Dr. Rosenwald and has no expiration date. Dr. Rosenwald controls the right to vote and dispose of, and may therefore be deemed to beneficially own (i) 2,219,597 shares of common stock, (ii) warrants to purchase 74,047 shares of common stock and (iii) 221,109 shares of common stock issuable upon conversion of 24,322 shares of Series A Convertible Preferred Stock, owned directly by Dr. Rosenwald. Dr. Rosenwald disclaims beneficial ownership over 831,213 shares owned by three trusts for the benefit of Dr. Rosenwald, except to the extent of his pecuniary interest therein. Mr. Jay Lobell, who is the distribution and investment advisor to the trusts, has voting and dispositive control over such shares, and reports ownership on a separate Form 4. Dr. Lindsay Rosenwald 2003-11-13 -----END PRIVACY-ENHANCED MESSAGE-----