-----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, OLtQaafAYjICpJd34vtKUPta6DTT6o1pDq1iOdeD5AtqchR/XBc0CZpL3CfUPeFS zR2JsJbUjwqordyXVaKPug== 0001179022-06-000173.txt : 20061113 0001179022-06-000173.hdr.sgml : 20061113 20061113162240 ACCESSION NUMBER: 0001179022-06-000173 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20061113 DATE AS OF CHANGE: 20061113 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CORAUTUS GENETICS INC CENTRAL INDEX KEY: 0001003929 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 330687976 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-50201 FILM NUMBER: 061209237 BUSINESS ADDRESS: STREET 1: 75 FIFTH STREET, NW STREET 2: SUITE 313 CITY: ATLANTA STATE: GA ZIP: 30308 BUSINESS PHONE: 404-526-6200 MAIL ADDRESS: STREET 1: 75 FIFTH STREET, NW STREET 2: SUITE 313 CITY: ATLANTA STATE: GA ZIP: 30308 FORMER COMPANY: FORMER CONFORMED NAME: GENSTAR THERAPEUTICS CORP DATE OF NAME CHANGE: 20000330 FORMER COMPANY: FORMER CONFORMED NAME: UROGEN CORP DATE OF NAME CHANGE: 19960508 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OTTO RICHARD E CENTRAL INDEX KEY: 0001218652 FILING VALUES: FORM TYPE: SC 13D MAIL ADDRESS: STREET 1: 15 FAIRWAY DRIVE CITY: ST.SIMONS ISLAND STATE: GA ZIP: 31522 SC 13D 1 otto13d.htm SCHEDULE 13D Schedule 13D

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549

____________________________

SCHEDULE 13D
(Rule 13d-101)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(a)

CORAUTUS GENETICS INC.
(Name of Issuer)

Common Stock, Par Value $0.001 per share
(Title of Class of Securities)

218139202
(CUSIP Number)

Jack W. Callicutt
75 Fifth Street, Suite 700
Atlanta, Georgia 30308
(404) 526-6210

with copies to:

McKenna Long & Aldridge LLP
303 Peachtree Street, Suite 5300
Atlanta, Georgia 30308
Attn: David Brown, Esq.
(404) 527-4927
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

November 2, 2006
(Date of Event Which Requires Filing of This Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. :

(Continued on following pages)

  Page 1 of 5 pages

CUSIP No. 218139202
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - (ENTITIES ONLY)

Richard E. Otto
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) :
(b) :

3. SEC USE ONLY
4. SOURCE OF FUNDS
N/A
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):  o
6. CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
  NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7. SOLE VOTING POWER
1,654,292
8. SHARED VOTING POWER
-----------
9. SOLE DISPOSITIVE POWER
1,654,292
10. SHARED DISPOSITIVE POWER
-----------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,654,292
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES                                                                                                   [ ]
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
7.76 %(1)
14. TYPE OF REPORTING PERSON
IN

______________________

1 Based on 19,728,854 shares of Common Stock outstanding as disclosed by Corautus Genetics Inc. in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 10, 2006, reporting results for the quarter ended June 30, 2006.

 

Page 2 of 5 pages

CUSIP No. 218139202

Item 1.    Security and Issuer.

This statement relates to the Common Stock, par value $.001 per share, of Corautus Genetics Inc., a Delaware corporation (the "Company"), whose principal office is located at 75 Fifth Street, Suite 700, Atlanta, Georgia 30308.

Item 2.    Identity and Background.
(a) Name: Richard E. Otto
(b) Address: 75 Fifth Street, Suite 700, Atlanta, GA 30308
(c) Employment: President and Chief Executive Officer, Corautus Genetics Inc.
(d) Criminal Convictions: None
(e) Civil Proceedings: None
(f) Citizenship: United States of America

Item 3.    Source and Amount of Funds or Other Consideration.

Not applicable.

Item 4.    Purpose of Transaction.

Not applicable.

Item 5.    Interest in Securities of the Issuer.

(a)        Mr. Otto is the beneficial owner of 1,654,292 shares of Common Stock (7.76%) of the Company.

(b)        Number of shares as to which the reporting person has:
(i) Sole power to vote or direct the vote: 1,654,292*
(ii) Shared power to vote or direct the vote:               0
(iii) Sole power to dispose or to direct the disposition: 1,654,292*
(iv) Shared power to dispose or to direct the disposition:               0

* Includes 8,242 shares held jointly with Mr. Otto's wife and options exercisable for 1,596,442 shares.

(c)        Not applicable.

(d)        Not applicable.

(e)        Not applicable.

Page 3 of 5 pages

 

Item 6.    Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

Not applicable.

Item 7.    Material to be Filed as Exhibits.

Not applicable.

 

Page 4 of 5 pages

 

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.

Date: November 12, 2006     /s/ Richard E. Otto                           
Richard E. Otto

 

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