-----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, HKSowMybvvyux6ThBXQeuOFPHTNGcz/iQgebD8gxt1uQuPTgikVmW5yKT6wDIBW9 mGIK7unf8kW8a+PPpBLRIg== 0000891554-02-000441.txt : 20020414 0000891554-02-000441.hdr.sgml : 20020414 ACCESSION NUMBER: 0000891554-02-000441 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020206 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STONE RICHARD CENTRAL INDEX KEY: 0001063028 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O SUNRISE SECURITIES STREET 2: 135 EAST 57TH STREET 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SIGA TECHNOLOGIES INC CENTRAL INDEX KEY: 0001010086 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 133864870 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-53627 FILM NUMBER: 02528915 BUSINESS ADDRESS: STREET 1: 420 LEXINGTON AVE STREET 2: SUITE 620 CITY: NEW YORK STATE: NY ZIP: 10170 BUSINESS PHONE: 2126729100 MAIL ADDRESS: STREET 1: 420 LEXINGTON AVE STREET 2: SUITE 620 CITY: NEW YORK STATE: NY ZIP: 10170 FORMER COMPANY: FORMER CONFORMED NAME: SIGA PHARMACEUTICALS INC DATE OF NAME CHANGE: 19961108 SC 13D/A 1 d27827_13d-a.txt FORM 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 2) Under the Securities Exchange Act of 1934 SIGA TECHNOLOGIES, INC. (Name of Issuer) COMMON STOCK (TITLE OF CLASS OF SECURITIES) 826 917 10 6 (CUSIP Number) Adam Eilenberg, Esq. Ehrenreich Eilenberg & Krause LLP 11 East 44th Street, 11th Floor New York, NY 10017 (212) 986-9700 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 25, 2002 (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box: [ ] NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. * 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 ("ACT") 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). CUSIP No. 826 917 10 6 13D ________________________________________________________________________________ 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Persons Richard Stone ________________________________________________________________________________ 2 Check Appropriate Box If a Member of a Group (a) [_] (b) [_] ________________________________________________________________________________ 3 SEC Use Only ________________________________________________________________________________ 4 Source of Funds 00,PF ________________________________________________________________________________ 5 Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [_] ________________________________________________________________________________ 6 Citizenship or Place of Organization USA ________________________________________________________________________________ Number of 7 Sole Voting Power 505,484 including Shares 25,000 shares issuable upon Beneficially exercise of warrants Owned by ______________________________________________________________ Each 8 Shared Voting Power Reporting 0 Person ______________________________________________________________ With 9 Sole Dispositive Power 505,484, including 25,000 shares issuable upon exercise of warrants ______________________________________________________________ 10 Shared Dispositive Power 0 ________________________________________________________________________________ 11 Aggregate Amount Beneficially Owned by Each Reporting Person 505,484 ________________________________________________________________________________ 12 Check box if the aggregate Amount in Row (11) Excludes Certain Shares [_] ________________________________________________________________________________ 13 Percent of Class Represented by Amount in Row (11) 4.97% ________________________________________________________________________________ 14 Type of Reporting Person IN ________________________________________________________________________________ Item 1. Security and Issuer. The title of the class of equity securities to which this statement relates is the common stock, $.0001 par value per share (the "Common Stock"), of SIGA Technologies, Inc., a Delaware corporation (the "Company"). The principal executive offices of the Company are located at 420 Lexington Avenue, Suite 620, New York, NY 10170. This statement is filed pursuant to Rule 13d-2(a) with respect to securities owned by Richard Stone as of January 25, 2002 and amends the Schedule 13 D filed on June 3, 1998,as amended by Amendment No. 1 filed on January 14, 2000 (collectively, the "Schedule 13D"). Except as set forth herein, the Schedule 13D is hereby restated in its entirety. Item 3. Source and Amount of Funds or Other Consideration. The purpose of this Amendment No. 2 is to report certain subsequent acquisitions and dispositions of shares. Between January 21, 2000 and April 18, 2001, Mr. Stone purchased 83,500 shares of Common Stock in open market transactions at prices between $2.07 per share and $4.25 per share. All purchases were paid out of his personal funds. On May 8, 2001, Mr. Stone purchased 25,000 Units of securities from the Company in a private placement transaction at a price of $2.00 per Unit. Each Unit consisted of one share of Common Stock and one currently exercisable warrant to purchase one additional share of Common Stock at an exercise price of $2.94, expiring in May 2006. Between February 22, 2000 and January 25, 2002, Mr. Stone sold 176,481 shares of Common Stock in open market transactions at prices between $2.20 per share and $7.82 per share. Item 4. Purpose of Transaction. Mr. Stone's purchases were made for investment purposes. The sales of securities were made to diversify Mr. Stone's investment portfolio. Although he has no current intention to do so, depending on market conditions and other factors, Mr. Stone may acquire additional shares or sell all or a portion of his shares of Common Stock. Mr. Stone has no plans or proposals which would relate to or would result in any of the actions set forth in the subparagraphs (a) through (j) of Item 4. Item 5. Interest in Securities of the Issuer. See Items 7 through 11 on the cover page. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None. Item 7. Materials to be Filed as Exhibits. None. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, correct and complete. Dated: February 6, 2002 /s/ Richard Stone ---------------------------- Richard Stone -----END PRIVACY-ENHANCED MESSAGE-----