-----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, M0vQ7I/L1IQBr5nC5Ui4K+jt94b00WRyk1O5xFFFDH375RC9TSF5MAOZrqlEj776 gJnhMGArxbZBamzeA8jCaw== 0000927016-01-000939.txt : 20010223 0000927016-01-000939.hdr.sgml : 20010223 ACCESSION NUMBER: 0000927016-01-000939 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: LILLIAN R. ROTHBERG GROUP MEMBERS: ROTHBERG HENRY M SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CURAGEN CORP CENTRAL INDEX KEY: 0001030653 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 061331400 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-53811 FILM NUMBER: 1543781 BUSINESS ADDRESS: STREET 1: 555 LONG WHARF DRIVE STREET 2: 11TH FL CITY: NEW HAVEN STATE: CT ZIP: 06511 BUSINESS PHONE: 2034013330 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROTHBERG HENRY M CENTRAL INDEX KEY: 0001076350 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 49 OLD QUARRY ROAD CITY: GUILFORD STATE: CT ZIP: 06443 BUSINESS PHONE: 5612235452 SC 13G/A 1 0001.txt SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* --------------- CuraGen Corporation ----------------------------- (Name of Issuer) Common Stock ----------------------------- (Title of Class of Securities) 23126R 10 1 ----------------------------- (CUSIP Number) December 31, 2000 ----------------------------------------------------- (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) [_] Rule 13d-1(c) [X] Rule 13d-1(d) *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 the disclosures provided in a prior cover page. The information required in 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. 23126R 10 1 13G - -------------------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY). Henry M. Rothberg - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 None ----------------------------------------------------------- NUMBER OF SHARED VOTING POWER 6 SHARES 1,460,592 shares of Common Stock held by Grand Hemroc Limited Partnership. Mr. Rothberg and his wife BENEFICIALLY serve as co-general partners of Grand Hemroc Limited Partnership. OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 1,460,592 shares of Common Stock held by Grand Hemroc Limited Partnership. Mr. Rothberg and his wife serve as co-general partners of Grand Hemroc Limited Partnership. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,460,592 shares of Common Stock held by Grand Hemroc Limited Partnership. Mr. Rothberg and his wife serve as co-general partners of Grand Hemroc Limited Partnership. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] Not applicable. - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 3.31% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ - -------------------------- CUSIP NO. 23126R 10 1 13G - -------------------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY). Lillian R. Rothberg - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 15,000 shares ----------------------------------------------------------- NUMBER OF SHARED VOTING POWER 6 SHARES 1,460,592 shares of Common Stock held by Grand Hemroc Limited Partnership. Mrs. Rothberg and her BENEFICIALLY husband serve as co-general partners of Grand Hemroc Limited Partnership. OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 15,000 shares PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 1,460,592 shares of Common Stock held by Grand Hemroc Limited Partnership. Mrs. Rothberg and her husband serve as co-general partners of Grand Hemroc Limited Partnership. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,475,592 shares (consists of (i) 15,000 shares held by Mr. Rothberg's wife, and (ii) 1,460,592 shares of Common Stock held by Grand Hemroc Limited Partnership. Mr. Rothberg and his wife serve as co-general partners of Grand Hemroc Limited Partnership. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] Not applicable. - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 3.34% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ Item 1(a). Name of Issuer: --------------- CuraGen Corporation Item 1(b). Address of Issuer's Principal Executive Offices: ------------------------------------------------ 555 Long Wharf Drive New Haven, CT 06511 Item 2(a). Name of Person Filing: ---------------------- Henry M. Rothberg and Lillian R. Rothberg Item 2(b). Address of Principal Business Office or, if None, Residence: ------------------------------------------------------------ Laticrete International, Inc. One Laticrete Park North Bethany, CT 06524-3423 Item 2(c). Citizenship: ------------ Mr. and Mrs. Rothberg are United States citizens Item 2(d). Title of Class of Securities: ----------------------------- Common Stock Item 2(e). CUSIP Number: ------------------------------------------------------------------- 23126R 10 1 Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act. (e) [ ] An investment adviser in accordance with Rule 13d- 1(b)(1)(ii)(E). (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act. (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [ ] Item 4. Ownership --------- (a) Amount beneficially owned: Mr. Rothberg beneficially owns 1,460,592 shares of Common Stock consisting of 1,460,592 shares of Common Stock held by Grand Hemroc Limited Partnership. Mrs. Rothberg beneficially owns 1,475,592 shares (consisting of (i) 15,000 shares held by Mrs. Rothberg and (ii) 1,460,592 shares of Common Stock held by Grand Hemroc Limited Partnership.). Mr. and Mrs. Rothberg serve as co-general partners of Grand Hemroc Limited Partnership. (b) Percent of class: Mr. and Mrs. Rothberg own 3.3% of the Common Stock of the Issuer. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: Mr. Rothberg: no shares Mrs. Rothberg: 15,000 shares (ii) shared power to vote or to direct the vote: Mr. Rothberg: 1,460,592 shares Mrs. Rothberg: 1,475,592 shares (iii) sole power to dispose or to direct the disposition of: Mr. Rothberg: no shares Mrs. Rothberg: 15,000 shares (iv) shared power to dispose or to direct the disposition of: Mr. Rothberg: 1,460,592 shares Mrs. Rothberg: 1,475,592 shares Item 5. Ownership of Five Percent or Less of a Class -------------------------------------------- If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. 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 ------------- Not applicable. 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. NAME Date: February 14, 2001 By: /s/ Henry M. Rothberg ----------------------- -------------------------- Henry M. Rothberg ------------------ Name and Title Date: February 14, 2001 By: /s/ Lillian R. Rothberg ----------------------- ---------------------------- Lillian R. Rothberg ------------------- Name and Title Exhibit 1 JOINT FILING AGREEMENT OF HENRY M. ROTHBERG AND LILLIAN R. ROTHBERG The undersigned hereby agree that the Schedule 13G with respect to the securities of CuraGen Corporation dated as of even date herewith is filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities and Exchange Act of 1934, as amended. Dated: February 14, 2000 /s/ Henry M. Rothberg ---------------------- Henry M. Rothberg /s/ Lillian R. Rothberg ------------------------ Lillian R. Rothberg -----END PRIVACY-ENHANCED MESSAGE-----