144 1 d144.htm FORM 144 Form 144

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 144

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NOTICE OF PROPOSED SALE OF SECURITIES

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

   SEC USE ONLY
 
 

DOCUMENT SEQUENCE NO.        

 

ATTENTION:   Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale Or executing a sale directly with a market maker.

   CUSIP NUMBER
    

WORK LOCATION

 

1(a) NAME OF ISSUER (Please type or print)

 

ENCORIUM GROUP INC

  

(b) IRS IDENT NUMBER

 

561668867

          

(c) S.E.C. FILE NUMBER

 

21145

  (d) ADDRESS OF ISSUER    STREET   

CITY

    STATE    ZIP CODE       (e) TELEPHONE NO.

ONE GLENHARDIE CORPORATE CENTER

    1275 DRUMMERS LN.   

SUITE 100

    WAYNE, PA 19087      Area Code    Number
                  610    975-9533

2(a) NAME OF PERSON FOR WHOSE

        ACCOUNT THE SECURITIES

        ARE TO BE SOLD

   

(b) SOCIAL SECURITY NO

OR IRS IDENT. NO.

  

(c) RELATIONSHIP

      TO ISSUER

    (d) ADDRESS    STREET    CITY    STATE    ZIP CODE
Kenneth M. Borow, M.D.    ###-##-####   CEO    407 WYNTRE LEA DRIVE BRYN MAWR, PA 19010                        

INSTRUCTION: The person filing this notice should contact the issuer to obtain the IRS. Identification Number and the S.E.C. File Number

 

3(a)

    (b)    SEC USE ONLY    (c)    (d)    (e)    (f)    (g)

Title of the

class of

Securities

To Be Sold

   

Name and address of Each
Broker Through Whom
the Securities are

to be Offered or Each
market Maker Who is
Acquiring the Securitie

   

Broker-Dealer

File Number

   

Number of Shares

Or Other Units

To Be Sold

(See Instr. 3(c))

   

Aggregate

Market Value

(See Instr. 3(d))

   

Number of Shares

or Other Units

Outstanding

(See Instr. 3(e))

   

Approximate

Date of Sale

(See Instr. 3(f))

(Mo. Day Yr)

   

Name of Each

Securities

Exchange

(See Instr. 3(g))

COMMON

    THOMPSON DAVIS & CO. 919 E. MAIN ST. 16TH FLOOR RICHMOND, VA 23218          150,000.00    $711,000.00    13.35M    02/13/2007    NASDAQ

INSTRUCTIONS:

 

1.

   (a)   Name of issuer
  (b)   Issuer’s I.R.S. Identification Number
  (c)   Issuer’s S.E.C. file number, if any
 

(d)

(e)

  

Issuer’s address, including zip code

Issuer’s telephone number, including area code

2.

   (a)   Name of person for whose account the securities are to be sold
 

(b)

 

   Such person’s Social Security or IRS identification number
  (c)   Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
  (d)   Such person’s address, including zip code
3.   (a)   Title of the class of securities to be sold
  (b)   Name and address of each broker through whom the securities are intended to be sold
  (c)   Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
  (d)   Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
  (e)  

Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer.

Approximate date on which the securities are to be sold

  (f)  
  (g)   Name of each securities exchange, if any, on which the securities are intended to be sold.

TABLE 1—SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of

The Class

  

Date You

Acquired

   Nature of Acquisition Transaction  

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

   Amount of
Securities Acquired		   Date of
Payment		   Nature of
Payment
COMMON

 

 

   SEE
ATTACHMENT
A		                    

INSTRUCTIONS: 1.

    If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.   

2. If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d) (3) of Rule 144, furnish full information with respect thereto.

 

 

 

TABLE II—SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of Seller   Title of Securities Sold   Date of Sale   Amount of
Securities Sold		   Gross Proceeds

KENNETH M. BOROW, M.D.

407 WYNTRE LEA DRIVE

BRYN MAWR, PA 19010

 

 

   COMMON   11/13/2006   25000.00   $95080.00

REMARKS:

**1) SHARES SOLD PURSUANT TO 10B5-1 PLAN

 

 

 

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

  

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.

 

DATE OF NOTICE

  

 

(SIGNATURE)

This notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.

Any copies not manually signed shall bear typed or printed signatures.

 

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001).

ATTACHMENT A

 

TITLE OF

CLASS

   

DATE ACQUIRED:

   

NATURE OF ACQUISITION

TRANSACTION:

   

NAME OF PERSON FROM

WHOM ACQUIRED:

   

AMOUNT OF SECURITIES

ACQUIRED:

   

DATE OF

PAYMENT:

   

NATURE OF

PAYMENT

COMMON

    7/31/2003    OPEN MARKET    OPEN MARKET    359568    7/31/2003    CASH