-----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, RD8n0eGudzF+PMQvfGjQX39RxYOQbe8xwbsELDXdZOym/zhgr6bi2KK/1jG0c2CE nYR5i0sl+ohkAlmBRKSQKg== 0000912057-02-006383.txt : 20020414 0000912057-02-006383.hdr.sgml : 20020414 ACCESSION NUMBER: 0000912057-02-006383 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: D AMBRA THOMAS E PHD CENTRAL INDEX KEY: 0001106073 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 370 RIVERVIEW ROAD CITY: REXFORD STATE: NY ZIP: 12148 BUSINESS PHONE: 5183730301 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALBANY MOLECULAR RESEARCH INC CENTRAL INDEX KEY: 0001065087 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 141742717 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-57327 FILM NUMBER: 02550047 BUSINESS ADDRESS: STREET 1: 21 CORPORATE CIRCLE STREET 2: P O BOX 15098 CITY: ALBANY STATE: NY ZIP: 12203-5154 BUSINESS PHONE: 5184640279 MAIL ADDRESS: STREET 1: 21 CORPORATE CIRCLE STREET 2: P O BOX 15098 CITY: ALBANY STATE: NY ZIP: 12203-5154 SC 13G 1 a2071108zsc13g.txt SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ___________)* ALBANY MOLECULAR RESEARCH, INC. - ------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK,$.01 PAR VALUE - ------------------------------------------------------------------------------- (Title of Class of Securities) 012423 10 9 - ------------------------------------------------------------------------------- (CUSIP Number) DECEMBER 31, 2001 - ------------------------------------------------------------------------------- (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. 012423 10 9 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). THOMAS E. D'AMBRA, PH.D. - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Citizenship or Place of Organization UNITED STATES - ------------------------------------------------------------------------------- Number of 5. Sole Voting Power 3,152,058 Shares --------------------------------------------------------- Beneficially 6. Shared Voting Power 4,685,898 Owned by --------------------------------------------------------- Each Reporting 7. Sole Dispositive Power 3,152,058 Person With --------------------------------------------------------- 8. Shared Dispositive Power 4,685,898 - ------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 7,837,956 - ------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 23.7% - ------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - ------------------------------------------------------------------------------- Item 1. (a) Name of Issuer ALBANY MOLECULAR RESEARCH, INC. (b) Address of Issuer's Principal Executive Offices 21 CORPORATE CIRCLE, P.O. BOX 15098, ALBANY, NEW YORK 12212-5098 Item 2. (a) Name of Person Filing THOMAS E. D'AMBRA, PH.D. (b) Address of Principal Business Office or, if none, Residence 21 CORPORATE CIRCLE, P.O. BOX 15098, ALBANY, NEW YORK 12212-5098 (c) Citizenship UNITED STATES (d) Title of Class of Securities COMMON STOCK, $.01 PAR VALUE (e) CUSIP Number 012423 10 9 ITEM 3. If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) [ ] An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with section 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with section 240.13d-1(b)(1)(ii)(J). ITEM 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 7,837,956 (b) Percent of class: 23.7% (1) (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 3,152,058 (2) (ii) Shared power to vote or to direct the vote 4,658,898 (3) (iii) Sole power to dispose or to direct the disposition of 3,152,058 (2) (iv) Shared power to dispose or to direct the disposition of 4,658,898 (3) INSTRUCTION. For computations regarding securities which represent a right to acquire an underlying security SEE section 240.13d3(d)(1). ITEM 5. Ownership of Five Percent or Less of a Class N/A ITEM 6. Ownership of More than Five Percent on Behalf of Another Person. N/A ITEM 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company N/A ITEM 8. Identification and Classification of Members of the Group N/A ITEM 9. Notice of Dissolution of Group N/A ITEM 10. Certifications N/A (1) Based on 33,106,631 shares of Common Stock outstanding as of December 31, 2001. (2) Includes 3,152,058 shares held by the Thomas E. D'Ambra GRAT I Trust of which Dr. D'Ambra serves as trustee. (3) Includes 4,685,898 shares owned jointly with Dr. D'Ambra's spouse. 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. FEBRUARY 8, 2002 -------------------------------- Date -------------------------------- Signature THOMAS E. D'AMBRA, PH.D. / CHIEF EXECUTIVE OFFICER -------------------------------------------------- Name/Title The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. SEE ss.240.13d-7 for other parties for whom copies are to be sent. ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) -----END PRIVACY-ENHANCED MESSAGE-----