-----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, Mr67hmACIHWZVSiiPIzYOYrcrjgEnfGIOr/308CwEtUKEvLrVO31Ze2sGyINRf+c YyhvO7jx3H2jt8+Xgssqcw== 0000927016-00-000466.txt : 20000215 0000927016-00-000466.hdr.sgml : 20000215 ACCESSION NUMBER: 0000927016-00-000466 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALBANY MOLECULAR RESEARCH INC CENTRAL INDEX KEY: 0001065087 STANDARD INDUSTRIAL CLASSIFICATION: MEDICINAL CHEMICALS & BOTANICAL PRODUCTS [2833] IRS NUMBER: 141742717 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-57327 FILM NUMBER: 537696 BUSINESS ADDRESS: STREET 1: 21 CORPORATE CIRCLE CITY: ALBANY STATE: NY ZIP: 12203-5154 BUSINESS PHONE: 5184640279 MAIL ADDRESS: STREET 1: 21 CORPORATE CIRCLE1 CITY: ALBANY STATE: NY ZIP: 12203-5154 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: D AMBRA THOMAS E PHD CENTRAL INDEX KEY: 0001106073 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 370 RIVERVIEW ROAD CITY: REXFORD STATE: NY ZIP: 12148 BUSINESS PHONE: 5183730301 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 --------------------------- SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No.______________)/1/ ALBANY MOLECULAR RESEARCH, INC. ------------------------------- (Name of Issuer) COMMON STOCK, $.01 PAR VALUE ---------------------------- (Title of Class of Securities) 012423 10 9 ----------- (CUSIP Number) DECEMBER 31, 1999 ----------------- (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) /1/ 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 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 13G PAGE 2 OF 5 PAGES - ---------------------- ----------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) THOMAS E. D'AMBRA, PH.D. - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - --------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,734,030 NUMBER OF -------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 2,596,214 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 1,734,030 PERSON -------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER 2,596,214 - --------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 4,330,244 - --------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - --------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 29.6% - --------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 IN - --------------------------------------------------------------------------- * SEE instructions before filling out! CUSIP NO. 012423 10 9 13G PAGE 3 OF 5 PAGES - ---------------------- ----------------- Item 1(a). Name of Issuer: Albany Molecular Research, Inc. ----------------------------------------------------------------- Item 1(b). Address of Issuer's Principal Executive Offices: 21 Corporate Circle, Albany, New York 12203-5154 ----------------------------------------------------------------- Item 2(a). Name of Person Filing Thomas E. D'Ambra, Ph.D. ----------------------------------------------------------------- Item 2(b). Address of Principal Business Office or, if none, Residence c/o Albany Molecular Research, Inc., 21 Corporate Circle, Albany, New York 12203-5154 ----------------------------------------------------------------- Item 2(c). Citizenship United States ----------------------------------------------------------------- Item 2(d). Title of Class of Securities Common Stock, $.01 par value ----------------------------------------------------------------- Item 2(e). CUSIP Number 012423 10 9 ----------------------------------------------------------------- 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: N/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) CUSIP NO. 012423 10 9 13G PAGE 4 OF 5 PAGES - ---------------------- ----------------- Item 4. Ownership. (a) Amount beneficially owned: 4,330,244 - ------------------------------------------------------------------------------ (b) Percent of class: 29.6%/1/ - ------------------------------------------------------------------------------ (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 1,734,030/2/ --------------------- (ii) Shared power to vote or to direct the vote 2,596,214/3/ ------------------- (iii) Sole power to dispose or to direct the disposition of 1,734,030/2/ -------------------------------------------------------------- (iv) Shared power to dispose or to direct the disposition of 2,596,214/3/ -------------------------------------------------------------- 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 14,593,559 shares of Common Stock outstanding as of December 31, 1999, plus 14,866 shares subject to options exercisable by Dr. D'Ambra within 60 days of December 31, 1999. /2/ Includes (1) 1,719,164 shares held by the Thomas E. D'Ambra GRAT I trust of which Dr. D'Ambra serves as trustee and (ii) 14,866 shares subject to options exercisable within 60 days of December 31, 1999. /3/ Includes 2,596,214 shares owned jointly with Dr. D'Ambra's spouse. CUSIP NO. 012423 10 9 13G PAGE 5 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. February 11, 2000 ------------------------------ (Date) /s/ Thomas E. D'Ambra ------------------------------ (Signature) Thomas E. D'Ambra ------------------------------ (Name/Title) -----END PRIVACY-ENHANCED MESSAGE-----