-----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, PxW7v6KxvH+cEUMQvaN0cylYiYZHH5lffSTNdYlAbOOYZv59i3MmQ5v7aPs0Ueps ASTBzB9sE51ns8aIkV3yhw== 0001095091-03-000002.txt : 20030114 0001095091-03-000002.hdr.sgml : 20030114 20030109142735 ACCESSION NUMBER: 0001095091-03-000002 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030109 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KELLEY BRAD M CENTRAL INDEX KEY: 0001095091 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: C/O C G MIDDLETON STREET 2: 2500 BROWN & WILLIAMSON TOWER CITY: LOUISVILLE STATE: KY ZIP: 40202 MAIL ADDRESS: STREET 1: C/O C G MIDDLETON STREET 2: 2500 BROWN & WILLIAMSON TOWER CITY: LOUISVILLE STATE: KY ZIP: 40202 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ANTIGENICS INC /DE/ CENTRAL INDEX KEY: 0001098972 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 061562417 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-60419 FILM NUMBER: 03509052 BUSINESS ADDRESS: STREET 1: 630 FIFTH AVENUE SUITE 2170 CITY: NEW YORK STATE: NY ZIP: 10111 BUSINESS PHONE: 2123324774 MAIL ADDRESS: STREET 1: 630 FIFTH AVENUE SUITE 2170 CITY: NEW YORK STATE: NY ZIP: 10111 SC 13D 1 kelleyanti13da010803.txt FORM 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Amendment No. 1 Under the Securities Exchange Act of 1934 Name and address of Reporting Person Brad M. Kelley P.O. Box 1355 Boca Grande, Fla 33921 ANTIGENICS INC. (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of Securities) 037032-10-9 (CUSIP Number) DR. Garo H. Armen Chairman and Chief Executive Officer Antigenics Inc. 630 Fifth Avenue, Suite 2100 New York, New York 10111 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) JANUARY 7, 2003 (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 that is the subject of this Schedule 13D, and is filing this schedule because of sec.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See sec. 240.13d-7(b) 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. _______________ 1) Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (entities only) Brad M. Kelley 2) Check the Appropriate Box if a Member of a Group (See Instructions) a) N/A b) N/A 3) SEC Use Only _________________________________________ 4) Source of Funds (See Instructions)Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) _____________________________________________ 6) Citizenship or Place of Organization United States Number of (7) Sole Voting Power 2,029,140 Shares Beneficially owned (8) Shared Voting Power -0- Shares beneficially Owned by (9) Sole Dispositive Power 2,029,140 Each Reporting person (10) Shared Dispositive Power -0- With 11) Aggregate Amount Beneficially Owned by Each Reporting Person 2,029,140 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)____________________________________________ 13) Percent of Class Represented by Amount in Row (11) 6.136% 14) Type of Reporting Person (See Instructions) IN __________________________________________________ ______________ _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ 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. January 8, 2003 Date Brad M. Kelley Signature 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 a 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. ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) .. ITEM 1. SECURITY AND ISSUER This statement relates to the common stock of Antigenics Inc. ("The Company"). The Company's principal offices are located at 630 Fifth Avenue, Suite 2100 New York, New York 10111. ITEM 2. IDENTITY AND BACKGROUND The name of the person filing this statement is Brad M. Kelley, an individual (the "reporting person"). The reporting person's residential address is P.O. Box 1355, 1600 Jean LaFitte, Boca Grande, Florida 33921. He is employed as Chairman of Commonwealth Brands, Inc., 2200 Lapsley Lane, Bowling Green, Kentucky 42103. His telephone number is (270) 781-9100. During the last five years, the reporting person has not been convicted in a criminal proceeding. During the last five years, the reporting person was not a party to a civil proceeding of a judicial or administrative body of competent jurisdiction, as a result of which was or is subject to a judgment, decree final order enjoining future violation of, or prohibiting, or mandatory activities subject to federal or state securities laws of finding any violation with respect to such laws. The reporting person is a United States citizen. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. This schedule 13D covers 2,029,140 shares beneficially owned by Kelley individually. All of the 2,029,140 shares are beneficially owned by Kelley individually. No shares are held in nominees' name for his benefit. The stock beneficially owned by Kelley individually and through his immediate family was purchased with personal funds beginning August 02, 2002, with the last purchase being made on January 7, 2003. ITEM 4. PURPOSE OF TRANSACTION The purpose of the acquisition of the stock beneficially owned by the reporting person and his immediate family is for personal investment. Kelley may acquire additional shares of the stock from time to time in market or private transactions. The reporting person has no present plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Kelley individually beneficially owns 2,029,140 shares of common stock of the Company, which based on the Company's 14A Proxy Statement filed April 22, 2002 represents approximately 6.136% of the outstanding stock of 33,066,476 shares as of April 5, 2002. Exhibit A attached hereto contains information as to all transactions in the shares by the Reporting Person in the past 60 days. All such transactions were made in the open market. No other transactions in the shares have been effected by the Reporting Person since such date. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDING, OR RELATIONSHIP WITH RESPECT TO SECURITIES OF THE ISSUER. None. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Exhibit A Transactions in the Stock by the Reporting Person since, August 02, 2002. Brad M. Kelley 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. Date: January 8, 2003. /s/ Brad M. Kelley Exhibit A Transactions in the Shares by the Reporting Person KELLEY BRAD Holdings Quantity Name Open Date Unit Cost Cost Amount Quantity Open Date Unit Cost Cost Amount Value 1,296 08/02/2002 8.9005 11,535.08 1,200 08/02/2002 8.8196 10,583.54 900 08/02/2002 8.6937 7,824.32 200 08/02/2002 8.8206 1,764.12 1,404 08/05/2002 8.7323 12,260.13 1,400 08/05/2002 8.7222 12,211.03 1,200 08/05/2002 8.7364 10,483.74 600 08/05/2002 8.7211 5,232.69 500 08/05/2002 8.7313 4,365.64 300 08/05/2002 8.7293 2,618.78 300 08/05/2002 8.7293 2,618.78 300 08/05/2002 8.7313 2,619.38 6,700 08/06/2002 8.7103 58,359.03 1,300 08/06/2002 8.7002 11,310.30 1,200 08/06/2002 8.6902 10,428.19 800 08/06/2002 8.6863 6,949.07 400 09/03/2002 8.947 3,578.81 2,000 09/17/2002 8.6724 17,344.88 1,000 09/17/2002 8.9351 8,935.14 900 09/17/2002 8.9417 8,047.54 100 09/17/2002 8.926 1,015.00 2,000 09/18/2002 8.5613 17,122.53 2,000 09/18/2002 8.5284 17,056.76 2,000 09/18/2002 8.579 17,158.04 8,400 09/24/2002 7.8442 65,891.13 1,000 09/24/2002 7.743 7,742.97 300 09/24/2002 7.7293 2,318.78 100 09/24/2002 7.7936 779.36 100 09/24/2002 7.8037 780.37 100 09/24/2002 7.8138 781.38 10,000 10/14/2002 7.6818 76,817.68 9,400 10/14/2002 7.6818 72,208.63 8,800 10/14/2002 7.6823 67,604.57 800 10/14/2002 7.6717 6,137.33 500 10/14/2002 7.6767 3,838.36 400 10/14/2002 7.6787 3,071.49 100 10/14/2002 7.6717 767.17 10,000 10/15/2002 8.0318 80,318.07 9,400 10/15/2002 8.0419 75,593.98 9,000 10/15/2002 8.0318 72,286.29 9,000 10/15/2002 8.0318 72,286.29 1,000 10/15/2002 8.0267 8,026.71 1,000 10/15/2002 8.0167 8,016.66 600 10/15/2002 8.0369 4,822.12 7,900 10/16/2002 7.899 62,402.21 200 10/16/2002 7.8933 1,578.66 1,500 10/24/2002 9.2404 13,860.61 1,000 10/24/2002 9.2574 9,257.42 24,400 10/28/2002 9.58 233,752.00 24,180 10/28/2002 9.58 231,644.40 540 10/28/2002 9.38 5,065.20 500 10/28/2002 9.576 4,788.00 500 10/28/2002 9.543 4,771.50 320 10/28/2002 9.57 3,062.40 100 10/28/2002 9.57 1,015.00 30,000 10/29/2002 9.4802 284,405.00 19,500 10/29/2002 9.53 185,835.00 500 10/29/2002 9.29 4,645.00 500 10/29/2002 9.535 4,767.50 23,300 10/30/2002 9.58 223,214.00 6,200 10/30/2002 9.53 59,086.00 500 10/30/2002 9.572 4,786.00 19,400 10/31/2002 9.6 186,240.00 1,600 10/31/2002 9.46 15,136.00 600 10/31/2002 9.6283 5,777.00 500 10/31/2002 9.305 4,652.50 20,000 11/01/2002 9.58 191,600.00 19,300 11/01/2002 9.5803 184,899.00 700 11/01/2002 9.54 6,678.00 3,300 11/04/2002 9.7215 32,081.00 4,500 11/05/2002 10.7111 48,200.00 3,000 11/05/2002 10.73 32,190.00 900 11/05/2002 10.62 9,558.00 900 11/05/2002 10.63 9,567.00 400 11/05/2002 10.64 4,256.00 200 11/05/2002 10.57 2,114.00 100 11/05/2002 10.635 1,063.50 20,000 11/06/2002 10.897 217,940.18 5,000 11/06/2002 10.7358 53,679.11 5,000 11/06/2002 10.7956 53,978.21 11,000 11/07/2002 10.78 118,580.00 900 11/07/2002 10.78 9,702.00 500 11/07/2002 10.741 5,370.50 100 11/07/2002 10.67 1,067.00 10,000 11/08/2002 10.9805 109,805.00 12,800 11/11/2002 11.1 142,080.00 8,000 11/11/2002 11.15 89,200.00 7,800 11/11/2002 11.08 86,424.00 7,500 11/11/2002 11.1107 83,330.00 5,500 11/11/2002 11.14 61,270.00 200 11/11/2002 11.09 2,218.00 200 11/11/2002 11.098 2,219.60 18,000 11/12/2002 10.85 195,300.00 11,500 11/12/2002 10.85 124,775.00 11,000 11/12/2002 10.9 119,900.00 10,000 11/12/2002 10.9005 109,005.00 5,000 11/12/2002 10.89 54,450.00 3,500 11/12/2002 10.8 37,800.00 1,000 11/12/2002 10.87 10,870.00 13,500 11/13/2002 10.7504 145,130.00 10,000 11/13/2002 10.74 07,400.00 20,000 11/14/2002 10.92 218,400.00 6,500 11/14/2002 10.85 70,525.00 1,000 11/14/2002 10.805 10,805.00 25,000 11/15/2002 11.5402 288,505.00 25,000 11/15/2002 11.4 285,000.00 7,500 11/15/2002 11.2 84,000.00 15,000 11/18/2002 11.2103 168,155.00 7,800 11/18/2002 11.22 87,516.00 20,000 11/19/2002 11.1303 222,605.00 20,000 11/19/2002 11.11 222,200.00 25,000 11/21/2002 11.43 285,750.00 17,000 11/21/2002 11.28 191,760.00 15,000 11/21/2002 11.43 171,450.00 1,000 11/21/2002 11.175 11,175.00 1,000 11/21/2002 11.23 11,230.00 30,000 11/22/2002 11.4302 342,905.00 30,000 11/22/2002 11.3599 340,797.73 25,000 11/22/2002 11.58 289,500.00 28,500 11/25/2002 11.78 335,730.00 25,000 11/25/2002 11.8102 295,255.00 25,000 11/25/2002 11.68 292,000.00 20,000 11/25/2002 11.73 234,600.00 15,000 11/25/2002 11.64 174,600.00 6,500 11/25/2002 11.73 76,245.00 5,000 11/25/2002 11.68 58,400.00 25,000 11/26/2002 11.3802 284,505.00 15,000 11/26/2002 11.4049 171,073.10 5,000 11/26/2002 11.3843 56,921.32 25,000 12/02/2002 12.05 301,250.00 20,000 12/02/2002 12.0603 241,205.00 20,000 12/04/2002 11.6 232,000.00 20,000 12/04/2002 11.739 234,780.47 15,000 12/04/2002 11.7 175,500.00 5,000 12/04/2002 11.641 58,205.00 5,000 12/04/2002 11.61 58,050.00 5,000 12/04/2002 11.6983 58,491.47 14,000 12/05/2002 11.6004 162,405.00 13,000 12/05/2002 11.5675 150,377.58 12,000 12/05/2002 11.6388 139,665.18 6,000 12/05/2002 11.53 69,180.00 10,000 12/06/2002 11.6905 116,905.00 20,500 12/09/2002 11.7002 239,855.00 10,000 12/09/2002 11.83 118,300.00 10,000 12/09/2002 11.81 118,100.00 3,000 12/09/2002 11.85 35,550.00 2,000 12/09/2002 11.8 23,600.00 25,000 12/10/2002 11.5329 288,321.96 25,000 12/10/2002 11.72 293,000.00 25,000 12/10/2002 11.6 290,000.00 25,000 12/10/2002 11.47 286,750.00 15,000 12/10/2002 11.03 165,450.00 12,500 12/10/2002 11.47 143,375.00 10,000 12/10/2002 11.05 110,500.00 2,500 12/10/2002 11.48 28,700.00 800 12/10/2002 11.8363 9,469.00 2,500 12/11/2002 10.942 27,355.00 1,000 12/11/2002 10.95 10,950.00 25,000 12/12/2002 11.0702 276,755.00 14,989 12/12/2002 11.04 165,478.56 10,000 12/12/2002 11 110,000.00 10,000 12/12/2002 11 110,000.00 11 12/12/2002 10.98 120.78 5,000 12/13/2002 10.851 54,255.00 10,000 12/16/2002 10.95 109,500.00 20,000 12/16/2002 11.1 222,000.00 10,000 12/16/2002 10.7505 107,505.00 24,100 12/17/2002 11.35 273,535.00 10,000 12/17/2002 11.18 111,800.00 10,000 12/17/2002 11.19 111,900.00 10,000 12/17/2002 11.21 112,100.00 8,300 12/17/2002 11.21 93,043.00 8,100 12/17/2002 11.3625 92,036.39 5,000 12/17/2002 11.29 56,450.00 4,500 12/17/2002 11.34 51,030.00 15,000 12/18/2002 11.1 166,500.00 9,000 12/18/2002 11.15 100,350.00 6,000 12/18/2002 11.24 67,440.00 5,000 12/18/2002 11.141 55,705.00 5,000 12/18/2002 11.15 55,750.00 5,000 12/18/2002 11.36 56,800.00 5,000 12/18/2002 11.3 56,500.00 12,500 12/19/2002 10.96 137,000.00 10,000 12/19/2002 11.03 110,300.00 10,000 12/19/2002 10.98 109,800.00 10,000 12/19/2002 11 110,000.00 8,000 12/19/2002 10.95 87,600.00 5,000 12/19/2002 11.091 55,455.00 5,000 12/19/2002 11 55,000.00 5,000 12/19/2002 10.99 54,950.00 2,500 12/19/2002 11 27,500.00 25,000 12/20/2002 10.85 271,250.00 15,000 12/20/2002 10.9503 164,255.00 10,000 12/20/2002 10.87 108,700.00 4,000 12/24/2002 10.5313 42,125.00 3,000 12/24/2002 10.56 31,680.00 14,000 12/26/2002 10.7004 149,805.00 15,000 12/27/2002 10.66 159,900.00 14,000 12/27/2002 10.46 146,440.00 10,000 12/27/2002 10.7805 107,805.00 10,000 12/27/2002 10.45 104,500.00 1,000 12/27/2002 10.44 10,440.00 25,000 12/30/2002 10.4211 260,527.48 15,000 12/30/2002 10.46 156,900.00 15,000 12/30/2002 10.33 154,950.00 10,000 12/30/2002 10.5105 105,105.00 10,000 12/30/2002 10.31 103,100.00 8,000 12/30/2002 10.3 82,400.00 15,000 12/31/2002 10.3303 154,955.00 10,500 12/31/2002 10.53 110,565.00 10,000 12/31/2002 10.27 102,700.00 10,000 12/31/2002 10.55 105,500.00 5,000 12/31/2002 10.35 51,750.00 3,000 12/31/2002 10.52 31,560.00 1,500 12/31/2002 10.49 15,735.00 7,000 01/02/2003 10.8 75,600.00 2,500 01/02/2003 10.552 26,305.00 2,500 01/02/2003 10.85 27,125.00 1,500 01/02/2003 10.65 15,975.00 1,000 01/02/2003 10.6 10,600.00 23,000 01/03/2003 11.01 253,230.00 8,500 01/03/2003 11.04 93,840.00 6,000 01/03/2003 11.0 66,000.00 3,000 01/03/2003 10.9 32,700.00 2,000 01/03/2003 10.8525 21,705.00 1,500 01/03/2003 10.94 16,410.00 10,000 01/06/2003 11.85 118,500.00 6,000 01/06/2003 11.83 70,980.00 3,500 01/-6/2003 11.25 39,375.00 3,000 01/06/2003 11.78 35,340.00 2,500 01/06/2003 11.55 28,875.00 2,500 01/96/2003 11.61 29,025.00 2,000 01/06/2003 11.35 22,700.00 1,500 01/06/2003 11.2033 16,805.00 1,000 01/06/2003 11.81 11,810.00 21,500 01/07/2003 11.65 250,475.00 3,500 01/07/2003 11.6 40,600.00 10,000 01/07/2003 11.7005 117,005.00 10,000 01/07/2003 11.62 116,200.00 5,000 01/07/2003 11.55 57,750.00 Total Shares: 2,029,140
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