-----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, T5YHQtQUYbdesY3lf69uQtlsf3wYz/v9H7kXQnRVNR1as8Kdj3LHxQde9N82xMtO AeR3xc5ILi1Q15YGzNlNNg== 0001332905-06-000013.txt : 20060630 0001332905-06-000013.hdr.sgml : 20060630 20060630152151 ACCESSION NUMBER: 0001332905-06-000013 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060630 DATE AS OF CHANGE: 20060630 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AspenBio Pharma, Inc. CENTRAL INDEX KEY: 0001167419 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 841553387 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-79102 FILM NUMBER: 06937453 BUSINESS ADDRESS: STREET 1: 1585 S. PERRY STREET CITY: CASTLE ROCK STATE: CO ZIP: 80104 BUSINESS PHONE: (303) 794-2000 MAIL ADDRESS: STREET 1: 1585 S. PERRY STREET CITY: CASTLE ROCK STATE: CO ZIP: 80104 FORMER COMPANY: FORMER CONFORMED NAME: ASPENBIO INC DATE OF NAME CHANGE: 20020213 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RMB Capital Management, LLC CENTRAL INDEX KEY: 0001332905 IRS NUMBER: 593792751 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 10 SOUTH WACKER DRIVE, SUITE 3210 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (312) 993-5800 MAIL ADDRESS: STREET 1: 10 SOUTH WACKER DRIVE, SUITE 3210 CITY: CHICAGO STATE: IL ZIP: 60606 SC 13G 1 g13gapnb-063006.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.______) AspenBio Pharma, Inc (Name of Issuer) common stock (Title of Class of Securities) 045346103 ------------- (CUSIP Number) May 4, 2006 (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) |X| Rule 13d-1(c) |_| 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 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. 045346103 - - --------------------------------------------------------------------------- 1) Names of Reporting Persons. I.R.S. Identification Nos. of Above Persons (entities only) RMB CAPITAL MANAGEMENT LLC 59-3792751 - - --------------------------------------------------------------------------- 2) Check the Appropriate Box if a Member of a Group (a) |_| (See Instructions) (b) |_| - - --------------------------------------------------------------------------- 3) SEC Use Only - - --------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware Limited Liability Company - - --------------------------------------------------------------------------- Number of Shares 5) Sole Voting Power None Beneficially ------------------------------------------------- Owned by Each 6) Shared Voting Power 2,019,325 Reporting ------------------------------------------------- Person With 7) Sole Dispositive Power None ------------------------------------------------- 8) Shared Dispositive Power 2,019,325 - - --------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,019,325 - - --------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_| - - --------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Item 9 11.3% - - --------------------------------------------------------------------------- 12) Type of Reporting Person (See Instructions) IA - - --------------------------------------------------------------------------- CUSIP No. 045346103 - - --------------------------------------------------------------------------- 1) Names of Reporting Persons. I.R.S. Identification Nos. of Above Persons (entities only) 1837 Partners L.P. 20-4502386 - - --------------------------------------------------------------------------- 2) Check the Appropriate Box if a Member of a Group (a) |_| (See Instructions) (b) |_| - - --------------------------------------------------------------------------- 3) SEC Use Only - - --------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware Limited Partnership - - --------------------------------------------------------------------------- Number of Shares 5) Sole Voting Power None Beneficially ------------------------------------------------- Owned by Each 6) Shared Voting Power 2,019,325 Reporting ------------------------------------------------- Person With 7) Sole Dispositive Power None ------------------------------------------------- 8) Shared Dispositive Power 2,019,325 - - --------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,019,325 - - --------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_| - - --------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Item 9 11.3% - - --------------------------------------------------------------------------- 12) Type of Reporting Person (See Instructions) PN - - --------------------------------------------------------------------------- CUSIP No. 045346103 - - --------------------------------------------------------------------------- 1) Names of Reporting Persons. I.R.S. Identification Nos. of Above Persons (entities only) 1837 RMB Managers L.L.C. 20-4493541 - - --------------------------------------------------------------------------- 2) Check the Appropriate Box if a Member of a Group (a) |_| (See Instructions) (b) |_| - - --------------------------------------------------------------------------- 3) SEC Use Only - - --------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware Limited Liability Company - - --------------------------------------------------------------------------- Number of Shares 5) Sole Voting Power None Beneficially ------------------------------------------------- Owned by Each 6) Shared Voting Power 2,019,325 Reporting ------------------------------------------------- Person With 7) Sole Dispositive Power None ------------------------------------------------- 8) Shared Dispositive Power 2,019,325 - - --------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,019,325 - - --------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_| - - --------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Item 9 11.3% - - --------------------------------------------------------------------------- 12) Type of Reporting Person (See Instructions) OO - - --------------------------------------------------------------------------- ITEM 1. (A) NAME OF ISSUER AspenBio Pharma, Inc (B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICE 1585 South Perry Street Castle Rock, CO 80104 ITEM 2. (A) NAME OF PERSONS FILING (i) RMB Capital Management, LLC (ii) 1837 Partners L.P. (iii) 1837 Managers L.L.C., the general partner of 1837 Partners L.P. (B) ADDRESS OF PRINCIPAL BUSINESS OFFICE (i) - (iii): 10 S. Wacker Dr. STE. 3210 Chicago, IL 60606 (C) CITIZENSHIP (i) Delaware limited liability company (ii) Delaware limited partnership (iii) Delaware limited liability company (D) TITLE OF CLASS OF SECURITIES COMMON STOCK (E) CUSIP NUMBER 045346103 ITEM 3. If this statement is filed pursuant to rule 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. 78c). (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 240.13d- 1(b)1)(ii)(E). (f) |_| An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F). (g) |_| A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G) (h) |_| A savings association 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 (a) Amount beneficially owned: RMB Capital Management, LLC--2,019,325 (comprised of securities held by 1837 Partners L.P., the voting and dispositive power of which are held by 1837 RMB Managers L.L.C., the General Partner of 1837 Partners L.P. and have been delegated to RMB Capital Management, LLC. 1837 Partners L.P.--2,019,325 (comprised of 1,314,260 shares held and 705,065 shares underlying common stock purchase warrants) 1837 RMB Managers L.L.C.--2,019,325 (comprised of securities held by 1837 Partners L.P., of which 1837 RMB Managers L.L.C. has the voting and dispositive power as the General Partner of 1837 Partners L.P. (b) Percent of class: (i) RMB Capital Management, LLC 11.3% (ii) 1837 Partners L.P. 11.3% (iii) 1837 RMB Managers L.L.C. 11.3% (c) Number of shares as to which the person has: RMB Capital Management, LLC has: (i) Sole power to vote or to direct the vote: None (ii) Shared power to vote or to direct the vote: 2,019,325 (iii) Sole power to dispose or to direct the disposition of: None (iv) Shared power to dispose or to direct the disposition of: 2,019,325 1837 Partners L.P. has: (i) Sole power to vote or to direct the vote: None (ii) Shared power to vote or to direct the vote: 2,019,325 (iii) Sole power to dispose or to direct the disposition of: None (iv) Shared power to dispose or to direct the disposition of: 2,019,325 1837 RMB Managers LLC has: (i) Sole power to vote or to direct the vote: None (ii) Shared power to vote or to direct the vote: 2,019,325 (iii) Sole power to dispose or to direct the disposition of: None (iv) Shared power to dispose or to direct the disposition of: 2,019,325 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON The shares reported herein by RMB Capital Management, LLC (Advisor) are held on behalf of 1837 Partners L.P., as Advisor to 1837 RMB Managers L.L.C., the general partner of 1837 Partners L.P. From time to time, 1837 Partners L.P. may make distributions of partnership income to limited partners, none of which has an interest relating to more than 5% of the class. 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. (b) The following certification shall be included if the statement is filed pursuant to ss.240.13d-1(c): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. Dated: June 30, 2006 RMB Capital Management, LLC Signature: /s/ Richard M. Burridge, Jr. ----------------------------- Name: Richard M. Burridge, Jr. Title: Managing Principal 1837 Partners L.P. By: 1837 RMB Managers LLC Its General Partner By: RMB Capital Management, LLC The Advisor Signature: /s/ Richard M. Burridge, Jr. ----------------------------- Name: Richard M. Burridge, Jr. Title: Managing Principal 1837 RMB Managers LLC By: RMB Capital Management, LLC The Advisor Signature: /s/ Richard M. Burridge, Jr. ----------------------------- Name: Richard M. Burridge, Jr. Title: Managing Principal Joint Filing Agreement RMB Capital Management, LLC (an investment adviser registered under the Investment Advisers Act of 1940), 1837 Partners L.P., a Delaware limited partnership, and 1837 RMB Managers L.L.C., a Delaware limited liability company, hereby agree to file jointly the statement on Schedule G to which this Agreement is attached, and any amdendments thereto which may be deemed necessary. It is understood and agreed that each of the parties hereto is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the information concerning such party contained therein, but such party is not responsible for the completeness or accuracy of information concerning the other party unless such party knows or has reason to believe that such information is inaccurate. It is understood and agreed that a copy of this Agreement shall be attached as an exhibit to the statement on Schedule 13G, and any amendments thereto, filed on behalf of each of the parties herto. Dated: June 30, 2006 RMB Capital Management, LLC Signature: /s/ Richard M. Burridge, Jr. ----------------------------- Name: Richard M. Burridge, Jr. Title: Managing Principal 1837 Partners L.P. By: 1837 RMB Managers LLC Its General Partner By: RMB Capital Management, LLC The Advisor Signature: /s/ Richard M. Burridge, Jr. ----------------------------- Name: Richard M. Burridge, Jr. Title: Managing Principal 1837 RMB Managers LLC By: RMB Capital Management, LLC The Advisor Signature: /s/ Richard M. Burridge, Jr. ----------------------------- Name: Richard M. Burridge, Jr. Title: Managing Principal -----END PRIVACY-ENHANCED MESSAGE-----