-----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, QTc8ZgHRVeSU4ZycDpJmc/+c0qNB6b0mL1dh/bh+zZJ+5o5PFwqGoD3/oiNuObPW EVt6mT7iEkXabT00EQn+1A== 0001013594-07-000121.txt : 20070214 0001013594-07-000121.hdr.sgml : 20070214 20070214171438 ACCESSION NUMBER: 0001013594-07-000121 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BASSO CAPITAL MANAGEMENT LP CENTRAL INDEX KEY: 0001287978 IRS NUMBER: 200406508 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 1266 E MAIN ST CITY: STAMFORD STATE: CT ZIP: 06902 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DOBI MEDICAL INTERNATIONAL INC CENTRAL INDEX KEY: 0001111697 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 980222710 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79387 FILM NUMBER: 07622615 BUSINESS ADDRESS: STREET 1: 1200 MACARTHUR BLVD CITY: MAHWAH STATE: NJ ZIP: 07430 BUSINESS PHONE: 2017606464 MAIL ADDRESS: STREET 1: 1200 MACARTHUR BLVD CITY: MAHWAH STATE: NJ ZIP: 07430 FORMER COMPANY: FORMER CONFORMED NAME: LIONS GATE INVESTMENT LTD DATE OF NAME CHANGE: 20000412 SC 13G/A 1 dobi13ga-021407.txt FEBRUARY 14, 2007 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 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.2)* DOBI Medical International, Inc. -------------------------------- (Name of Issuer) Common Stock, par value $.0001 ------------------------------ (Title of Class of Securities) 256058 10 8 ----------- (CUSIP Number) December 31, 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). 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Basso Private Opportunities Holding Fund Ltd. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 5,654,855 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 5,654,855 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,654,855 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.9% 12. TYPE OF REPORTING PERSON* CO *SEE INSTRUCTIONS BEFORE FILLING OUT! 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Basso Multi-Strategy Holding Fund Ltd. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 7,515,520 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 7,515,520 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,515,520 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.2% 12. TYPE OF REPORTING PERSON* CO *SEE INSTRUCTIONS BEFORE FILLING OUT! 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Basso Fund Ltd. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 5,031,365 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 5,031,365 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,031,365 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.1% 12. TYPE OF REPORTING PERSON* CO *SEE INSTRUCTIONS BEFORE FILLING OUT! 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Basso Capital Management, L.P. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 8,185,215 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 8,185,215 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,185,215 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.99% 12. TYPE OF REPORTING PERSON* PN *SEE INSTRUCTIONS BEFORE FILLING OUT! 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Basso GP, LLC 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 8,185,215 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 8,185,215 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,185,215 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.99% 12. TYPE OF REPORTING PERSON* OO *SEE INSTRUCTIONS BEFORE FILLING OUT! 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Howard I. Fischer 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 8,185,215 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 8,185,215 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,185,215 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.99% 12. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Philip Platek 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 8,185,215 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 8,185,215 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,185,215 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.99% 12. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) John Lepore 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 8,185,215 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 8,185,215 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,185,215 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.99% 12. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Dwight Nelson 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 8,185,215 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 8,185,215 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,185,215 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.99% 12. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! This statement is filed pursuant to Rule 13d-2(b) promulgated under the Securities Exchange Act of 1934, as amended, with respect to the shares of common stock (the "Common Stock") of DOBI Medical International, Inc. (the "Issuer") beneficially owned by the Reporting Persons identified in Item 2(a) below as of December 31, 2006, and amends and supplements the Schedule 13G originally filed April 4, 2005, as amended (collectively, the "Schedule 13G"). Except as set forth herein, the Schedule 13G is unmodified. ITEM 2(a). NAME OF PERSON FILING: The names of the persons filing this statement on Schedule 13G are: Basso Private Opportunities Holding Fund Ltd. ("Private Opportunities Holding Fund"), Basso Multi-Strategy Holding Fund Ltd. ("Multi-Strategy Holding Fund"), Basso Fund Ltd. ("Basso Fund"), Basso Capital Management, L.P. ("BCM"), Basso GP, LLC ("Basso GP"), PersonNameHoward Fischer, Philip Platek, John Lepore and Dwight Nelson. BCM is the investment manager of Private Opportunities Holding Fund, Multi-Strategy Holding Fund and Basso Fund. Basso GP is the general partner of BCM. The controlling persons of Basso GP are PersonNameHoward Fischer, Philip Platek, John Lepore and Dwight Nelson (each a "Controlling Person" and collectively, the "Controlling Persons"). ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The principal business address for BCM, Basso GP and each Controlling Person is 1266 East Main Street, 4th Floor, Stamford, Connecticut 06902. The principal business address of each of Private Opportunities Holding Fund, Multi-Strategy Holding Fund and Basso Fund is c/o M&C Corporate Services Limited, PO Box 309GT, Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands, British West Indies. ITEM 2(c). CITIZENSHIP: BCM is a limited partnership formed under the laws of the State of Delaware. Basso GP is a limited liability company formed under the laws of the State of Delaware. Each of Private Opportunities Holding Fund, Multi-Strategy Holding Fund and Basso Fund is an exempted company formed under the laws of the Cayman Islands. Each Controlling Person is a citizen of the United States. 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: Due to the Ownership Limitation described below: (i) Private Opportunities Holding Fund beneficially owns 5,654,855 shares of Common Stock through its ownership of (i) 669,695 shares of Common Stock, and (ii) warrants ("Warrants") and convertible bonds issued by the Issuer ("Convertible Bonds") exercisable for and/or convertible into an aggregate of 4,985,160 shares of Common Stock. (ii) Multi-Strategy Holding Fund beneficially owns 7,515,520 shares of Common Stock through its ownership of (a) 2,484,155 shares of Common Stock, and (b) Warrants and Convertible Bonds exercisable for and/or convertible into an aggregate of 5,031,365 shares of Common Stock. Multi-Strategy Holding Fund disclaims beneficial ownership of any additional shares of Common Stock that the Warrants and/or Convertible Bonds may be exercisable for or convert into, as applicable, due to the Ownership Limitation described below. (iii) Basso Fund beneficially owns 5,031,365 shares of Common Stock through its ownership of Warrants and Convertible Bonds exercisable for and/or convertible into an aggregate of 5,031,365 shares of Common Stock. Basso Fund disclaims beneficial ownership of any additional shares of Common Stock that the Warrants and/or Convertible Bonds may be exercisable for or convert into, as applicable, due to the Ownership Limitation described below. BCM, as the investment manager of Private Opportunities Holding Fund, Multi-Strategy Holding Fund and Basso Fund, is deemed to beneficially own the 8,185,215 shares of Common Stock beneficially owned by them. Basso GP, as the general partner of BCM, is deemed to beneficially own the 8,185,215 shares of Common Stock beneficially owned by BCM. Each Controlling Person, in his capacity as a controlling person of Basso GP, is deemed to beneficially own the 8,185,215 shares of Common Stock beneficially owned by Basso GP. Collectively, the Reporting Persons beneficially own 8,185,215 shares of Common Stock through their ownership of (i) 3,153,850 shares of Common Stock owned by the Reporting Persons, and (ii) Warrants and Convertible Bonds exercisable for and/or convertible into an aggregate of 5,031,365 shares of Common Stock. The Reporting Persons disclaim beneficial ownership of any additional shares of Common Stock that the Warrants and/or Convertible Bonds may be exercisable for or convert into, as applicable, due to the Ownership Limitation described below. In accordance with Rule 13d-4 under the Securities Exchange Act of 1934, as amended, the number of shares of Common Stock into which the Warrants and Convertible Bonds are exercisable for or convertible into, as applicable, is limited, pursuant to the terms of such instruments, to that number of shares of Common Stock which would result in the Reporting Persons having aggregate beneficial ownership of 9.99% of the total issued and outstanding shares of Common Stock (the "Ownership Limitation"). The Reporting Persons disclaim beneficial ownership of any and all shares of Common Stock that would cause the Reporting Persons' aggregate beneficial ownership to exceed the Ownership Limitation. (b) Percent of Class: Private Opportunities Holding Fund's and BCM's beneficial ownership of 5,654,855 shares of Common Stock represents 6.9% of all the outstanding shares of Common Stock. Multi-Strategy Holding Fund's beneficial ownership of 7,515,520 shares of Common Stock represents 9.2% of all the outstanding shares of Common Stock. Basso Fund's beneficial ownership of 5,031,365 shares of Common Stock represents 6.1% of all the outstanding shares of Common Stock. Basso GP's and each Controlling Person's beneficial ownership of 8,185,215 shares of Common Stock represents 9.99% of all the outstanding shares of Common Stock. Collectively, the Reporting Persons beneficially own 8,185,215 shares of Common Stock representing 9.99% of all the outstanding shares of Common Stock. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote Not applicable. (ii) Shared power to vote or to direct the vote of shares of Common Stock: Private Opportunities Holding Fund, BCM, Basso GP and each Controlling Person have the shared power to vote or direct the vote of 5,654,855 shares of Common Stock. Multi-Strategy Holding Fund, BCM, Basso GP and each Controlling Person have the shared power to vote or direct the vote of 7,515,520 shares of Common Stock. Basso Fund, BCM, Basso GP and each Controlling Person have the shared power to vote or direct the vote of 5,031,365 shares of Common Stock. (iii) Sole power to dispose or to direct the disposition of shares of Common Stock: Not applicable. (iv) Shared power to dispose or to direct the disposition of shares of Common Stock: Private Opportunities Holding Fund, BCM, Basso GP and each Controlling Person have the shared power to dispose or to direct the disposition of 5,654,855 shares of Common Stock. Multi-Strategy Holding Fund, BCM, Basso GP and each Controlling Person have the shared power to dispose or to direct the disposition of 7,515,520 shares of Common Stock. Basso Fund, BCM, Basso GP and each Controlling Person have the shared power to dispose or to direct the disposition of 5,031,365 shares of Common Stock. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. See Exhibit B. ITEM 10. CERTIFICATION. By signing below the undersigned certifies that, to the best of its or his 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 its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete, and correct. Dated: February 14, 2007 BASSO PRIVATE OPPORTUNITIES HOLDING FUND LTD. BASSO MULTI-STRATEGY HOLDING FUND LTD. BASSO FUND LTD. BASSO CAPITAL MANAGEMENT, L.P. ("BCM") By: Basso GP, LLC By: /s/ Howard Fischer ----------------------------------- Howard Fischer, as a member of Basso GP, LLC, as General Partner of BCM (the investment manager of Basso Private Opportunities Holding Fund Ltd., Basso Multi-Strategy Holding Fund Ltd. and Basso Fund Ltd.) /s/ Howard Fischer ----------------------------------- Howard Fischer, individually and on behalf of Basso GP, LLC, as member /s/ Philip Platek ----------------------------------- Philip Platek /s/ John Lepore ----------------------------------- John Lepore /s/ Dwight Nelson ----------------------------------- Dwight Nelson EXHIBIT A JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the Common Stock of DOBI Medical Investments, Inc. dated as of February 14, 2007, as amended, is, and any further amendments thereto signed by each of the undersigned shall be, filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. Dated: February 14, 2007 BASSO PRIVATE OPPORTUNITIES HOLDING FUND LTD. BASSO MULTI-STRATEGY HOLDING FUND LTD. BASSO FUND LTD. BASSO CAPITAL MANAGEMENT, L.P. ("BCM") By: Basso GP, LLC By: /s/ Howard Fischer ----------------------------------- Howard Fischer, as a member of Basso GP, LLC, as General Partner of BCM (the investment manager of Basso Private Opportunities Holding Fund Ltd., Basso Multi-Strategy Holding Fund Ltd. and Basso Fund Ltd.) /s/ Howard Fischer ----------------------------------- Howard Fischer, individually and on behalf of Basso GP, LLC, as member /s/ Philip Platek ----------------------------------- Philip Platek /s/ John Lepore ----------------------------------- John Lepore /s/ Dwight Nelson ----------------------------------- Dwight Nelson EXHIBIT B Basso Private Opportunities Holding Fund Ltd. Basso Multi-Strategy Holding Fund Ltd. Basso Fund Ltd. Basso Capital Management, L.P. Basso GP, LLC Howard Fischer Philip Platek John Lepore Dwight Nelson -----END PRIVACY-ENHANCED MESSAGE-----