-----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, KQljooSXLS52XFDTuCYBCHvM2WbFHnccBhje/ohghZ3cy2N1BchGG3ENiKnTJ2QE I8przK3nD5VoPGtDk+mOxg== 0001104659-06-066368.txt : 20061013 0001104659-06-066368.hdr.sgml : 20061013 20061012175326 ACCESSION NUMBER: 0001104659-06-066368 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20061013 DATE AS OF CHANGE: 20061012 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALCHEMY ENTERPRISES, LTD. CENTRAL INDEX KEY: 0001301206 STANDARD INDUSTRIAL CLASSIFICATION: CHEMICALS & ALLIED PRODUCTS [2800] IRS NUMBER: 680515422 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-82098 FILM NUMBER: 061142895 BUSINESS ADDRESS: STREET 1: 2940 N. 67TH PLACE STREET 2: SUITE #5 CITY: SCOTTSDALE STATE: AZ ZIP: 85251 BUSINESS PHONE: (480) 789-0301 MAIL ADDRESS: STREET 1: 2940 N. 67TH PLACE STREET 2: SUITE #5 CITY: SCOTTSDALE STATE: AZ ZIP: 85251 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: California Institute of Technology CENTRAL INDEX KEY: 0001377486 IRS NUMBER: 951643307 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 1200 E. CALIFORNIA BLVD STREET 2: MC 2-42 CITY: PASADENA STATE: CA ZIP: 91125 BUSINESS PHONE: 626-395-2141 MAIL ADDRESS: STREET 1: 1200 E. CALIFORNIA BLVD STREET 2: MC 2-42 CITY: PASADENA STATE: CA ZIP: 91125 SC 13D 1 a06-21101_1sc13d.htm BENEFICIAL OWNERSHIP OF 5% OR MORE

 

 

UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE
COMMISSION

OMB Number:
3235-0145

 

Washington, D.C. 20549

Expires: February 28, 2009

 

SCHEDULE 13D

Estimated average burden hours per response. . 14.5

Under the Securities Exchange Act of 1934
(Amendment No.     )*

Alchemy Enterprises, Ltd.

(Name of Issuer)

 

Common Stock, $.001 par value

(Title of Class of Securities)

 

01374J203

(CUSIP Number)

 

California Institute of Technology

Attn:

Sandra A. Ell

551 S. Wilson Avenue, MC 2-42

 

Treasurer & Chief Investment Officer

Pasadena, CA 91125

 

(626) 395-2141

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

June 12, 2006

(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 §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 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).

 

1




 

CUSIP No.   01374J203

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
California Institute of Technology

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
California

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
5,869,565

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
5,869,565

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,869,565

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
7.5%

 

 

14.

Type of Reporting Person (See Instructions)
CO

 

2




 

Item 1.

Security and Issuer

The securities to which this statement on Schedule 13D relates are shares of Common Stock, par value $.001 per share (the “Shares”) of Alchemy Enterprises, Ltd., a Nevada corporation (the “Issuer”), with principal executive offices at 2940 N. 67th Place, Scottsdale, Arizona.

 

 

Item 2.

Identity and Background

This statement is being filed by California Institute of Technology (“Caltech”), a California not-for-profit corporation, the purpose of which is to expand human knowledge and benefit society through research integrated with education.  The principal business address of Caltech is 1200 East California Boulevard, Pasadena, California 91125.

The name, business address, present principal occupation or employment and citizenship of each executive officer and voting trustee of Caltech is set forth in Schedule A attached hereto and incorporated by reference herein.

During the last five years, neither Caltech, nor to the knowledge of Caltech, any of the persons listed on Schedule A hereto, has been (i) convicted in a criminal proceeding (excluding traffic violations and similar misdemeanors), or (ii) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and, as a result of such proceeding, was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

 

 

Item 3.

Source and Amount of Funds or Other Consideration

On June 12, 2006 Caltech acquired 5,869,565 Shares in consideration for the license to Issuer of certain power cell technology developed at Caltech pursuant to a License Agreement dated June 12, 2006 between Caltech and Issuer (the “License Agreement”).  No cash consideration was paid by Caltech.

 

 

Item 4.

Purpose of Transaction

The 5,869,565 Shares acquired by Caltech were issued by Issuer as consideration for the license of certain technology by Caltech to the Issuer pursuant to the terms of the License Agreement.

Other Plans and Proposals

Except as described above or otherwise described in this Schedule 13D, Caltech does not have any present plans or intentions that relate to or would result in any of the matters described in subsections (a)-(j) of Item 4 of Schedule 13D that are separate from the Issuer or have not been publicly disclosed by the Issuer in its filings with the Securities and Exchange Commission or in the Issuer’s press releases.

 

 

Item 5.

Interest in Securities of the Issuer

(a)           As of June 30, 2006, Caltech beneficially owned 5,869,565 Shares representing approximately 7.5% of the outstanding common stock of the Issuer.  The percentage of beneficial ownership has been determined based on the 78,499,986 Shares outstanding as of June 30, 2006, as reported in the Issuer's Form 10-QSB for the period ending June 30, 2006.

 

(b)           Caltech has the sole power to vote or direct the vote with respect to 5,869,565 Shares.  Neither Caltech nor, to the knowledge of Caltech, the persons listed on Schedule A hereto beneficially own any Shares other than as set forth herein. 

 

(c)           Except as described herein, no transactions in the securities of the Issuer were effected by Caltech or, to its knowledge, by any of the persons listed on Schedule A hereto, during the past 60 days.

 

(d)           Not applicable.

 

(e)           Not applicable.

 

 

Item 6.

Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

The information set forth in Item 3 to this Schedule 13D is hereby incorporated by reference in its entirety.

 

 

Item 7.

Material to Be Filed as Exhibits

None.

 

3




 

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.

 

October 10, 2006

 

Date

 


/s/ Sandra A. Ell

 

Signature

 


Treasurer and Chief Investment Officer

 

Name/Title

4




SCHEDULE A

The name, title, present principal occupation and citizenship of each director and executive officer of Caltech is set forth below.  The principal business address of each director and executive officer of Caltech is 1200 East California Boulevard, Pasadena, California 91125.

 

Trustees

 

 

 

 

 

Name:

Honorable George L. Argyros

 

Title:

Trustee

 

Principal

Chairman & CEO, Arnel &

 

  Occupation:

Affiliates

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Paul A. Brest

 

Title:

Trustee

 

Principal

President, The William and

 

  Occupation:

Flora Hewlett Foundation

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Jean-Lou A. Chameau

 

Title:

Trustee

 

Principal

President, California Institute

 

  Occupation:

of Technology

 

Citizenship:

USA

 

 

 

 

Name:

Dr. William H. Davidow

 

Title:

Trustee

 

Principal

Founding Partner, Mohr

 

  Occupation:

Davidow Ventures

 

Citizenship:

USA

 

 

 

 

Name:

Lounette M. Dyer, Ph.D.

 

Title:

Trustee

 

Principal

 

 

  Occupation:

Entrepreneur

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Gordon M. Binder

 

Title:

Trustee

 

Principal

Managing Director, Coastview

 

  Occupation:

Capital

 

Citizenship:

USA

 

 

 

 

Name:

Mr. John E. Bryson

 

Title:

Trustee

 

Principal

Chairman & Chief Executive

 

  Occupation:

Officer, Edison International

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Milton M. Chang

 

Title:

Trustee

 

Principal

Managing Director, Incubic

 

  Occupation:

Venture Capital

 

Citizenship:

USA

 

 

 

 

Name:

Dr. John D. Diekman

 

Title:

Trustee

 

Principal

Founder & Managing Partner,

 

  Occupation:

5AM Ventures

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Arthur L. Goldstein

 

Title:

Trustee

 

Principal

Chairman & CEO (retired),

 

  Occupation:

Ionics, Incorporated

 

Citizenship:

USA

 

 

5




 

Name:

Mr. William T. Gross

 

Title:

Trustee

 

Principal

 

 

  Occupation:

Chairman and Founder, Idealab

 

Citizenship:

USA

 

 

 

 

Name:

Dr. David D. Ho

 

Title:

Trustee

 

Principal

Director, The Aaron Diamond

 

  Occupation:

AIDS Research Center

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Jon Faiz Kayyem

 

Title:

Trustee

 

Principal

Managing Partner,

 

  Occupation:

Efficacy Capital Ltd.

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Kent Kresa

 

Title:

Trustee

 

Principal

Chairman Emeritus, Northrop

 

  Occupation:

Grumman Corporation

 

Citizenship:

USA

 

 

 

 

Name:

Dr. David Li Lee

 

Title:

Trustee

 

Principal

Managing General Partner,

 

  Occupation:

Clarity Partners, L.P.

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Alexander Lidow

 

Title:

Trustee

 

Principal

Chief Executive Officer,

 

  Occupation:

International Rectifier

 

 

Corporation

 

Citizenship:

USA

 

 

 

 

Name:

Mr. A. Michael Lipper

 

Title:

Trustee

 

Principal

President and Chief Executive

 

  Occupation:

Officer, Lipper Advisory

 

 

Services

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Frederick J. Hameetman

 

Title:

Trustee

 

Principal

 

 

  Occupation:

Chairman, American Group

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Robert T. Jenkins

 

Title:

Trustee

 

Principal

 

 

  Occupation:

(Retired)

 

Citizenship:

USA

 

 

 

 

Name:

Ms. Louise Kirkbride

 

Title:

Trustee

 

Principal

Board Member, State of

 

  Occupation:

California Contractors State

 

 

License Board

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Jon B. Kutler

 

Title:

Trustee

 

Principal

Chairman and Chief Executive

 

  Occupation:

Officer, Admiralty Partners, Inc.

 

Citizenship:

USA

 

 

 

 

Name:

Dr. York Liao

 

Title:

Trustee

 

Principal

Managing Director, Winbridge

 

  Occupation:

Company Ltd.

 

Citizenship:

Hong Kong

 

 

 

 

Name:

Dr. Ronald K. Linde

 

Title:

Trustee

 

Principal

Independent Investor and

 

  Occupation:

Chairman of the Board, The

 

 

Ronald and Maxine Linde

 

 

Foundation

 

Citizenship:

USA

 

 

 

 

Name:

Mr. John W. Mack

 

Title:

Trustee

 

Principal

President, Los Angeles Police

 

  Occupation:

Commission

 

Citizenship:

USA

 

 

6




 

Name:

Dr. Shirley M. Malcom

 

Title:

Trustee

 

Principal

Director, Education and Human

 

  Occupation:

Resources Programs American

 

 

Association for the

 

 

Advancement of Science

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Philip M. Neches

 

Title:

Trustee

 

Principal

Chairman, Foundation

 

  Occupation:

Ventures LLC

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Peter Norton

 

Title:

Trustee

 

Principal

President, Norton Family

 

  Occupation:

Office

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Stephen R. Onderdonk

 

Title:

Trustee

 

Principal

President & CEO (Retired),

 

  Occupation:

Econolite Control Products,

 

 

Inc.

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Sally Kristen Ride

 

Title:

Trustee

 

Principal

President, Imaginary Lines,

 

  Occupation:

Inc., and Ingrid and Joseph

 

 

Hibben Professor of Physics

 

 

University of California,

 

 

San Diego

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Stephen A. Ross

 

Title:

Trustee

 

Principal

Franco Modigliani Professor of

 

  Occupation:

Finance and Economics,

 

 

Massachusetts Institute of

 

 

Technology

 

 

Chairman, Compensation

 

 

Valuation, Inc.

 

Citizenship:

USA

 

 

 

 

Name:

Clara Spalter Miller

 

Title:

Trustee

 

Principal

Principal, Regulus International

 

  Occupation:

Capital Corporation

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Patrick H. Nettles, Jr.

 

Title:

Trustee

 

Principal

Executive Chairman,

 

  Occupation:

Ciena Corporation

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Ronald L. Olson

 

Title:

Trustee

 

Principal

Senior Partner, Munger,

 

  Occupation:

Tolles & Olson

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Stewart A. Resnick

 

Title:

Trustee

 

Principal

Chairman, Roll International

 

  Occupation:

Corporation

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Nelson C. Rising

 

Title:

Trustee

 

Principal

Chairman and Chief Executive

 

  Occupation:

Officer, Rising Realty Partners

 

Citizenship:

USA

 

 

 

 

Name:

Mr. James F. Rothenberg

 

Title:

Trustee

 

Principal

President, Capital Research

 

  Occupation:

and Management Company

 

Citizenship:

USA

 

 

7




 

Name:

Mr. Marc I. Stern

 

Title:

Trustee

 

Principal

Vice Chairman, The TCW

 

  Occupation:

Group, Inc.

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Charles R. Trimble

 

Title:

Trustee

 

Principal

 

 

  Occupation:

Arbor Vita Corporation

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Walter L. Weisman

 

Title:

Trustee

 

Principal

 

 

  Occupation:

Non-profit Consultant

 

Citizenship:

USA

 

 

 

 

Name:

Mrs. Gayle E. Wilson

 

Title:

Trustee

 

Principal

 

 

  Occupation:

Non-profit Consultant

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Victor K. Atkins

 

Title:

Senior Trustee

 

Principal

 

 

  Occupation:

Atkins Company

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Eli Broad

 

Title:

Senior Trustee

 

Principal

Founder,

 

  Occupation:

The Broad Foundations

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Walter Burke

 

Title:

Senior Trustee

 

Principal

Treasurer, Sherman Fairchild

 

  Occupation:

Foundation, Inc.

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Donald W. Tang

 

Title:

Trustee

 

Principal

Vice Chairman, Bear Stearns

 

  Occupation:

and Company, Inc.

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Lewis W. van Amerongen

 

Title:

Trustee

 

Principal

 

 

  Occupation:

LvA Enterprises Incorporated

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Virginia V. Weldon

 

Title:

Trustee

 

Principal

Sr. Vice President for Public

 

  Occupation:

Policy (Retired), Monsanto

 

 

Company

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Suzanne H. Woolsey

 

Title:

Trustee

 

Principal

Corporate Governance

 

  Occupation:

Consultant

 

Citizenship:

USA

 

 

 

 

Name:

Ms. G. Patricia Beckman

 

Title:

Senior Trustee

 

Principal

 

 

  Occupation:

Community Leader

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Harold Brown

 

Title:

Senior Trustee

 

Principal

Counselor, Center for

 

  Occupation:

Strategic and International

 

 

Studies (CSIS)

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Harry M. Conger

 

Title:

Senior Trustee

 

Principal

Chairman & Chief Executive

 

  Occupation:

Officer, Emeritus

 

 

Homestake Mining Company

 

Citizenship:

USA

 

 

8




 

Name:

Mr. Richard P. Cooley

 

Title:

Senior Trustee

 

Principal

Retired Chairman,

 

  Occupation:

Seafirst Bank

 

Citizenship:

USA

 

 

 

 

Name:

Mrs. Camilla C. Frost

 

Title:

Senior Trustee

 

Principal

Trustee, Chandler Trust and

 

  Occupation:

Director and Secretary

 

 

Treasurer, Chandis

 

 

Securities Company

 

Citizenship:

USA

 

 

 

 

Name:

Admiral Bobby R. Inman

 

Title:

Senior Trustee

 

Principal

Professor, Lyndon B. Johnson

 

  Occupation:

Centennial Chair in National

 

 

Policy, LBJ School of Public

 

 

Affairs, The University of

 

 

Texas at Austin

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Sidney R. Petersen

 

Title:

Senior Trustee

 

Principal

Chairman and CEO (Retired)

 

  Occupation:

Getty Oil Company

 

Citizenship:

USA

 

 

 

 

Name:

Mr. Richard M. Rosenberg

 

Title:

Senior Trustee

 

Principal

Chairman & CEO (Retired)

 

  Occupation:

Bank of America Corporation

 

Citizenship:

USA

 

 

 

 

Name:

Dr. Thomas E. Everhart

 

 

Title:

Senior Trustee

 

 

Principal

President Emeritus,

 

 

  Occupation:

California Institute of

 

 

 

Technology

 

 

Citizenship:

USA

 

 

 

 

 

 

Name:

Honorable Shirley M.

 

 

 

Hufstedler

 

 

Title:

Senior Trustee

 

 

Principal

Senior of Counsel,

 

 

  Occupation:

Morrison & Foerster

 

 

Citizenship:

USA

 

 

 

 

 

 

Name:

Dr. Gordon E. Moore

 

 

Title:

Senior Trustee

 

 

Principal

Chairman Emeritus,

 

 

  Occupation:

Intel Corporation

 

 

Citizenship:

USA

 

 

 

 

 

 

Name:

Mr. Stanley R. Rawn, Jr.

 

 

Title:

Senior Trustee

 

 

Principal

 

 

 

  Occupation:

Private Investor

 

 

Citizenship:

USA

 

 

 

 

 

Executive Officers

 

 

 

 

Name:

Kent Kresa

 

Title:

Chairman of the Board of

 

 

Trustees

 

Citizenship:

USA

 

 

 

 

Name:

Jean-Lou Chameau

 

Title:

President

 

Citizenship:

USA

 

 

 

 

 

Name:

Walter L. Weisman

 

 

Title:

Vice Chairman of the Board of

 

 

 

Trustees

 

 

Citizenship:

USA

 

 

 

 

 

 

Name:

Paul Jennings

 

 

Title:

Provost

 

 

Citizenship:

USA

 

 

 

9




 

 

Name:

Dean W. Currie

 

Title:

Vice President for Business and

 

 

Finance

 

Citizenship:

USA

 

 

 

 

Name:

Robert L. O’Rourke

 

Title:

Vice President for Public

 

 

Relations

 

Citizenship:

USA

 

 

 

 

Name:

Charles Elachi

 

Title:

Vice President and Director,

 

 

Jet Propulsion Laboratory

 

Citizenship:

USA

 

 

 

 

Name:

Sharon E. Patterson

 

Title:

Associate Vice President

 

 

and Controller

 

Citizenship:

USA

 

 

 

 

Name:

Mary L. Webster

 

Title:

Secretary of the Board of

 

 

Trustees

 

Citizenship:

USA

 

 

 

 

Name:

Gary Dicovitsky

 

Title:

Vice President for Development

 

 

and Alumni Relations

 

Citizenship:

USA

 

 

 

 

Name:

Margo Post Marshall Marshak

 

Title:

Vice President for Student

 

 

Affairs

 

Citizenship:

USA

 

 

 

 

Name:

Harry M. Yohalem

 

Title:

General Counsel

 

Citizenship:

USA

 

 

 

 

Name:

Sandra A. Ell

 

Title:

Treasurer and Chief Investment

 

 

Officer

 

Citizenship:

USA

 

 

10



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