-----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, S/w5TmFgJlIW4rSrldvCsJXGnwmFsG0P7U0hfK0pCsnN6iz8a+Z8i7J8AZ2eP5EC r4aGmq8JIb1TihXFzK7UqQ== 0001332596-09-000007.txt : 20091229 0001332596-09-000007.hdr.sgml : 20091229 20091229161500 ACCESSION NUMBER: 0001332596-09-000007 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20091229 DATE AS OF CHANGE: 20091229 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Daly Joseph Patrick CENTRAL INDEX KEY: 0001332596 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: 497 CIRCLE FREEWAY CITY: CINCINNATI STATE: OH ZIP: 45246 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MICROFLUIDICS INTERNATIONAL CORP CENTRAL INDEX KEY: 0000723889 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY APPARATUS & FURNITURE [3821] IRS NUMBER: 042793022 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-35850 FILM NUMBER: 091264145 BUSINESS ADDRESS: STREET 1: 30 OSSIPEE RD STREET 2: P.O. BOX 9101 CITY: NEWTON STATE: MA ZIP: 02464 BUSINESS PHONE: 6179695452 MAIL ADDRESS: STREET 1: 30 OSSIPEE ROAD STREET 2: P.O. BOX 9101 CITY: NEWTON STATE: MA ZIP: 02464 FORMER COMPANY: FORMER CONFORMED NAME: MFIC CORP DATE OF NAME CHANGE: 20010418 FORMER COMPANY: FORMER CONFORMED NAME: MICROFLUIDICS INTERNATIONAL CORP DATE OF NAME CHANGE: 19930713 SC 13D/A 1 sched13dav.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 MFIC Corp. --------------------------------------------- (Name of Issuer) Common Stock, no par value --------------------------------------------- (Title of Class of Securities) 595073107 --------------------------------------------- (CUSIP Number) Joseph P. Daly 497 Circle Freeway Cincinnati, Ohio 45246 (513) 943-7100 ------------------------------------------------------------------------ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 28, 2009 ------------------------------------------------------------------------ (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 Sections 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 Section 240.13d-7 for other parties to whom copies are to be sent. 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. 595073107 13D/A ----------- - ----------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS Joseph P Daly I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) - ----------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ----------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) PF - ----------------------------------------------------------------------------------------------------------- 5 CHECK BOX 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 SHARES 7 SOLE VOTING POWER BENEFICIALLY 712,427 ------------------------------------------------------------------------------ OWNED BY 8 SHARED VOTING POWER EACH REPORTING -0- ------------------------------------------------------------------------------ PERSON WITH 9 SOLE DISPOSITIVE POWER 712,427 ------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER -0- ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 712,427 - ----------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ----------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.86% - ----------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - -----------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------- CUSIP No. 595073107 13D/A ----------- - ----------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS Karina Daly I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) - ----------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ----------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) PF - ----------------------------------------------------------------------------------------------------------- 5 CHECK BOX 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 SHARES 7 SOLE VOTING POWER BENEFICIALLY 57,000 ------------------------------------------------------------------------------ OWNED BY 8 SHARED VOTING POWER EACH REPORTING -0- ------------------------------------------------------------------------------ PERSON WITH 9 SOLE DISPOSITIVE POWER 57,000 ------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER -0- ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 57,000 - ----------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ----------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.55% - ----------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - -----------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------- CUSIP No. 595073107 13D/A ----------- - ----------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS EssigPR Inc. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) - ----------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ----------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) WC - ----------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [ ] - ----------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Mayaguez, PR, USA - ----------------------------------------------------------------------------------------------------------- NUMBER OF SHARES 7 SOLE VOTING POWER BENEFICIALLY 338,150 ------------------------------------------------------------------------------ OWNED BY 8 SHARED VOTING POWER EACH REPORTING -0- ------------------------------------------------------------------------------ PERSON WITH 9 SOLE DISPOSITIVE POWER 338,150 ------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER -0- ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 338,150 - ----------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ----------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.25% - ----------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - -----------------------------------------------------------------------------------------------------------
ITEM 1. SECURITY AND ISSUER. The class of equity security to which this statement relates is the common stock (the "Common Stock"), no par value per share ("Share"), of Microfluidics International Corporation, a Delaware corporation (the "Issuer"). The address of the principal executive offices of the Issuer is 30 Ossipee Road, PO Box 9101,Newton, MA 02464. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. Item 3 is hereby amended to read as follows: The source of funds used by the Reporting Persons are personal funds of each such person with respect to the purchases of such person, except the source of funds used for the purchases by EssigPR, Inc were from working captial. The Reporting Persons did not borrow any funds to acquire their respective shares. The following table shows the APPROXIMATE amounts of funds paid for the Shares by the Reporting Persons. Joseph P Daly $925,797 Karina Daly 59,358 EssigPR, Inc. 314,225
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Item 5 is hereby amended to read as follows: (a) The Reporting Persons hereby report beneficial ownership, in the manner hereinafter described, of 1,107,577 shares of the Issuer:
Percentage of Number Of Outstanding Shares Held in the Name of Shares Security (1) Joseph P Daly 712,427 6.86% Karina Daly 57,000 0.55% EssigPR Inc. 338,150(2) 3.25% ------------ ------- TOTAL 1,107,577 10.66%
(1) The foregoing percentages assume that the number of Shares of the Issuer outstanding, based on the number reported in the Issuer's 10-Q for the quarter ended September 30, 2009 is 10,387,282 Shares (as of November 12, 2009). (2) Shares are held by EssigPR,Inc., a C corporation controlled by Joseph P. Daly (b) Joseph P. Daly has sole voting and dispositive power over his shares enumerated in paragraph (a). Karina Daly has sole voting and dispositive power over her shares enumerated in paragraph (a). EssigPR, Inc. has shared voting and dispositive power over its shares enumerated in paragraph (a). (c) Transactions for the 60 days prior to the date of this Schedule 13D/A:
Person Who Effected the Transaction Transaction Date Number of Shares Purchased Price per Share Joseph P. Daly 11/02/2009 1525 0.75 Joseph P. Daly 11/10/2009 775 1.03 Joseph P. Daly 11/20/2009 150 0.92 Joseph P. Daly 11/25/2009 2000 0.90 Joseph P. Daly 12/01/2009 450 0.89 Joseph P. Daly 12/09/2009 1000 0.90 Joseph P. Daly 12/10/2009 327 0.93 EssigPR 12/24/2009 29000 0.90 EssigPR 12/24/2009 2500 0.89 EssigPR 12/24/2009 4850 0.85 EssigPR 12/28/2009 10000 0.90 EssigPR 12/28/2009 6500 0.85 EssigPR 12/29/2009 15000 0.90 Karina Daly 11/02/2009 175 0.75 Karina Daly 11/10/2009 825 1.03 Karina Daly 11/24/2009 100 0.83 Karina Daly 12/09/2009 900 0.95
All transactions were effectuated through open-market purchases. (d) RIGHT TO RECEIVE OR POWER TO DIRECT: Not applicable. (e) DATE REPORTING PERSON CEASED TO BE 5% OWNER: Not applicable. SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: December 29, 2009 /s/ Joseph P Daly ------------------------ Print Name: Joseph P Daly /s/ Karina Daly ------------------------ Print Name: Karina Daly EssigPR, Inc. By: /s/ Joseph P Daly ------------------------ Print Name: Joseph P Daly -----END PRIVACY-ENHANCED MESSAGE-----