-----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, K4Agi67TljAAR1SOCQZuFxqijQ5Sp/bbyFituhF4wR+kzesr7tPOyViSriI1ac2R QkzjDdZzRb6ztMfRS6aNDw== 0001193125-07-031681.txt : 20070214 0001193125-07-031681.hdr.sgml : 20070214 20070214153650 ACCESSION NUMBER: 0001193125-07-031681 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 GROUP MEMBERS: JACOB GOTTLIEB GROUP MEMBERS: VISIUM ASSET MANAGEMENT, LLC GROUP MEMBERS: VISIUM BALANCED OFFSHORE FUND, LTD. GROUP MEMBERS: VISIUM CAPITAL MANAGEMENT, LLC GROUP MEMBERS: VISIUM LONG BIAS FUND, LP GROUP MEMBERS: VISIUM LONG BIAS OFFSHORE FUND, LTD. FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Visium Balanced Fund LP CENTRAL INDEX KEY: 0001345030 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 650 MADISON AVE 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 MAIL ADDRESS: STREET 1: 650 MADISON AVE 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHFIELD LABORATORIES INC /DE/ CENTRAL INDEX KEY: 0000920947 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 363378733 STATE OF INCORPORATION: DE FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44875 FILM NUMBER: 07619687 BUSINESS ADDRESS: STREET 1: 1560 SHERMAN AVE STREET 2: SUITE 1000 CITY: EVANSTON STATE: IL ZIP: 60201-4800 BUSINESS PHONE: 8478643500 MAIL ADDRESS: STREET 1: 1560 SHERMAN AVE STE 1000 STREET 2: 37TH FLOOR CITY: EVANSTON STATE: IL ZIP: 60201-4800 SC 13G/A 1 dsc13ga.htm SCHEDULE 13G AMENDMENT NO. 1 Schedule 13G Amendment No. 1

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G/A

 

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

NORTHFIELD LABORATORIES, INC.


(Name of Issuer)

COMMON STOCK, PAR VALUE $0.01 PER SHARE


(Title of Class of Securities)

 

 

666135108

                                (CUSIP Number)                                

January 31, 2007


(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. 666135108     Page 2 of 16 Pages

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only)

   
                Visium Balanced Fund, LP    
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*  
  (a)  ¨  
    (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
 
                  None
    6    SHARED VOTING POWER
 
                  690,796 (See Item 4)
    7    SOLE DISPOSITIVE POWER
 
                  None
    8    SHARED DISPOSITIVE POWER
 
                  690,796 (See Item 4)
  9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                690,796 (See Item 4)    
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   ¨
                Not Applicable    
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)  
                2.58%    
12   TYPE OF REPORTING PERSON*  
                OO    

 

* SEE INSTRUCTIONS BEFORE FILLING OUT.

 

Page 2 of 16 Pages


CUSIP No. 666135108     Page 3 of 16 Pages

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only)

   
                Visium Long Bias Fund, LP    
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*  
  (a)  ¨  
    (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
 
                  None
    6    SHARED VOTING POWER
 
                  160,669 (See Item 4)
    7    SOLE DISPOSITIVE POWER
 
                  None
    8    SHARED DISPOSITIVE POWER
 
                  160,669 (See Item 4)
  9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                160,669 (See Item 4)    
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   ¨
                Not Applicable    
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)  
                .60%    
12   TYPE OF REPORTING PERSON*  
                OO    

 

* SEE INSTRUCTIONS BEFORE FILLING OUT.

 

Page 3 of 16 Pages


CUSIP No. 666135108     Page 4 of 16

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only)

   
                Visium Balanced Offshore Fund, Ltd.    
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*  
  (a)  ¨  
    (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
 
                  None
    6    SHARED VOTING POWER
 
                  1,187,493 (See Item 4)
    7    SOLE DISPOSITIVE POWER
 
                  None
    8    SHARED DISPOSITIVE POWER
 
                  1,187,493 (See Item 4)
  9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                1,187,493 (See Item 4)    
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   ¨
                Not Applicable    
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)  
                4.43%    
12   TYPE OF REPORTING PERSON*  
                CO    

 

* SEE INSTRUCTIONS BEFORE FILLING OUT.

 

Page 4 of 16


CUSIP No. 666135108     Page 5 of 16 Pages

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only)

   
                Visium Long Bias Offshore Fund, Ltd.    
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*  
  (a)  ¨  
    (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
 
                  None
    6    SHARED VOTING POWER
 
                  1,314,200 (See Item 4)
    7    SOLE DISPOSITIVE POWER
 
                  None
    8    SHARED DISPOSITIVE POWER
 
                  1,314,200 (See Item 4)
  9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                1,314,200 (See Item 4)    
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   ¨
                Not Applicable    
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)  
                 4.90%    
12   TYPE OF REPORTING PERSON*  
                CO    

 

* SEE INSTRUCTIONS BEFORE FILLING OUT.

 

Page 5 of 16 Pages


CUSIP No. 666135108     Page 6 of 16 Pages

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

   
                Visium Capital Management, LLC    
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*  
  (a)  ¨  
    (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
 
                  None
    6    SHARED VOTING POWER
 
                  851,465 (See Item 4)
    7    SOLE DISPOSITIVE POWER
 
                  None
    8    SHARED DISPOSITIVE POWER
 
                  851,465 (See Item 4)
  9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                851,465 (See Item 4)    
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   ¨
                Not Applicable    
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)  
                3.18%    
12   TYPE OF REPORTING PERSON*  
                OO    

 

Page 6 of 16 Pages


CUSIP No. 666135108     Page 7 of 16 Pages

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only)

   
                Visium Asset Management, LLC    
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*  
  (a)  ¨  
    (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
 
                  2,575,836 (See Item 4)
    6    SHARED VOTING POWER
 
                  None
    7    SOLE DISPOSITIVE POWER
 
                   2,575,836 (See Item 4)
    8    SHARED DISPOSITIVE POWER
 
                  None
  9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                2,575,836 (See Item 4)    
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   ¨
                Not Applicable    
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)  
                9.62%    
12   TYPE OF REPORTING PERSON*  
                OO    

 

* SEE INSTRUCTIONS BEFORE FILLING OUT.

 

Page 7 of 16 Pages


CUSIP No. 666135108     Page 8 of 16 Pages

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only)

   
                Jacob Gottlieb    
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*  
  (a)  ¨  
    (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
 
                   2,575,836 (See Item 4)
    6    SHARED VOTING POWER
 
                  None (See Item 4)
    7    SOLE DISPOSITIVE POWER
 
                  2,575,836 (See Item 4)
    8    SHARED DISPOSITIVE POWER
 
                  None (See Item 4)
  9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                2,575,836 (See Item 4)    
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   ¨
                Not Applicable    
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)  
                9.62%    
12   TYPE OF REPORTING PERSON*  
                IN    

 

* SEE INSTRUCTIONS BEFORE FILLING OUT.

 

Page 8 of 16 Pages


CUSIP No. 666135108     Page 9 of 16 Pages

 

Item 1  

(a)

   Name of Issuer:      
     Northfield Laboratories, Inc. (the “Company”)      
 

(b)

   Address of Issuer’s Principal Executive Offices:      
    

1560 Sherman Avenue; Suite 1000

Evanston, IL 60201

     
Item 2  

(a) - (c)

   This statement is filed on behalf of the following:      
     (1) Visium Balanced Fund, LP, a Delaware limited partnership (“VBF”), with its principal business office at c/o Visum Asset Management, LLC, 950 Third Avenue, New York, NY 10022.      
     (6) Visium Long Bias Fund, LP, a Delaware limited partnership (“VLBF”), with its principal business office at c/o Visum Asset Management, LLC, 950 Third Avenue, New York, NY 10022.      
     (7) Visium Balanced Fund Offshore, Ltd., a Cayman Islands corporation (“VBFO”), with its principal business office at c/o Morgan Stanley Fund Services (Cayman) Limited, P.O. Box 2681GT, Century yard, 4th Floor, Cricket Square, Hutchins Drive, Grand Cayman, Cayman Islands, British West Indies.      
     (8) Visium Long Bias Fund Offshore, Ltd., a Cayman Islands corporation (“VLBFO”), with its principal business office at c/o Morgan Stanley Fund Services (Cayman) Limited, P.O. Box 2681GT, Century yard, 4th Floor, Cricket Square, Hutchins Drive, Grand Cayman, Cayman Islands, British West Indies.      
     (9) Visium Asset Management, LLC, a Delaware limited liability company (“VAM”), with its principal business office at Visum Asset Management, LLC, 950 Third Avenue, New York, NY 10022. VAM is the investment advisor to each of VBF, VLBF, VBFO and VLBFO.      
     (10) Visium Capital Management, LLC, a Delaware limited liability company (“VCM”), with its principal business office c/o Visum Asset Management, LLC, 950 Third Avenue, New York, NY 10022. VCM is the General Partner of VBF an VLBF.      
  (d)    Title of Class of Securities:      
     Common Stock, Par Value $0.01 Per Share      
 

(e)

   CUSIP Number:      
     666135108      

 

Page 9 of 16 Pages


CUSIP No. 666135108     Page 10 of 16 Pages
Item 3   If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:   
  Not Applicable   
Item 4   Ownership:   
  VBF      
  (a)    Amount Beneficially Owned:   
     690,796 shares
  (b)    Percent of Class:
     2.58%
  (c)    Number of Shares as to which person has:
     (i)    sole power to vote or to direct vote:
        None
     (ii)    shared power to vote or to direct vote:
        690,796 shares
     (iii)    sole power to dispose or direct disposition of:
        None
     (iv)    shared power to dispose or to direct disposition of:
        690,796 shares

 

Page 10 of 16 Pages


CUSIP No. 666135108     Page 11 of 16 Pages

 

  VLBF      
 

(a)

   Amount Beneficially Owned:      
     160,669 shares      
 

(b)

   Percent of Class:      
     .60%      
 

(c)

   Number of Shares as to which person has:      
    

(i)

   sole power to vote or to direct vote:      
        None      
    

(ii)

   shared power to vote or to direct vote:      
        160,669 shares      
    

(iii)

   sole power to dispose or direct disposition of:      
        None      
    

(iv)

   shared power to dispose or to direct disposition of:      
        160,669 shares      
  VBFO      
 

(a)

   Amount Beneficially Owned:      
     1,187,493 shares      
 

(b)

   Percent of Class:      
     4.43%      

 

Page 11 of 16 Pages


CUSIP No. 666135108     Page 12 of 16 Pages

 

 

(c)

   Number of Shares as to which person has:      
     (i)    sole power to vote or to direct vote:
        None
     (ii)    shared power to vote or to direct vote:
        1,187,493 shares
     (iii)    sole power to dispose or direct disposition of:
        None
     (iv)    shared power to dispose or to direct disposition of:
        1,187,493 shares
 

VLBFO

        
 

(a)

   Amount Beneficially Owned:      
     1,314,200 shares      
 

(b)

   Percent of Class:      
     4.90%      
 

(c)

   Number of Shares as to which person has:      
     (i)    sole power to vote or to direct vote:
        None
     (ii)    shared power to vote or to direct vote:
        1,314,200 shares
     (iii)    sole power to dispose or direct disposition of:
        None
     (iv)    shared power to dispose or to direct disposition of:
        1,314,200 shares

 

Page 12 of 16 Pages


   VAM      
   (a)    Amount Beneficially Owned:      
      By virtue of its position as investment advisor to each of VBF, VLBF, VBFO and VLBFO, VAM may be deemed to beneficially own the 2,575,836 shares of the Company’s Common Stock beneficially owned by VBF, VLBF, VBFO and VLBFO.      
   (b)    Percent of Class:      
      9.62%      
   (c)    Number of Shares as to which person has:      
      (i)    sole power to vote or to direct vote:      
         2,575,836 shares      
      (ii)    shared power to vote or to direct vote:      
         None      
      (iii)    sole power to dispose or direct disposition of:      
         2,575,836 shares      
      (iv)    shared power to dispose or to direct disposition of:      
         None      
   VCM      
   (a)    Amount Beneficially Owned:      
      By virtue of its position as General Partner to each of VBF and VLBF, VCM may be deemed to beneficially own the 851,465 shares of the Company’s Common Stock beneficially owned by VBF and VLBF.      

 

Page 13 of 16 Pages


CUSIP No. 666135108     Page 14 of 16 Pages

 

   (b)    Percent of Class:      
      3.18%      
   (c)    Number of Shares as to which person has:      
      (i)    sole power to vote or to direct vote:      
         None      
      (ii)    shared power to vote or to direct vote:      
         851,465 shares      
      (iii)    sole power to dispose or direct disposition of:      
         None      
      (iv)    shared power to dispose or to direct disposition of:      
         851,465 shares      
   Jacob Gottlieb      
   (a)    Amount Beneficially Owned:      
      By virtue of his position as the principal of VAM and the sole managing member of VCM, Mr. Gottlieb may be deemed to beneficially own the 2,575,836 shares of the Company’s Common Stock beneficially owned by VAM.      
   (b)    Percent of Class:      
      9.62%      
   (c)    Number of Shares as to which person has:      
      (i)    sole power to vote or to direct vote:      
         2,575,836 shares      
      (ii)    shared power to vote or to direct vote:      

 

Page 14 of 16 Pages


CUSIP No. 666135108     Page 15 of 16 Pages
Item 5    Ownership of Five Percent or Less of a Class:   
   Not Applicable   
Item 6    Ownership of More than Five Percent on Behalf of Another Person:      
   Not Applicable      
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:      
   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.

 

Page 15 of 16 Pages


CUSIP No. 666135108     Page 16 of 16 Pages

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.

Date: February 12, 2007

 

VISIUM ASSET MANAGEMENT, LLC   VISIUM LONG BIAS FUND, LP
By:  

/s/ Mark Gottlieb

  By:  

/s/ Mark Gottlieb

    Mark Gottlieb       Mark Gottlieb
    Authorized Signatory       Authorized Signatory
VISIUM BALANCED FUND, LP   VISIUM BALANCED OFFSHORE FUND, LTD.
By:  

/s/ Mark Gottlieb

  By:  

/s/ Mark Gottlieb

    Mark Gottlieb       Mark Gottlieb
    Authorized Signatory       Authorized Signatory
VISIUM CAPITAL MANAGEMENT, LLC   VISIUM LONG BIAS OFFSHORE FUND, LTD.
By:  

/s/ Mark Gottlieb

  By:  

/s/ Mark Gottlieb

    Mark Gottlieb       Mark Gottlieb
    Authorized Signatory       Authorized Signatory
JACOB GOTTLIEB        
By:  

/s/ Mark Gottlieb

       
  Mark Gottlieb    
  Authorized Representative and Chief Compliance Officer    

 

Page 16 of 16 Pages

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