0001393825-13-000012.txt : 20130206
0001393825-13-000012.hdr.sgml : 20130206
20130206150149
ACCESSION NUMBER: 0001393825-13-000012
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20130206
DATE AS OF CHANGE: 20130206
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: IsoRay, Inc.
CENTRAL INDEX KEY: 0000728387
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 411458152
STATE OF INCORPORATION: MN
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-80930
FILM NUMBER: 13577464
BUSINESS ADDRESS:
STREET 1: 350 HILLS STREET,
STREET 2: SUITE 106
CITY: RICHLAND
STATE: WA
ZIP: 99354
BUSINESS PHONE: (509) 375-1202
MAIL ADDRESS:
STREET 1: 350 HILLS STREET,
STREET 2: SUITE 106
CITY: RICHLAND
STATE: WA
ZIP: 99354
FORMER COMPANY:
FORMER CONFORMED NAME: CENTURY PARK PICTURES CORP
DATE OF NAME CHANGE: 19920703
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Hudson Bay Capital Management LP
CENTRAL INDEX KEY: 0001393825
IRS NUMBER: 371511173
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 777 THIRD AVE., 30TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-571-1244
MAIL ADDRESS:
STREET 1: 777 THIRD AVE., 30TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER COMPANY:
FORMER CONFORMED NAME: Hudson Bay Capital Management, L.P.
DATE OF NAME CHANGE: 20070320
SC 13G/A
1
isr_13ga.txt
ISORAY INC SC13G
1
ISR_sc13ga.txt
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Under the Securities Exchange Act of 1934
SCHEDULE 13G/A
(Amendment No. 3)*
IsoRay, Inc.
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
46489V104
(CUSIP Number)
December 31, 2012
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] Rule 13d-1(b)
[ ] 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 the
disclosures provided in a prior cover page. The information required in 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).
Page 1 of 6 Pages
CUSIP No. 46489V104 13G/A Page 2 of 6 Pages
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(1) NAMES OF REPORTING PERSONS
Hudson Bay Capital Management, L.P.
-----------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
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(3) SEC USE ONLY
-----------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER
0
SHARES --------------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
Warrants (Series D) to purchase up to 1,140,332 shares
of Common Stock, which expire on 05/24/2016
Warrants to purchase up to 108,695 shares of Common
Stock, which expire on 10/13/2016
OWNED BY --------------------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING --------------------------------------------------------------
PERSON WITH: (8) SHARED DISPOSITIVE POWER
Warrants (Series D) to purchase up to 1,140,332 shares
of Common Stock, which expire on 05/24/2016
Warrants to purchase up to 108,695 shares of Common
Stock, which expire on 10/13/2016
-----------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Warrants (Series D) to purchase up to 1,140,332 shares of Common
Stock, which expire on 05/24/2016
Warrants to purchase up to 108,695 shares of Common Stock, which
expire on 10/13/2016
-----------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES
[ ]
-----------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
3.48%
-----------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
PN
-----------------------------------------------------------------------------
CUSIP No. 46489V104 13G/A Page 3 of 6 Pages
-----------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
Sander Gerber
-----------------------------------------------------------------------------
(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 (5) SOLE VOTING POWER
0
SHARES --------------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
Warrants (Series D) to purchase up to 1,140,332 shares
of Common Stock, which expire on 05/24/2016
Warrants to purchase up to 108,695 shares of Common
Stock, which expire on 10/13/2016
OWNED BY --------------------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING --------------------------------------------------------------
PERSON WITH: (8) SHARED DISPOSITIVE POWER
Warrants (Series D) to purchase up to 1,140,332 shares
of Common Stock, which expire on 05/24/2016
Warrants to purchase up to 108,695 shares of Common
Stock, which expire on 10/13/2016
-----------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
Warrants (Series D) to purchase up to 1,140,332 shares of Common
Stock, which expire on 05/24/2016
Warrants to purchase up to 108,695 shares of Common Stock, which
expire on 10/13/2016
-----------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES
[ ]
-----------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
3.48%
-----------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
IN
-----------------------------------------------------------------------------
CUSIP No. 46489V104 13G/A Page 4 of 6 Pages
-----------------------------------------------------------------------------
This Amendment No. 3 (this 'Amendment') amends the statement on Schedule 13G
filed on December 2, 2010 (the 'Original Schedule 13G'), as amended by
Amendment No. 1 filed on February 14, 2011 and Amendment No. 2 filed on
February 10, 2012 (the Original Schedule 13G as amended, the 'Schedule 13G')
with respect to the shares of common stock, $0.001 par value per share, (the
'Common Stock') of IsoRay, Inc., a Minnesota corporation (the 'Company').
Capitalized terms used herein and not otherwise defined in this Amendment have
the meanings set forth in the Schedule 13G. This Amendment amends and restates
Items 2, 3, 4 and 5 in their entirety as set forth below.
Item 2(a). Name of Person Filing
This statement is filed by Hudson Bay Capital Management LP (the 'Investment
Manager') and Mr. Sander Gerber ('Mr. Gerber'), who are collectively referred
to herein as 'Reporting Persons.'
Item 2(b). Address of Principal Business Office or, if none, Residence
The address of the principal business office of each of the Reporting
Persons is:
777 Third Avenue, 30th Floor
New York, NY 10017
Item 2(c). Citizenship
Citizenship is set forth in Row (4) of the cover page for each Reporting
Person hereto and is incorporated herein by reference for each such
Reporting Person.
Item 2(d) Title of Class of Securities
Common Stock, par value $0.001 per share (the 'Common Stock')
Item 2(e) CUSIP Number
46489V104
CUSIP No. 46489V104 13G/A Page 5 of 6 Pages
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Item 3. If this statement is filed pursuant to ss.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.
78o).
(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) [X] An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
ss.240.13d-1(b)(1)(ii)(F);
(g) [X] A parent holding company or control person in accordance with
ss.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 Rule 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 1.
The information required by Items 4(a) - (c) is set forth in Rows
(5)-(11) of the cover page for each Reporting Person hereto and is
incorporated herein by reference for each such Reporting Person.
The percentage set forth in Row 11 of the cover page for each Reporting
Person is based on 34,598,668 shares of Common Stock outstanding as of
December 28, 2012, as disclosed in the Company's Definitive Proxy Statement on
Schedule 14A, filed with the Securities and Exchange Commission on
January 8, 2013 and assumes the exercise of the reported warrants .
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more than
five percent of the class of securities, check the following: [X]
CUSIP No. 46489V104 13G/A Page 6 of 6 Pages
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SIGNATURES
After reasonable inquiry and to the best of its knowledge and belief,
each of the undersigned certifies that the information with respect to it set
forth in this statement is true, complete, and correct.
Dated: February 6, 2013
HUDSON BAY CAPITAL MANAGEMENT, L.P.
By: /s/ Sander Gerber
Name: Sander Gerber
Title: Authorized Signatory
/s/ Sander Gerber
SANDER GERBER