-----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, JdtVyhiOFqATfPHuXtJAsbxP1vNl2bHf0+cnzrCx+dV7jhncbjLMjnf+h0gS6oar yC0pnqmXnMacEuwrQQS7oQ== 0001019056-09-001046.txt : 20091026 0001019056-09-001046.hdr.sgml : 20091026 20091026135844 ACCESSION NUMBER: 0001019056-09-001046 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20091026 DATE AS OF CHANGE: 20091026 GROUP MEMBERS: ARIEL WARSZAWSKI GROUP MEMBERS: FIREFLY MANAGEMENT COMPANY GP, LLC GROUP MEMBERS: FIREFLY VALUE PARTNERS, LP GROUP MEMBERS: FVP GP, LLC GROUP MEMBERS: FVP MASTER FUND, L.P. GROUP MEMBERS: FVP US-Q, LP GROUP MEMBERS: RYAN HESLOP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ CENTRAL INDEX KEY: 0000918112 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 943049219 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49135 FILM NUMBER: 091136498 BUSINESS ADDRESS: STREET 1: 2000 POWELL STREET, SUITE 800 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 510-595-6000 MAIL ADDRESS: STREET 1: 2000 POWELL STREET, SUITE 800 CITY: EMERYVILLE STATE: CA ZIP: 94608 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Firefly Value Partners, LP CENTRAL INDEX KEY: 0001438637 IRS NUMBER: 721616675 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 551 FIFTH AVENUE, 36TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10176 BUSINESS PHONE: 212-672-9600 MAIL ADDRESS: STREET 1: 551 FIFTH AVENUE, 36TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10176 SC 13G 1 neurobiological_13g.txt SCHEDULE 13G --------------------------- OMB APPROVAL --------------------------- OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden hours per response... 14.90 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. _______________)* NEUROBIOLOGICAL TECHNOLOGIES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 - -------------------------------------------------------------------------------- (Title of Class of Securities) 64124W304 - -------------------------------------------------------------------------------- (CUSIP Number) OCTOBER 21, 2009 - -------------------------------------------------------------------------------- (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 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 11 pages CUSIP No. 64124W304 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. RYAN HESLOP 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. Citizenship or Place of Organization UNITED STATES - -------------------------------------------------------------------------------- Number of 5. Sole Voting Power 0 Shares Bene- --------------------------------------------------------- ficially owned by Each 6. Shared Voting Power 4,711,496 Reporting --------------------------------------------------------- Person With: 7. Sole Dispositive Power 0 --------------------------------------------------------- 8. Shared Dispositive Power 4,711,496 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,711,496 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] 11. Percent of Class Represented by Amount in Row (9) 17.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- Page 2 of 11 pages CUSIP No. 64124W304 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. ARIEL WARSZAWSKI 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. Citizenship or Place of Organization UNITED STATES - -------------------------------------------------------------------------------- Number of 5. Sole Voting Power 0 Shares Bene- --------------------------------------------------------- ficially owned by Each 6. Shared Voting Power 4,711,496 Reporting --------------------------------------------------------- Person With: 7. Sole Dispositive Power 0 --------------------------------------------------------- 8. Shared Dispositive Power 4,711,496 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,711,496 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] 11. Percent of Class Represented by Amount in Row (9) 17.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- Page 3 of 11 pages CUSIP No. 64124W304 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. FIREFLY VALUE PARTNERS, LP 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. Citizenship or Place of Organization DELAWARE - -------------------------------------------------------------------------------- Number of 5. Sole Voting Power 0 Shares Bene- --------------------------------------------------------- ficially owned by Each 6. Shared Voting Power 4,711,496 Reporting --------------------------------------------------------- Person With: 7. Sole Dispositive Power 0 --------------------------------------------------------- 8. Shared Dispositive Power 4,711,496 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,711,496 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] 11. Percent of Class Represented by Amount in Row (9) 17.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------- Page 4 of 11 pages CUSIP No. 64124W304 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. FVP GP, LLC 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. Citizenship or Place of Organization DELAWARE - -------------------------------------------------------------------------------- Number of 5. Sole Voting Power 0 Shares Bene- --------------------------------------------------------- ficially owned by Each 6. Shared Voting Power 4,711,496 Reporting --------------------------------------------------------- Person With: 7. Sole Dispositive Power 0 --------------------------------------------------------- 8. Shared Dispositive Power 4,711,496 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,711,496 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] 11. Percent of Class Represented by Amount in Row (9) 17.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------- Page 5 of 11 pages CUSIP No. 64124W304 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. FIREFLY MANAGEMENT COMPANY GP, LLC 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. Citizenship or Place of Organization DELAWARE - -------------------------------------------------------------------------------- Number of 5. Sole Voting Power 0 Shares Bene- --------------------------------------------------------- ficially owned by Each 6. Shared Voting Power 4,711,496 Reporting --------------------------------------------------------- Person With: 7. Sole Dispositive Power 0 --------------------------------------------------------- 8. Shared Dispositive Power 4,711,496 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,711,496 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] 11. Percent of Class Represented by Amount in Row (9) 17.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------- Page 6 of 11 pages CUSIP No. 64124W304 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. FVP MASTER FUND, L.P. 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. Citizenship or Place of Organization CAYMAN ISLANDS - -------------------------------------------------------------------------------- Number of 5. Sole Voting Power 0 Shares Bene- --------------------------------------------------------- ficially owned by Each 6. Shared Voting Power 2,587,553 Reporting --------------------------------------------------------- Person With: 7. Sole Dispositive Power 0 --------------------------------------------------------- 8. Shared Dispositive Power 2,587,553 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,587,553 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] 11. Percent of Class Represented by Amount in Row (9) 9.6% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------- Page 7 of 11 pages CUSIP No. 64124W304 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. FVP US-Q, LP 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. Citizenship or Place of Organization DELAWARE - -------------------------------------------------------------------------------- Number of 5. Sole Voting Power 0 Shares Bene- --------------------------------------------------------- ficially owned by Each 6. Shared Voting Power 2,123,943 Reporting --------------------------------------------------------- Person With: 7. Sole Dispositive Power 0 --------------------------------------------------------- 8. Shared Dispositive Power 2,123,943 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,123,943 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] 11. Percent of Class Represented by Amount in Row (9) 7.9% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------- Page 8 of 11 pages ITEM 1. (a) The name of the issuer is Neurobiological Technologies, Inc. (the "Issuer"). (b) The principal executive office of the Issuer is located at 2000 Powell Street, Suite 800, Emeryville, California, 94608. ITEM 2. (a) This statement (this "Statement") is being filed by: (i) FVP Master Fund, L.P., a Cayman Islands exempted limited partnership ("FVP Master Fund"), (ii) FVP US-Q, LP, a Delaware limited partnership ("FVP Fund" and, together with FVP Master Fund, the "Funds"), (iii) Firefly Value Partners, LP, a Delaware limited partnership ("Firefly Partners"), which serves as the investment manager of the Funds, (iv) FVP GP, LLC, a Delaware limited liability company ("FVP GP"), which serves as the general partner of the Funds, (v) Firefly Management Company GP, LLC, a Delaware limited liability company ("Firefly Management"), which serves as the general partner of Firefly Partners, and (vi) Messrs. Ryan Heslop and Ariel Warszawski, the managing members of FVP GP and Firefly Management (all of the foregoing, collectively, "Reporting Persons"). The Funds are private investment vehicles formed for the purpose of investing and trading in a wide variety of securities and financial instruments. The Funds directly own all of the shares reported in this Statement. Messrs. Heslop and Warszawski, Firefly Partners, Firefly Management and FVP GP may be deemed to share with the Funds voting and dispositive power with respect to such shares. Each Reporting Person disclaims beneficial ownership with respect to any shares other than those owned directly by such Reporting Person. (b) The Principal Business Office of FVP Master Fund is: c/o dms Corporate Services, Ltd. P.O. Box 1344 dms House 20 Genesis Close Grand Cayman, KY1-1108 Cayman Islands The Principal Business Office of Messrs. Heslop and Warszawski, Firefly Partners, FVP GP, Firefly Management and FVP Fund is: 551 Fifth Ave., 36th Floor, New York, NY 10176 (c) For citizenship information see item 4 of the cover sheet of each Reporting Person. (d) This Statement relates to the Common Stock of the Issuer. (e) The CUSIP Number of the Common Stock of the Issuer is 64124W304. ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO 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) [ ] An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations 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 240.13d-1(b)(1)(ii)(J); Page 9 of 11 pages ITEM 4. OWNERSHIP. See Items 5-9 and 11 on the cover page for each Reporting Person, and Item 2. The percentage ownership of each Reporting Person is based on 26,929,805 shares of Common Stock outstanding as of July 31, 2009, as reported on the Issuer's annual report on Form 10-K filed on August 31, 2009 for the fiscal year ended June 30, 2009. 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 . 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 (a) Not applicable. (b) 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 10 of 11 pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: October 26, 2009 /s/ Ryan Heslop ------------------------------------- RYAN HESLOP ARIEL WARSZAWSKI Firefly Value Partners, LP FVP GP, LLC FIREFLY MANAGEMENT COMPANY GP, LLC FVP MASTER FUND, L.P. FVP US-Q, LP By: /s/ Ariel Warszawski --------------------------------- Ariel Warszawski, for himself and as Managing Member of FVP GP (for itself and as general partner of each of the Funds) and Firefly Management (for itself and as general partner of Firefly Partners) Page 11 of 11 pages -----END PRIVACY-ENHANCED MESSAGE-----