0001455766-11-000003.txt : 20110215 0001455766-11-000003.hdr.sgml : 20110215 20110215111211 ACCESSION NUMBER: 0001455766-11-000003 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110215 DATE AS OF CHANGE: 20110215 GROUP MEMBERS: BRADLEY T. BAUER GROUP MEMBERS: CAROL B. BAUER GROUP MEMBERS: GEORGE P. BAUER FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Bauer George P. CENTRAL INDEX KEY: 0001455766 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 206 DUDLEY ROAD CITY: WILTON STATE: CT ZIP: 06897 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CPEX Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001418919 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 261172076 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-84092 FILM NUMBER: 11612925 BUSINESS ADDRESS: STREET 1: 2 HOLLAND WAY CITY: EXETER STATE: NH ZIP: 03833 BUSINESS PHONE: (603) 658-6100 MAIL ADDRESS: STREET 1: 2 HOLLAND WAY CITY: EXETER STATE: NH ZIP: 03833 SC 13G 1 sch13gfeb142011.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Rule 13d-102 Under the Securities Exchange Act of 1934 (Amendment No. 2)* CPEX PHARMACEUTICALS, INC. -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 per share -------------------------------------------------------------------------------- (Title of Class of Securities) 12620N104 -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2010 -------------------------------------------------------------------------------- (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. 12620N104 -------------------------------------------------------------------------------- (1) Names of reporting persons. George P. Bauer -------------------------------------------------------------------------------- (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 shares beneficially owned by each reporting person with: (5) Sole voting power: George P. Bauer - 168,971 shares (6) Shared voting power: George P. Bauer - 190,287 shares (7) Sole dispositive power: George P. Bauer - 168,971 shares (8) Shared dispositive power: George P. Bauer - 190,287 shares Refer to Item 4 below -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. George P. Bauer - 190,287 shares -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). Not applicable -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 7.27%, calculated on 2,616,936 shares of common stock outstanding as of January 31, 2011, based on the Issuer's Definitive Proxy Statement dated and filed February 4, 2011. Refer to Item 4 below -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN -------------------------------------------------------------------------------- CUSIP No. 12620N104 -------------------------------------------------------------------------------- (1) Names of reporting persons. Carol B. Bauer -------------------------------------------------------------------------------- (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. Carol B. Bauer - United States -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Carol B. Bauer - 0 Shares (6) Shared voting power: Carol B. Bauer - 10,216 Shares (7) Sole dispositive power: Carol B. Bauer - 0 Shares (8) Shared dispositive power: Carol B. Bauer - 10,216 Shares Refer to Item 4 below -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. Carol B. Bauer - 10,216 Shares Refer to Item 4 below -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). Not applicable -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0.39% (Calculated on 2,616,935 shares outstanding January 31, 2011) Refer to Item 4 below -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN -------------------------------------------------------------------------------- CUSIP No. 12620N104 -------------------------------------------------------------------------------- (1) Names of reporting persons. Bradley T. Bauer -------------------------------------------------------------------------------- (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. Bradley T. Bauer - United States -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Bradley T. Bauer - 0 Shares (6) Shared voting power: Bradley T. Bauer - 11,100 Shares (7) Sole dispositive power: Bradley T. Bauer - 0 Shares (8) Shared dispositive power: Bradley T. Bauer - 11,100 Shares Refer to Item 4 below -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. Bradley T. Bauer - 11,100 Shares -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). Not applicable -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0.42% (Calculated on 2,616,935 shares outstanding January 31, 2011) Refer to Item 4 below -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN -------------------------------------------------------------------------------- Item 1(a). Name of Issuer: CPEX Pharmaceuticals, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 2 Holland Way, Exeter, New Hampshire 03833 Item 2(a). Name of Person Filing: George P. Bauer Carol B. Bauer Bradley T. Bauer Item 2(b). Address or Principal Business Office or, If None, Residence: George P. Bauer 205 Dudley Road Wilton, CT 06897 Carol B. Bauer 205 Dudley Road Wilton, CT 06897 Bradley T. Bauer S6553 Spring Valley Road Loganville, WI 53943 Item 2(c). Citizenship: George P. Bauer - United States Carol B. Bauer - United states Bradley T. Bauer- United States Item 2(d). Title of Class of Securities: COMMON, par value $0.01 per share Item 2(e). CUSIP No.: 12620N104 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) (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 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) |_| A parent holding company or control person in accordance with ss.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 ss. 240.13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. |_| Item 4. Ownership* (a) Amount beneficially owned: George P. Bauer - 168,971 Shares Carol B. Bauer - 10,216 Shares Bradley T. Bauer- 11,100 Shares (b) Percent of class: George P. Bauer - 7.27% Carol B. Bauer - 0.39% Bradley T. Bauer- 0.42% (c) Number of shares as to which such person has: (i) Sole power to direct the vote George P. Bauer - 168,971 Shares Carol B. Bauer - 0 Shares Bradley T. Bauer - 0 Shares (ii) Shared power to direct the vote George P. Bauer - 190,287 Shares Carol B. Bauer - 10,216 Shares Bradley T. Bauer - 11,100 Shares (iii) Sole power to dispose or direct the disposition of George P. Bauer - 168,971 Shares Carol B. Bauer - 0 Shares Bradley T. Bauer - 0 Shares (iv) Shared power to dispose or direct the disposition of George P. Bauer - 190,287 Shares Carol B. Bauer - 10,216 Shares Bradley T. Bauer - 11,100 Shares * Note: Shares reported herein for George P. Bauer, Carol B. Bauer and Bradley T. Bauer represent shares owned by each of them held in their respective brokerage accounts. In addition to his individual brokergage account, George P. Bauer holds power of attorney for the accounts of Carol B. Bauer and Bradley T. Bauer with the right, along with such indivduals, to vote or dispose of the shares reported herein. The Reporting Persons disclaim beneficial ownership of the shares reported herein except to the extent of his or her pecuniary interest therein. Item 5. Ownership of 5 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 5 percent of the class of securities, check the following |_| Item 6. Ownership of More than 5 Percent on Behalf of Another Person. N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. N/A Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A Item 10. Certifications By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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. 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 14, 2011 /s/ George P. Bauer /s/ Carol B. Bauer /s/ Bradley T. Bauer The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, Provided, however, That a power of attorney for this purpose which is already on file with the Commission may be incor porated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. ATTENTION: Intentional misstatements or omissions of fact constitute Federal criminal violations (see 18 U.S.C. 1001). (Secs. 3(b), 13(d)(1), 13(d)(2), 13(d)(5), 13(d)(6), 13(g)(1), 13(g)(2), 13(g)(5), 23, 48 Stat. 882, 894, 901; sec. 203(a), 49 Stat. 704; sec. 8, 49 Stat. 1379; sec. 10, 78 Stat. 88a; sec. 2, 82 Stat. 454; secs. 1, 2, 84 Stat. 1497; secs. 3, 10, 18, 89 Stat. 97, 119, 155; secs. 202, 203, 91 Stat. 1494, 1498, 1499; (15 U.S.C. 78c(b), 78m(d)(1), 78m(d)(2), 78m(d)(5), 78m(d)(6), 78m(g)(1), 78m(g)(2), 78m(g)(5), 78w)) [43 FR 18499, Apr. 28, 1978, as amended at 43 FR 55756, Nov. 29, 1978; 44 FR 2148, Jan. 9, 1979; 44 FR 11751, Mar. 2, 1979; 61 FR 49959, Sept. 24, 1996; 62 FR 35340, July 1, 1997; 63 FR 2867, Jan. 16, 1998; 63 FR 15287, Mar. 31, 1998]