-----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, NieJjBVTBC4qxrQEJJV/+g+UTnFAjJVWQCotuIPAGd2jBOiHeA8kwvlHuQ0hGqux lpIKf/KDe/esSj1L9KV+pg== 0000927016-97-000827.txt : 19970320 0000927016-97-000827.hdr.sgml : 19970320 ACCESSION NUMBER: 0000927016-97-000827 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970319 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALPHA 1 BIOMEDICALS INC CENTRAL INDEX KEY: 0000707511 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 521253406 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-37837 FILM NUMBER: 97559523 BUSINESS ADDRESS: STREET 1: 6707 DEMOCRACY BLVD STREET 2: SUITE 111 CITY: BETHESDA STATE: MD ZIP: 20817 BUSINESS PHONE: 2025644400 MAIL ADDRESS: STREET 1: 6707 DEMOCRACY BLVD STREET 2: SUITE 111 CITY: BETHESDA STATE: MD ZIP: 20817 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ESSEX INVESTMENT MANAGEMENT CO INC CENTRAL INDEX KEY: 0000201772 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 004260191 STATE OF INCORPORATION: MA FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 125 HIGH STREET CITY: SOUTH BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6174824870 SC 13D/A 1 SCHEDULE 13-D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* Alpha 1 Biomedicals Inc. ________________________________________________________________________________ (Name of issuer) COMMON STOCK, $.01 par value ________________________________________________________________________________ (Title of class of securities) 020910105 ------------------------------------- (CUSIP number) Joseph C. McNay c/o Essex Investment Mgmt. Co. Inc. 125 High Street Boston, MA 02110 (Name, address and telephone number of person authorized to receive notices and communications) ________________________________________________________________________________ March 12, 1997 ------------------------------------- (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [_]. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on the following pages) (Page 1 of 10 Pages) ________________________________ *The remainder of this cover page shall be filled out for a reporting persons 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 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). 1 SCHEDULE 13D
CUSIP NO. 020910105 - --------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS JOSEPH C. McNAY SOCIAL SECURITY NO. 496 34 2780 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) (B) [x] 3 SEC USE ONLY 4 SOURCE OF FUNDS* 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 7 SOLE VOTING POWER SHARES 612,000 BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 REPORTING 9 SOLE DISPOSITIVE POWER PERSON 612,000 WITH 10 SHARED DISPOSITIVE POWER 0 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 612,000 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.33% 14 TYPE OF REPORTING PERSON * IN =================================================================================
* SEE INSTRUCTIONS BEFORE FILLING OUT! 2 SCHEDULE 13D
CUSIP NO. 7616831010 - --------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS SPEAR, LEEDS & KELLOGG IRS IDENTIFICATION NO. 13-5515160 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) (B) [x] 3 SEC USE ONLY 4 SOURCE OF FUNDS* 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 NEW YORK NUMBER OF 7 SOLE VOTING POWER SHARES 1,114,100 BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 REPORTING 9 SOLE DISPOSITIVE POWER PERSON 1,114,100 WITH 10 SHARED DISPOSITIVE POWER 0 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,114,100 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.92% 14 TYPE OF REPORTING PERSON * BD;PN =================================================================================
* SEE INSTRUCTIONS BEFORE FILLING OUT! 3 ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. ------------------------------------------------- The aggregate purchase price of the 612,000 shares of Common Stock owned by Joseph C. McNay, was $88,500, inclusive of brokerage commissions. Joseph C. McNay used his own assets to purchase such shares, which may at any given time include funds borrowed in the ordinary course in their margin accounts. ITEM 4. PURPOSE OF TRANSACTION. ---------------------- Investment 4 ITEM 5. INTEREST IN SECURITIES OF ISSUER. -------------------------------- (a) and (b) As of March 12, 1997, Joseph C. McNay owns beneficially 612,000 shares of the Common Stock, representing approximately 5.33% of the 11,477,429 shares of Common Stock outstanding as reported in the Company's most recently available filing with the Securities and Exchange Commission (the "SEC"). (c) Joseph C. McNay March 12, 1997, 500,000 shares, $50,000 ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDING OR RELATIONSHIPS WITH RESPECT -------------------------------------------------------------------- TO SECURITIES OF ISSUER. ------------------------ None. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. -------------------------------- None. 5 SIGNATURES 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. Dated: March 12, 1997 By: /s/ Joseph C. McNay --------------------------------------- Joseph C. McNay 6 -----END PRIVACY-ENHANCED MESSAGE-----