-----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, PmudpFYb6tzYbPq4uQXzp9ulFI7957317n4S4WKmX33bVcQFKc41EepuY0jUBvM3 1O+DcXgekRKGby+9Z/R0Gg== 0001072613-01-501040.txt : 20020410 0001072613-01-501040.hdr.sgml : 20020410 ACCESSION NUMBER: 0001072613-01-501040 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011109 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: IMMUCELL CORP /DE/ CENTRAL INDEX KEY: 0000811641 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 010382980 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39373 FILM NUMBER: 1780732 BUSINESS ADDRESS: STREET 1: 56 EVERGREEN DR CITY: PORTLAND STATE: ME ZIP: 04103 BUSINESS PHONE: 2078782770 MAIL ADDRESS: STREET 1: 56 EVERGREEN DRIVE CITY: PORTLAND STATE: ME ZIP: 04103 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WILKINS TRACY O CENTRAL INDEX KEY: 0001139064 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O IMMUCELL CORP STREET 2: 56 EVERGREEN DRIVE CITY: PORTLAND STATE: ME ZIP: 04103 BUSINESS PHONE: 2078782770 MAIL ADDRESS: STREET 1: C/O IMMUCELL CORP STREET 2: 56 EVERGREEN DRIVE CITY: PORTLAND STATE: ME ZIP: 04103 SC 13D/A 1 sc13d_10890.txt SCHEDULE 13D/A TRACY D. WILKINS SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)(1) ImmuCell Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.10 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 452525 30 6 - -------------------------------------------------------------------------------- (CUSIP Number) Tracy D. Wilkins c/o TechLab Inc. VPI Research Park 1861 Pratt Drive Blacksburg, VA 24060 (540) 953-1664 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 22, 2001 - -------------------------------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [_]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. - ---------- (1) 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 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). (SC13D-07/99) (Continued on following pages) CUSIP No.452525 30 6 13D Page 1 of 4 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Tracy D. Wilkins - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] - ------------------------------------------------------------------------------- 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 USA ----------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 36,400 SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 93,100 ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 36,400 PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 93,100 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 129,500 CUSIP No. 452525 30 6 13D Page 2 of 4 Pages - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [-] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.8% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------------------------------------------------------------- Item 1. Security and Issuer. Common Stock, $0.10 par value per share; ImmuCell Corporation 56 Evergreen Drive Portland, ME 04103 - -------------------------------------------------------------------------------- Item 2. Identity and Background. (a) Tracy D. Wilkins (b) c/o TechLab, Inc. VPI Research Park 1861 Pratt Drive Blacksburg, VA 24060 (c) President of TechLab, Inc. VPI Research Park 1861 Pratt Drive Blacksburg, VA 24060, a biotechnology company (d) The Reporting Person has not been convicted in a criminal proceeding during the last five years. (e) The Reporting Person was not a party to a civil proceeding of a judicial or administrative body of competent jurisdiction during the last five years. (f) USA CUSIP No. 452525 30 6 13D Page 3 of 4 Pages - -------------------------------------------------------------------------------- Item 3. Source and Amount of Funds or Other Consideration. All 129,500 shares of Common Stock of the Issuer held by the Reporting Person were acquired in the open market with personal funds of the Reporting Person for the aggregate purchase price of approximately $414,000. - -------------------------------------------------------------------------------- Item 4. Purpose of Transaction. The securities reported on this Schedule 13D were acquired for personal investment. (a) The Reporting Person was elected to the Board of Directors of the Issuer at the Annual Meeting of Shareholders of the Issuer held on June 13, 2001. In accordance with the Company's 2000 Stock Option Plan for Outside Directors, the Reporting Person received an automatic grant of an option to acquire 15,000 shares of the Issuer's common stock, at the fair market value on June 13, 2001. One-third of the options subject to the grant would vest on the date he is first re-elected to the Board by the shareholders; an additional 5,000 options would vest on the second date that the he is next re-elected to the Board by shareholders; and the remaining 5,000 options would vest on the third date that he is re-elected to the Board by shareholders. All of these options expired without value before they became exercisable upon the resignation of the Reporting Person from the Board of Directors of the Company on October 22, 2001. (b) none (c) none (d) none (e) none (f) none (g) none (h) none (i) none (j) none - ------------------------------------------------------------------------------- Item 5. Interest in Securities of the Issuer. (a) As of the date of this Schedule 13D, the Reporting Person beneficially owned 129,500 shares, 4.8% of the Issuer's outstanding common stock (b) Reporting Person has sole power to vote and sole power to dispose of 36,400 shares beneficially owned by him. The Reporting Person shares the power to vote and the power to dispose of 93,100 shares held jointly by him with his wife. (c) On October 22, 2001, the Reporting Person sold 41,300 shares of the Issuer's common stock in open market transactions bringing his aggregate holdings at that time to 129,500 shares (4.8%). CUSIP No. 452525 30 6 13D Page 4 of 4 Pages (d) n/a (e) n/a - -------------------------------------------------------------------------------- Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None - -------------------------------------------------------------------------------- Item 7. Material to be Filed as Exhibits. n/a - -------------------------------------------------------------------------------- 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. November 9, 2001 ---------------------------------------- (Date) /s/ Tracy D. Wilkins ---------------------------------------- (Signature) Tracy D. Wilkins ---------------------------------------- (Name/Title) Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----