-----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, GpiB1Qfv0CXnhzHPi5T9q7vtEYkjP+dqOWeiCCwCiJYl2eUwbnldAJAjwZQFCFkp LlcZYuTPWupx5kd3t5Sz4w== 0000950162-04-000189.txt : 20040213 0000950162-04-000189.hdr.sgml : 20040213 20040213154415 ACCESSION NUMBER: 0000950162-04-000189 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DOR BIOPHARMA INC CENTRAL INDEX KEY: 0000812796 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 411505029 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39976 FILM NUMBER: 04598795 BUSINESS ADDRESS: STREET 1: 1691 MICHIGAN AVE. STREET 2: SUITE 435 CITY: MIAMI STATE: FL ZIP: 33139 BUSINESS PHONE: 305-534-3383 MAIL ADDRESS: STREET 1: 1691 MICHIGAN AVE. STREET 2: SUITE 435 CITY: MIAMI STATE: FL ZIP: 33139 FORMER COMPANY: FORMER CONFORMED NAME: ENDOREX CORP DATE OF NAME CHANGE: 19960916 FORMER COMPANY: FORMER CONFORMED NAME: IMMUNOTHERAPEUTICS INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ELAN INTERNATIONAL SERVICES LTD CENTRAL INDEX KEY: 0001002782 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 102 JAMES COURT FLATTS STREET 2: SMITH PARISH FL 04 CITY: BERMUDA STATE: D0 ZIP: 00000 BUSINESS PHONE: 4412929169 SC 13D/A 1 dor-elan13dano3021304.txt AMENDMENT NO. 3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 - -------------------------------------------------------------------------------- SCHEDULE 13D/A3 (Amendment No. 3) Under the Securities Exchange Act of 1934 (Amendment No. 3)* DOR BioPharma, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 452916 40 6 - -------------------------------------------------------------------------------- (CUSIP Number) William F. Daniel Elan Corporation, plc Lincoln House Lincoln Place Dublin 2, Ireland (353) 1-709-4000 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 12, 2004 - -------------------------------------------------------------------------------- (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 ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-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 240.13d-7 for other parties to whom copies are to be sent. *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). Page 1 of 7 - -------------------------------------------------------------------------------- CUSIP No. 452916 40 6 - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSONS Elan Corporation, plc I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) N/A - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) SOURCE OF FUNDS (See Instructions) WC - -------------------------------------------------------------------------------- (5) CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- (6) CITIZENSHIP OR PLACE OF ORGANIZATION Ireland - -------------------------------------------------------------------------------- Number of (7) SOLE VOTING POWER Shares -0- (See Item 5) -------------------------------------------------------------- Beneficially (8) SHARED VOTING POWER Owned 3,970,712 (See Item 5) ------ ------------------------------------------------------- by Each (9) SOLE DISPOSITIVE POWER Reporting -0- (See Item 5) ------ ------------------------------------------------------- Person With (10) SHARED DISPOSITIVE POWER 3,970,712 (See Item 5) - -------------------------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,970,712 (See Item 5) - -------------------------------------------------------------------------------- (12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.7% (See Item 5) - -------------------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON (See Instructions) CO - -------------------------------------------------------------------------------- Page 2 of 7 - -------------------------------------------------------------------------------- CUSIP No. 452916 40 6 - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSONS Elan International Services, Ltd. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) N/A - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) SOURCE OF FUNDS (See Instructions) WC - -------------------------------------------------------------------------------- (5) CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- (6) CITIZENSHIP OR PLACE OF ORGANIZATION Bermuda - -------------------------------------------------------------------------------- Number of (7) SOLE VOTING POWER Shares -0- (See Item 5) -------------------------------------------------------------- Beneficially (8) SHARED VOTING POWER Owned 3,970,712 (See Item 5) -------------------------------------------------------------- by Each (9) SOLE DISPOSITIVE POWER Reporting -0- (See Item 5) -------------------------------------------------------------- Person With (10) SHARED DISPOSITIVE POWER 3,970,712 (See Item 5) - -------------------------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,970,712 (See Item 5) - -------------------------------------------------------------------------------- (12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.7% (See Item 5) - -------------------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON (See Instructions) CO - -------------------------------------------------------------------------------- Page 3 of 7 - -------------------------------------------------------------------------------- CUSIP No. 452916 40 6 - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSONS Elan Pharmaceutical Investments, Ltd. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) N/A - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) SOURCE OF FUNDS (See Instructions) WC - -------------------------------------------------------------------------------- (5) CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- (6) CITIZENSHIP OR PLACE OF ORGANIZATION Bermuda - -------------------------------------------------------------------------------- Number of (7) SOLE VOTING POWER Shares -0- (See Item 5) -------------------------------------------------------------- Beneficially (8) SHARED VOTING POWER Owned 3,470,712 (See Item 5) -------------------------------------------------------------- by Each (9) SOLE DISPOSITIVE POWER Reporting -0- (See Item 5) -------------------------------------------------------------- Person With (10) SHARED DISPOSITIVE POWER 3,470,712 (See Item 5) - -------------------------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,470,712 (See Item 5) - -------------------------------------------------------------------------------- (12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.3% (See Item 5) - -------------------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON (See Instructions) CO - -------------------------------------------------------------------------------- Page 4 of 7 Item 1. Security and Issuer. Item 1 of the Schedule 13D is hereby amended and restated in its entirety as follows: This Amendment No. 3 amends the Schedule 13D filed with the Securities and Exchange Commission (the "Commission") on February 4, 1998, as amended by the Schedule 13D/A1 filed with the Commission on May 23, 2002 and by Schedule 13D/A2 filed with the Commission on February 6, 2004 (as so amended, the "Schedule 13D") relating to the common stock, par value $.001 per share (the "Common Stock"), of DOR BioPharma, Inc., a Delaware corporation (the "Issuer"). The name and address of the principal executive offices of the Issuer is DOR BioPharma, Inc., 1691 Michigan Ave., Suite 435, Miami, FL 33139. Item 5. Interest in Securities of Issuer. Item 5 of the Schedule 13D is hereby amended and restated in its entirety as follows: (a) As of February 13, 2004, Elan (indirectly through its ownership of EIS and EPIL) and EIS (directly in respect of 500,000 shares of Common Stock and indirectly through its ownership of EPIL) each beneficially owned 3,970,712 shares of Common Stock (including 2,501,811 shares of Common Stock issuable upon conversion of the Series B Convertible Preferred Stock), representing 10.7% of the outstanding shares of Common Stock (based on 34,636,908 shares of Common Stock outstanding as of November 1, 2003 as reported in the Issuer's Form 10-QSB for the quarterly period ended September 30, 2003). As of February 13, 2004, EPIL beneficially owned 3,470,712 shares of Common Stock (including 2,501,811 shares of Common Stock issuable upon conversion of the Series B Convertible Preferred Stock, representing 9.3% of the outstanding shares of Common Stock (based on 34,636,908 shares of Common Stock outstanding as of November 1, 2003 as reported in the Issuer's Form 10-QSB for the quarterly period ended September 30, 2003). (b) As of February 13, 2004, Elan (indirectly through its ownership of EIS and EPIL) and EIS (directly in respect of 500,000 shares of Common Stock and indirectly through its ownership of EPIL) each had the shared voting and dispositive power over 3,970,712 shares of Common Stock (including 2,501,811 shares of Common Stock issuable upon conversion of the Series B Convertible Preferred Stock). As of February 13, 2004, EPIL had the shared voting and dispositive power over 3,470,712 shares of Common stock (including 2,501,811 shares of Common Stock issuable upon conversion of the Series B Convertible Preferred Stock). Page 5 of 7 (c) On February 11, 2004 and February 12, 2004, EPIL sold an aggregate of 583,979 shares of Common Stock in open market transactions as listed below: Date of Sale Amount Price Per Share ------------ ------ --------------- 02/11/04 52,879 $1.11 02/11/04 81,000 $1.10 02/11/04 10,400 $1.09 02/11/04 16,600 $1.08 02/11/04 4,800 $1.07 02/11/04 44,900 $1.06 02/11/04 106,900 $1.05 02/12/04 11,000 $1.06 02/12/04 69,200 $1.05 02/12/04 5,600 $1.02 02/12/04 180,700 $1.01 (d) None. (e) Not applicable. Page 6 of 7 SIGNATURES After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: February 13, 2004 ELAN CORPORATION, PLC By: /s/ William F. Daniel ------------------------------------ Name: William F. Daniel Title: Executive Vice President and Secretary ELAN INTERNATIONAL SERVICES, LTD. By: /s/ Debra Moore Buryj ------------------------------------ Name: Debra Moore Buryj Title: Vice President ELAN PHARMACEUTICAL INVESTMENTS, LTD. By: /s/ Debra Moore Buryj ------------------------------------ Name: Debra Moore Buryj Title: Vice President Page 7 of 7 -----END PRIVACY-ENHANCED MESSAGE-----