-----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, Rn7YvZsOfuvsBH4eW3vMdXu32OBOKSC3eKw/VObOmejgdELtaOeCVz5CgtX588Wh lM+/kKeGPzL1WX4svXzh0w== 0000874963-97-000019.txt : 19971103 0000874963-97-000019.hdr.sgml : 19971103 ACCESSION NUMBER: 0000874963-97-000019 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970204 DATE AS OF CHANGE: 19971030 SROS: NASD GROUP MEMBERS: D.H. BLAIR INVESTMENT BANKING CORP. GROUP MEMBERS: DAVIS J MORTON SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BRADLEY PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000864268 STANDARD INDUSTRIAL CLASSIFICATION: 2834 IRS NUMBER: 222581418 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-43138 FILM NUMBER: 97517679 BUSINESS ADDRESS: STREET 1: 383 RTE 46 WEST CITY: FAIRFIELD STATE: NJ ZIP: 07004 BUSINESS PHONE: 9738821505 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DAVIS J MORTON CENTRAL INDEX KEY: 0000900184 STANDARD INDUSTRIAL CLASSIFICATION: FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 44 WAY STREET STREET 2: 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 MAIL ADDRESS: STREET 1: 44 WALL STREET STREET 2: 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 SC 13G/A 1 AMENDED SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.____4_______)* Bradley Pharmaceuticals, Inc. ----------------------------------------------------- (Name of Issuer) Class A Common Stock, no par value ------------------------------------------------------------- (Title of Class of Securities) 104576103 ----------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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). CUSIP No. 104576103 13G Page 2 of 5 Pages - - - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON J. Morton Davis - - - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - - - -------------------------------------------------------------------------------- 3 SEC USE ONLY - - - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - - - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 279,200 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 0 REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 279,200 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 279,200 - - - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - - - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.8% - - - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - - - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 104576103 13G Page 3 of 5 Pages - - - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON D.H. Blair Investment Banking Corp. - - - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - - - -------------------------------------------------------------------------------- 3 SEC USE ONLY - - - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - - - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 243,200 REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 243,200 - - - ---------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 243,200 - - - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - - - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.3% - - - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* BD - - - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT Page 4 of 5 Pages Item 1. J. Morton Davis and D.H. Blair Investment Banking Corp. ("Blair Investment") (together, the "Reporting Parties"), hereby amend their statement on Schedule 13G relating to the Class A Common Stock, no par value ("shares") of Bradley Pharmaceuticals, Inc. (the "Issuer") as follows: Item 2. (a) is hereby amended in its entirety as follows: J. Morton Davis and Blair Investment (1). See Exhibit A which is a copy of their agreement in writing to file this statement on behalf of each of them (previously filed in Schedule 13G, Amendment No. 3, dated February 14, 1996, of which this is Amendment No. 4 thereto, and incorporated by reference herein). Item 2. (b) is hereby amended in its entirety as follows: Mr. Davis' and Blair Investment's business address is 44 Wall Street, New York, New York 10005. Item 2. (c) is hereby amended in its entirety as follows: Mr. Davis is a United States citizen. Blair Investment is incorporated in the State of Delaware. Item 4. is hereby amended in its entiretly as follows: (a) (b) As of December 31, 1996, Mr. Davis may be deemed to beneficially own 279,200 shares or 3.8% of the Issuer's shares. Of these shares, (i) 36,000 shares underlie a Unit Purchase Option to purchase 1 Unit (2) at $45,000 per Unit owned directly by Mr. Davis and exercisable through December 10, 1998; (ii) 235,800 shares underlying a Unit Purchase Option to purchase 6.55 Units (2) at $45,000 per Unit owned directly by Blair Investment exercisable through December 10, 1998; and (iii) 7,400 shares owned directly by Blair Investment. As of December 31, 1996, Blair Investment may be deemed to beneficially own 243,200 shares or 3.3% as indicated in (ii) and (iii) above. (c) Mr. Davis has sole power to vote or to direct the vote, to dispose or to direct the disposition of those shares owned by Blair Investment. Item 5. is hereby amended in its entirety as follows: As of November 12, 1996, Mr. Davis and Blair Investment have ceased to be beneficial owners of more than five percent of the Issuer's securities. - - - ------------------------------------------------------------------------------ (1) Mr. Davis is an investment banker and sole shareholder of Blair Investment, a broker-dealer registered under the Securities Exchange Act of 1934. Prior to May 1, 1996, Blair Investment was a wholely-owned subsidiary of D.H. Blair Holdings, Inc. ("Blair Holdings"), which was solely owned by Mr. Davis. As of May 1, 1996, Blair Holdings merged into Blair Investment, with Blair Investment being the surviving corporation. (2) Each Unit consists of 24,000 shares and 12,000 Class D Warrants. Each Class D Warrant is exercisable to purchase one share at an exercise price of $3.00 through December 10, 1998. Page 5 of 5 Pages Signature. After reasonable inquiry and to the best of my knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: February 3, 1997 By: /s/ J. Morton Davis ------------------------------- J. Morton Davis Date: February 3, 1997 D.H. Blair Investment Banking Corp. By: /s/ David Nachamie ------------------------------- David Nachamie Treasurer -----END PRIVACY-ENHANCED MESSAGE-----