-----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, Sn87i9kdbrXMXU1IGCAyqlnAhVTapHjwlnF6zQPOGHTD7d3rUgA7PbMFJCW5XRzM oItlx3LMO3/GKcwChu+UYQ== 0000950115-97-000203.txt : 19970222 0000950115-97-000203.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950115-97-000203 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEOSE TECHNOLOGIES INC CENTRAL INDEX KEY: 0000877902 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 133549286 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49977 FILM NUMBER: 97535070 BUSINESS ADDRESS: STREET 1: 102 WITMER ROAD CITY: HORSHAM STATE: PA ZIP: 19044 BUSINESS PHONE: 2154415890 MAIL ADDRESS: STREET 1: 102 WITMER ROAD CITY: HORSHAM STATE: PA ZIP: 19044 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROSENWALD LINDSAY MD CENTRAL INDEX KEY: 0000941841 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 375 PARK AVE STREET 2: SUITE 1501 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128324366 MAIL ADDRESS: STREET 1: 375 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10152 SC 13G 1 INITIAL FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ---------------------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Neose Technologies, Inc. ------------------------ Name of Issuer Common Stock, par value $.01 per share -------------------------------------- (Title of Class of Securities) 640522 10 8 ------------ CUSIP Number * 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 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). Page 1 of 5 pages SCHEDULE 13G - ------------------------- -------------------------- CUSIP No. 640522 10 8 Page 2 of 5 Pages - ------------------------- -------------------------- - ------------------------------------------------------------------------------- 1 | NAME OF REPORTING PERSON | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | Lindsay A. Rosenwald, M.D. - ------------------------------------------------------------------------------- | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| | (See Instructions) (b) |_| - -------------------------------------------------------------------------------- 3 | SEC USE ONLY | - -------------------------------------------------------------------------------- 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | United States of America - -------------------------------------------------------------------------------- | 5 | SOLE VOTING POWER | | | | 468,917 NUMBER OF SHARES |-----|-------------------------------------- BENEFICIALLY | 6 | SHARED VOTING POWER OWNED BY EACH | | REPORTING PERSON | | 32,000(1) WITH |-----|-------------------------------------- | 7 | SOLE DISPOSITIVE POWER | | | | 468,917 |-----|-------------------------------------- | 8 | SHARED DISPOSITIVE POWER | | | | 32,000(1) - -------------------------------------------------------------------------------- 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | 500,917 - -------------------------------------------------------------------------------- 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | (See Instructions) | /X/ - -------------------------------------------------------------------------------- 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | 6.1% | - -------------------------------------------------------------------------------- 12 | TYPE OF REPORTING PERSON (See Instructions) | IN | - -------------------------------------------------------------------------------- FOOTNOTES TO COVER PAGE OF SCHEDULE 13G ----------------------- LINDSAY A. ROSENWALD, M.D. 1. Excludes (i) 75,624 shares of Common Stock owned by Dr. Rosenwald's wife and (ii) 30,250 shares of Common Stock held by Dr. Rosenwald's wife as custodian for Dr. Rosenwald's children, as to which Dr. Rosenwald disclaims beneficial ownership. Page 3 of 5 pages SCHEDULE 13G Item 1. (a) Name of Issuer: Neose Technologies, Inc., a Delaware corporation (the "Company") (b) Address of Issuer's Principal Executive Offices: 102 Witmer Road, Horsham, Pennsylvania 19044 Item 2. (a) Name of Person Filing: Lindsay A. Rosenwald, M.D. (b) Address of Principal Business Office or, if none, Residence: c/o Paramount Capital, Inc., 787 7th Avenue, New York, New York 10019 (c) Citizenship: United States of America (d) Title of Class of Securities: Common Stock, par value $.01 per share ("Common Stock") (e) CUSIP Number: 640522 10 8 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: N/A Item 4. Ownership. For information concerning the ownership of Common Stock of the Company by Dr. Rosenwald, see Items 5 through 9 and 11 of the cover page to this Schedule 13G and the footnote thereto. Item 5. Ownership of Five Percent or Less of a Class. N/A Item 6. Ownership of More than Five 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. 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. Certification. N/A Page 4 of 5 pages 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. February 14, 1997 - ------------------------------ Date /s/ Lindsay A. Rosenwald, M.D. - ------------------------------ Signature Lindsay A. Rosenwald, M.D. - ------------------------------ Name Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----