-----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, C1Zw2EZghTHLURG/ZKReAdhoduQNinjAeh6wbohZdQ4Lmk+fs67qGOFTR3cRIizj zSf+q9XRgV5a0P3VUTIUwg== 0001144204-07-055431.txt : 20071022 0001144204-07-055431.hdr.sgml : 20071022 20071022092624 ACCESSION NUMBER: 0001144204-07-055431 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20071022 DATE AS OF CHANGE: 20071022 GROUP MEMBERS: CITADEL EQUITY FUND LTD. GROUP MEMBERS: CITADEL INVESTMENT GROUP, L.L.C. GROUP MEMBERS: KENNETH GRIFFIN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASPECT MEDICAL SYSTEMS INC CENTRAL INDEX KEY: 0000886235 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 954154357 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-59557 FILM NUMBER: 071182292 BUSINESS ADDRESS: STREET 1: 141 NEEDHAM STREET CITY: NEWTON STATE: MA ZIP: 02464-1505 BUSINESS PHONE: (617) 559-7857 MAIL ADDRESS: STREET 1: 141 NEWTON STREET CITY: NEWTON STATE: MA ZIP: 02464-1505 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CITADEL L P CENTRAL INDEX KEY: 0001027745 IRS NUMBER: 364111741 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 131 S. DEARBORN STREET, 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3123952100 MAIL ADDRESS: STREET 1: 131 S. DEARBORN STREET, 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 SC 13G/A 1 v090901_sc13ga.htm Unassociated Document
CUSIP NO. 045235108
13G/A
Page 1 of 10
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
SCHEDULE 13G/A
(Rule 13d-102)
 
Information Statement Pursuant to Rules 13d-1 and 13d-2
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
 
 
Aspect Medical Systems, Inc. 
(Name of Issuer)
 
Common Stock
(Title of Class of Securities)
 
 
045235108
(CUSIP Number)
 
 
October 10, 2007
Date of Event Which Requires Filing of the Statement
 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
o Rule 13d-1(b)
x Rule 13d-1(c)
o Rule 13d-1(d)
 
*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 10
 
CUSIP NO. 045235108
13G/A
Page 2 of 10
 
 
1.
 
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
Citadel Limited Partnership
 
2.
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) x
(b) o
 
3.
 
SEC USE ONLY
 
4.
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware limited partnership
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
 
5.
 
SOLE VOTING POWER
0
 
6.
 
SHARED VOTING POWER
 
0 shares(1)
 
7.
 
SOLE DISPOSITIVE POWER
0
 
8.
 
SHARED DISPOSITIVE POWER
See Row 6 above.
 
9.
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
See Row 6 above.
 
10.
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES               o   
 
11.
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0% as of the date of this filing
 
12.
 
TYPE OF REPORTING PERSON
PN; HC

(1)
The Reporting Persons beneficially own certain contingently convertible securities (the “Convertible Securities”) that upon the satisfaction of certain conditions (the “Convertible Conditions”) would be convertible, at the current conversion rate, into 1,048,588 shares of common stock. The Convertible Conditions have not occurred as of the date of this filing.
 
Page 2 of 10
 
CUSIP NO. 045235108
13G/A
Page 3 of 10
 
 
1.
 
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
Citadel Investment Group, L.L.C.
 
2.
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) x
(b) o
 
3.
 
SEC USE ONLY
 
4.
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware limited liability company
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
 
5.
 
SOLE VOTING POWER
0
 
6.
 
SHARED VOTING POWER
 
0 shares(2)
 
7.
 
SOLE DISPOSITIVE POWER
0
 
8.
 
SHARED DISPOSITIVE POWER
See Row 6 above.
 
9.
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
See Row 6 above.
 
10.
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES               o   
 
11.
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0% as of the date of this filing
 
12.
 
TYPE OF REPORTING PERSON
OO; HC
 
(2)
See footnote 1 above.
 
Page 3 of 10
 
CUSIP NO. 045235108
13G/A
Page 4 of 10
 
 
1.
 
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
Kenneth Griffin
 
2.
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) x
(b) o
 
3.
 
SEC USE ONLY
 
4.
 
CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
 
5.
 
SOLE VOTING POWER
0
 
6.
 
SHARED VOTING POWER
 
0 shares(3)
 
7.
 
SOLE DISPOSITIVE POWER
0
 
8.
 
SHARED DISPOSITIVE POWER
See Row 6 above.
 
9.
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
See Row 6 above.
 
10.
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES                o   
 
11.
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0% as of the date of this filing
 
12.
 
TYPE OF REPORTING PERSON
IN; HC
 
(3)
See footnote 1 above.
 
Page 4 of 10
 
CUSIP NO. 045235108
13G/A
Page 5 of 10
 
 
1.
 
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
Citadel Equity Fund Ltd.
 
2.
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) x
(b) o
 
3.
 
SEC USE ONLY
 
4.
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands company
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
 
5.
 
SOLE VOTING POWER
0
 
6.
 
SHARED VOTING POWER
 
0 shares(4)
 
7.
 
SOLE DISPOSITIVE POWER
0
 
8.
 
SHARED DISPOSITIVE POWER
See Row 6 above.
 
9.
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
See Row 6 above.
 
10.
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES               o     
 
11.
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0% as of the date of this filing
 
 
12.
 
 
TYPE OF REPORTING PERSON
CO
 
(4)
See footnote 1 above.
 
Page 5 of 10
 
CUSIP NO. 045235108
13G/A
Page 6 of 10
 
Item 1(a)   Name of Issuer: Aspect Medical Systems, Inc.
 1(b)
   Address of Issuer’s Principal Executive Offices:
 
   
One Upland Road
   
Norwood, Massachusetts 02062
 
 
Item 2(a)   Name of Person Filing(5)
Item 2(b)   Address of Principal Business Office
Item 2(c)   Citizenship
   
   
Citadel Limited Partnership
   
131 S. Dearborn Street
   
32nd Floor
   
Chicago, Illinois 60603
   
Delaware limited partnership
   
   
Citadel Investment Group, L.L.C.
   
131 S. Dearborn Street
   
32nd Floor
   
Chicago, Illinois 60603
   
Delaware limited liability company
   
   
Kenneth Griffin
   
131 S. Dearborn Street
   
32nd Floor
   
Chicago, Illinois 60603
   
U.S. Citizen
     
   
Citadel Equity Fund Ltd.
   
c/o Citadel Investment Group, L.L.C.
   
131 S. Dearborn Street
   
32nd Floor
   
Chicago, Illinois 60603
   
Cayman Islands company
 
(5) Citadel Holdings Ltd., a Cayman Islands company (“CH”), is a subsidiary of Citadel Wellington LLC, a Delaware limited liability company (“CW”), and Citadel Kensington Global Strategies Fund Ltd., a Bermuda company (“CKGSF”). Citadel Equity Fund Ltd. (“CEF”) is a subsidiary of CH. None of CW, CKGSF or CH has any control over the voting or disposition of securities held by CEF.
 
Page 6 of 10
 
CUSIP NO. 045235108
13G/A
Page 7 of 10
 
2(d) Title of Class of Securities:
 
Common Stock, par value $0.01.
 
2(e) CUSIP Number:   045235108
 
Item 3  If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
 
 
(a)
[__]
Broker or dealer registered under Section 15 of the Exchange Act;
 
 
(b)
[__]
Bank as defined in Section 3(a)(6) of the Exchange Act;
 
 
(c)
[__]
Insurance company as defined in Section 3(a)(19) of the Exchange Act;
 
 
(d)
[__]
Investment company registered under Section 8 of the Investment Company Act;
 
 
(e)
[__]
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
 
 
(f)
[__]
An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
 
 
(g)
[__]
A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
 
 
(h)
[__]
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;
 
 
(i)
[__]
A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;
 
 
(j)
[__]
Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
 
If this statement is filed pursuant to Rule 13d-1(c), check this box. x
 
Item 4     Ownership:
 
CITADEL LIMITED PARTNERSHIP
CITADEL INVESTMENT GROUP, L.L.C.
KENNETH GRIFFIN
CITADEL EQUITY FUND LTD.
 
 
(a) Amount beneficially owned:
 
0 shares(6)
 
(6) See footnote 1 above
 
Page 7 of 10
 
CUSIP NO. 045235108
13G/A
Page 8 of 10
 
(b) Percent of Class: 
 
0% as of the date of this filing
 
(c) Number of shares as to which such person has:
 
(i)   sole power to vote or to direct the vote:
 
     
0
 
(ii)   shared power to vote or to direct the vote:
 
See Item 4(a) above.
 
(iii)  sole power to dispose or to direct the disposition of:
 
     
0
 
(iv)  shared power to dispose or to direct the disposition of:
 
See Item 4(a) above.
 
Item 5    Ownership of Five Percent or Less of a Class:

Not Applicable.

Item 6    Ownership of More than Five Percent on Behalf of Another Person:

Not Applicable.

Item 7    Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company:

See Item 2 above.

Item 8    Identification and Classification of Members of the Group:

Not Applicable.

Item 9    Notice of Dissolution of Group:

Not Applicable.
 
Page 8 of 10
 
CUSIP NO. 045235108
13G/A
Page 9 of 10
 
Item 10    Certification:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 
* John C. Nagel is signing on behalf of Kenneth Griffin as attorney-in-fact pursuant to a power of attorney previously filed with the Securities and Exchange Commission on February 24, 2006, and hereby incorporated by reference herein. The power of attorney was filed as an attachment to a filing by Citadel Limited Partnership on Schedule 13G for Morgans Hotel Group Co.
 
Page 9 of 10
 
CUSIP NO. 045235108
13G/A
Page 10 of 10
 
After reasonable inquiry and to the best of its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
 
Dated this 22nd day of October, 2007.

KENNETH GRIFFIN
 
By: /s/ John C. Nagel                    
John C. Nagel, attorney-in-fact*
 
CITADEL LIMITED PARTNERSHIP
 
By: Citadel Investment Group, L.L.C.,
its General Partner
 
By: /s/ John C. Nagel                   
John C. Nagel, Director and
Associate General Counsel
 
CITADEL EQUITY FUND LTD.
 
By: Citadel Limited Partnership,
its Portfolio Manager
 
By: Citadel Investment Group, L.L.C.,
its General Partner
 
By: /s/ John C. Nagel                  
John C. Nagel, Director and
Associate General Counsel
 
CITADEL INVESTMENT GROUP, L.L.C.
 
By: /s/ John C. Nagel                  
John C. Nagel, Director and
Associate General Counsel
 
 
Page 10 of 10
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