0001041885-11-000082.txt : 20111219 0001041885-11-000082.hdr.sgml : 20111219 20111219150351 ACCESSION NUMBER: 0001041885-11-000082 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20111219 DATE AS OF CHANGE: 20111219 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALSERES PHARMACEUTICALS INC /DE CENTRAL INDEX KEY: 0000094784 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 870277826 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-07548 FILM NUMBER: 111269055 BUSINESS ADDRESS: STREET 1: 239 SOUTH STREET CITY: HOPKINTON STATE: MA ZIP: 01748 BUSINESS PHONE: 508-497-2360 MAIL ADDRESS: STREET 1: 239 SOUTH STREET CITY: HOPKINTON STATE: MA ZIP: 01748 FORMER COMPANY: FORMER CONFORMED NAME: BOSTON LIFE SCIENCES INC /DE DATE OF NAME CHANGE: 19950706 FORMER COMPANY: FORMER CONFORMED NAME: GREENWICH PHARMACEUTICALS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: STRATEGIC MEDICAL RESEARCH CORP /DE DATE OF NAME CHANGE: 19790521 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GIPSON ROBERT L CENTRAL INDEX KEY: 0000904389 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: C/O INGALLS & SNYDER LLC STREET 2: 61 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10006 SC 13D/A 1 alseres13dargdec11.txt Schedule 13D/A ------------------------------------------- OMB APPROVAL ------------------------------------------- OMB Number: Expires: Estimated average burden hours per form................... ------------------------------------------- UNITED STAES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No._11__________)* Alseres Pharmaceuticals, Inc. -------------------------------------------------------------------------------- (Name of Issuer) Common -------------------------------------------------------------------------------- (Title of Class of Securities) 021152103 -------------------------------------------------------------------------------- (CUSIP Number) Robert L. Gipson c/o Ingalls & Snyder LLC 61 Broadway New York, NY 10006 (212) 269-7827 -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 16, 2011 -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement of Schedule 13G to report the acquisition which is the subject of the Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ]. *The remainder of this cover page shall be filed 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 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). (Continued on following page(s)) CUSIP No.021152103 13D/A -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Robert L. Gipson -------------------------------------------------------------------------------- 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 U.S.A. -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 15,376,004 BENEFICIALLY -------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH 0 REPORTING -------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 15,376,004 -------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,376,004 -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 51% -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------------- The following Items are amended and restated in their entirety: Item 1. Security and Issuer Common Stock, $0.01 par value per share ("Common Stock") Alseres Pharmaceuticals, Inc. 239 South Street Hopkinton, MA 01748 Item 2. Identity and Background (a)Robert L. Gipson (b)Business address and principal office for the Reporting Person: c/o Ingalls & Snyder LLC 61 Broadway New York, NY 10006 (c)Present principal occupation or employment and the name, principal business and address where employment occurs. Gipson is a Senior Director of Ingalls & Snyder, LLC, a broker dealer and investment advisor. (d) & (e) Involvement in certain legal proceedings: During the last five years,the Reporting Person has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). During the last five years the reporting person was not a party to a civil proceeding of a judicial or administrative body of competent jurisdiction, and is not subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federalor state securities laws or finding any violation with respect to such laws. (f)Citizenship: U.S. citizen. Item 3. Source and Amount of Funds or Other Consideration. Personal funds. The agregate purchase price for the 15,376,004 common shares, and $13,000,000 convertible notes was $32,541,588. Item 4. Purpose of Transaction Investment. Item 5. Interest in Securities of the Issuer (a) Mr. Gipson is the beneficial owner of and has sole power to vote and dispose of the 15,376,004 shares of Common Stock that he owns directly. These shares constitute 51% of the outstanding common shares of Alseres. Gipson also owns $13,000,000 Alseres Convertible Notes convertible into 5,891,222 shares of Alseres common stock. These Notes are not currently convertible into Alseres common due to restricitions in the Note terms and covenants. (d) Not applicable. (e) Item 6.Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None Item 7. Material to be Filed as Exhibits. None Incorporate by reference the original 13D. 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. Date: December 19, 2011 /s/ Robert L. Gipson ROBERT L. GIPSON