-----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, QpheNbXmsoSYR9eFPKTej3NM52BOoQ647rDzxnZIyROaijRa8Eu36VHuVlGiNQER okOnmoTEbHbozycTXjY3pA== 0000912057-02-006204.txt : 20020414 0000912057-02-006204.hdr.sgml : 20020414 ACCESSION NUMBER: 0000912057-02-006204 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HUTCHENS T WILLIAMS CENTRAL INDEX KEY: 0001134893 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 132 PALMER AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 6506251776 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CIPHERGEN BIOSYSTEMS INC CENTRAL INDEX KEY: 0000926617 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 330595156 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60711 FILM NUMBER: 02548008 BUSINESS ADDRESS: STREET 1: 490 SAN ANTONIO RD STREET 2: STE 201 CITY: PALO ALTO STATE: CA ZIP: 94306 BUSINESS PHONE: 6504963770 MAIL ADDRESS: STREET 1: 490 SAN ANTONIO ROAD CITY: PALO ALTO STATE: CA ZIP: 94304 FORMER COMPANY: FORMER CONFORMED NAME: ABIOTIC SYSTEMS DATE OF NAME CHANGE: 19950407 SC 13G/A 1 a2070846zsc13ga.htm SC 13G/A Prepared by MERRILL CORPORATION

 

SEC 1745 (6-01)

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 1)*

Ciphergen Biosystems, Inc.
(Name of Issuer)

Common Stock $0.001 par value
(Title of Class of Securities)

17252Y 10 4
(CUSIP Number)

December 31, 2001
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o

Rule 13d-1(b)

o

Rule 13d-1(c)

ý

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 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. 17252Y 10 4

 

 

 

1.

 

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

T. William Hutchens

 

2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)

(a) o

(b) o

 

3.

 

SEC Use Only

 

 

4.

 

Citizenship or Place of Organization

U.S.A.

 

Number of Shares
Beneficially
Owned
by Each

Reporting
Person With

5.

 

Sole Voting Power
1,297,849

 

6.

 

Shared Voting Power
34,400

 

7.

 

Sole Dispositive Power
1,297,849

 

8.

 

Shared Dispositive Power
34,400

 

9.

 

Aggregate Amount Beneficially Owned by Each Reporting Person

1,332,249

 

10.

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)


 

11.

 

Percent of Class Represented by Amount in Row (9)

4.92%

 

12.

 

Type of Reporting Person (See Instructions)

T. William Hutchens — IN

 

 

 

2



 

Item 1.



(a)

Name of Issuer     Ciphergen Biosystems, Inc.



(b)

Address of Issuer’s Principal Executive Offices

6611 Dumbarton Circle, Fremont, CA  94555



Item 2.



(a)

Name of Person Filing     T. William Hutchens



(b)

Address of Principal Business Office or, if none, Residence

132 Palmer Avenue, Mountain View, CA  94043



(c)

Citizenship     U.S.A.



(d)

Title of Class of Securities     Common Stock



(e)

CUSIP Number     17252Y 10 4



Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:



(a)

o

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).



(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).



(c)

o

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).



(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).



(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);



(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);



(g)

o

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);



(h)

o

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);



(i)

o

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

3



 



(j)

o

Group, in accordance with §240.13d-1(b)(1)(ii)(J).



Item 4.

Ownership.

 

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.



(a)

Amount beneficially owned:      1,332,249                                                  .



(b)

Percent of class:     4.92%                                          .



(c)

Number of shares as to which the person has:





(i)

Sole power to vote or to direct the vote     1,297,849.





(ii)

Shared power to vote or to direct the vote   34,400                         .





(iii)

Sole power to dispose or to direct the disposition of   1,297,849                       .





(iv)

Shared power to dispose or to direct the disposition of   34,400                        .

Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d3(d)(1).



Item 5.

Ownership of Five Percent or Less of a Class

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ý.

Instruction: Dissolution of a group requires a response to this item.



Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

 

If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.



 

4



 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company

 

If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.



Item 8.

Identification and Classification of Members of the Group

 

If a group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to §240.13d-1(c) or §240.13d-1(d), attach an exhibit stating the identity of each member of the group.



Item 9.

Notice of Dissolution of Group

 

Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.



Item 10.

Certification

 

 

(a)

 

The following certification shall be included if the statement is filed pursuant to §240.13d-1(b):

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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.



(b)

The following certification shall be included if the statement is filed pursuant to §240.13d-1(c):

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.

 

5



 

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 12, 2002

 

Date

 

 

 

/s/ T. William Hutchens

 

Signature

 

 

 

T. William Hutchens

 

Name/Title

 

 

The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature.

NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties for whom copies are to be sent.

 

 

 

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