-----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, NwZ//1VUkq2hdhBCz6iCnWd4MabyDPEk2kZboq7ZkJ9PZOV37KTnqPI5J2unKvf/ xFI7A6Gyb7htcyKAixrvAQ== 0000902595-04-000052.txt : 20041007 0000902595-04-000052.hdr.sgml : 20041007 20041007173619 ACCESSION NUMBER: 0000902595-04-000052 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20041007 DATE AS OF CHANGE: 20041007 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BRANTROCK ADVISORS INC CENTRAL INDEX KEY: 0001218528 IRS NUMBER: 954639994 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 9465 WILSHIRE BLVD. CITY: BEVERLY HILLS STATE: CA ZIP: 90212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: VALENTIS INC CENTRAL INDEX KEY: 0000932352 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 943156660 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-53479 FILM NUMBER: 041070939 BUSINESS ADDRESS: STREET 1: 863A MITTEN RD CITY: BURLINGAME STATE: CA ZIP: 94010 BUSINESS PHONE: 6506971900 MAIL ADDRESS: STREET 1: 863A MITTEN ROAD CITY: BURLINGAME STATE: CA ZIP: 94010 FORMER COMPANY: FORMER CONFORMED NAME: MEGABIOS CORP DATE OF NAME CHANGE: 19960716 SC 13G 1 schedule13g.txt SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 VALENTIS, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 91913E02 (CUSIP Number) SEPTEMBER 29, 2004 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [x] Rule 13d-1(c) [ ] Rule 13d-1(d) - -------- 1 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 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). - ------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Brantrock Advisors, Inc. - ------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3. SEC USE ONLY - ------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 911,824 Shares Common Stock BENEFICIALLY ---------------------------------------------------------- OWNED BY 6. SHARED EACH -0- REPORTING ---------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 911,824 Shares Common Stock ---------------------------------------------------------- 8. SHARED DISPOSITIVE POWER -0- - ------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 911,824 Shares Common Stock - ------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.92 % of Common Stock (see responses to Item 4) - ------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO/IA - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! ITEM 1(a). NAME OF ISSUER: Valentis, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 863A Mitten Road Burlingame, CA 94010 ITEM 2(a). NAME OF PERSONS FILING: Brantrock Advisors, Inc. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE: 9465 Wilshire Boulevard Suite 900 Beverly Hills, CA 90212 ITEM 2(c). CITIZENSHIP: California ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(e). CUSIP NUMBER: 91913E02 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 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; Not applicable. (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act; Not applicable. (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act; Not applicable. (d) [ ] Investment company registered under Section 8 of the Investment Company Act; Not applicable. (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); Not applicable. (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); Not applicable. (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); Not applicable. (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; Not applicable. (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; Not applicable. (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Not applicable. If this statement is filed pursuant to Rule 13d-1(c), check this box. [ ] Not applicable. ITEM 4. OWNERSHIP (a) Amount beneficially owned: 911,824 shares Common Stock. (b) Percent of class: 6.92 % of Common Stock. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 911,824 shares of Common Stock. (ii) Shared power to vote or to direct the vote: None. (iii) Sole power to dispose or direct the disposition of: 911,824 shares of Common Stock. (iv) Shared power to dispose or to direct the disposition of: None. 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 Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. Item 10. Certifications. 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. 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. Dated this 5th day of October, 2004. Brantrock Advisors, Inc. By: /s/ /THOMAS SPIEGEL ____________________________ Thomas Spiegel Chief Executive Officer -----END PRIVACY-ENHANCED MESSAGE-----