-----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, URK+vPGeB1dRcXe0jVw4QoohgH569O3xs31lOsTqBFk2PIM9+mPmxEqbjC2gc2Yh 1x6TQ6dkV/Mm3/wjT4up4Q== 0000950123-04-002030.txt : 20040218 0000950123-04-002030.hdr.sgml : 20040218 20040218171216 ACCESSION NUMBER: 0000950123-04-002030 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040218 GROUP MEMBERS: BRUCE BERNSTEIN GROUP MEMBERS: OLIVIER MORALI GROUP MEMBERS: OMICRON CAPITAL, INC. GROUP MEMBERS: OMICRON CAPITAL, L.P. GROUP MEMBERS: OSKAR P. LEWNOWSKI GROUP MEMBERS: WINCHESTER GLOBAL TRUST COMPANY LIMITED FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OMICRON MASTER TRUST CENTRAL INDEX KEY: 0001217111 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: WINCHESTER GLOBAL TRUST CO STREET 2: WILLIAMS HOUSE, 20 REID STREET CITY: HAMILTON STATE: A1 ZIP: 00000 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-53479 FILM NUMBER: 04613880 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/A 1 y94234sc13gza.txt AMENDMENT NO. 2 TO FORM SCHEDULE 13G SCHEDULE 13G CUSIP NO. 91913E302 PAGE 1 OF 13 PAGES UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* Valentis, Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 91913E302 (CUSIP Number) December 31, 2003 (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) *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). SCHEDULE 13G CUSIP NO. 91913E302 PAGE 2 OF 13 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Omicron Master Trust - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] (B)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Bermuda - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY --------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON -0- WITH: --------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 91913E302 PAGE 3 OF 13 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Omicron Capital, L.P. 52-2057093 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] (B)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY --------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON -0- WITH: --------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 91913E302 PAGE 4 OF 13 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Omicron Capital, L.P. 52-2032702 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] (B)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY --------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON -0- WITH: --------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 91913E302 PAGE 5 OF 13 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Bruce Bernstein - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] (B)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY --------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON -0- WITH: --------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 91913E302 PAGE 6 OF 13 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Olivier Morali - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] (B)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION France - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY --------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON -0- WITH: --------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 91913E302 PAGE 7 OF 13 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Winchester Global Trust Company Limited - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] (B)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Bermuda - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY --------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON -0- WITH: --------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 91913E302 PAGE 8 OF 13 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Oskar P. Lewnowski - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] (B)[ ] (See Item 6) - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Austria - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY --------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON -0- WITH: --------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 91913E302 PAGE 9 OF 13 PAGES Item 1(a). Name of Issuer: Valentis, Inc. (the "Issuer") Item 1(b). Address of Issuer's Principal Executive Offices: 863A Mitten Road Burlingame, California 94010 Item 2(a). Names of Persons Filing: Omicron Master Trust ("Omicron Trust") Omicron Capital, L.P. ("Omicron Capital") Omicron Capital, Inc. ("OCI") Bruce Bernstein ("Bernstein") Olivier Morali ("Morali") Winchester Global Trust Company Limited ("WGTCL") Oskar P. Lewnowski ("Lewnowski") Item 2(b). Address of Principal Business Office: Omicron Trust - c/o Olympia Capital International Inc., Williams House, 20 Reid Street, Hamilton HM11, Bermuda Omicron Capital - 153 E. 53rd Street, 48th Floor, New York, New York 10022 OCI - 153 E. 53rd Street, 48th Floor, New York, New York 10022 Bernstein - 153 E. 53rd Street, 48th Floor, New York, New York 10022 Morali - 153 E. 53rd Street, 48th Floor, New York, New York 10022 WGTCL - c/o Winchester Fiduciary Limited, Williams House, 20 Reid Street, Hamilton HM11, Bermuda Lewnowski - c/o Winchester Fiduciary Limited, Williams House, 20 Reid Street, Hamilton HM11, Bermuda Item 2(c). Place of Organization or Citizenship: Omicron Trust - Bermuda Omicron Capital - Delaware OCI - Delaware Bernstein - United States of America Morali - France WGTCL - Bermuda Lewnowski - Austria Item 2(d). Title of Class of Securities: Common Stock, $.001 par value per share of the Issuer (the "Common Stock") Item 2(e). CUSIP Number: 91913E302 Item 3. This Schedule is filed pursuant to Rule 13d-1(c) by Omicron Trust, Omicron Capital, OCI, Bernstein, Morali, WGTCL and Lewnowski. Item 4. Ownership: SCHEDULE 13G CUSIP NO. 91913E302 PAGE 10 OF 13 PAGES (a) Amount Beneficially Owned: Omicron Trust: 0 shares* Omicron Capital: 0 shares* OCI: 0 shares* Morali: 0 shares* Bernstein: 0 shares WGTCL: 0 shares* Lewnowski: 0 shares* (b) Percent of Class: Omicron Partners: 0% Omicron Capital: 0% OCI: 0% Bernstein: 0% Morali: 0% WGTCL: 0% Lewnowski: 0% (c) Number of Shares as to which the Person has: (i) sole power to vote or to direct the vote -0- (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of -0- (iv) shared power to dispose or to direct the disposition of -0- 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 each of the Reporting Persons ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X] 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 SCHEDULE 13G CUSIP NO. 91913E302 PAGE 11 OF 13 PAGES Item 8. Identification and Classification of Members of the Group: Not applicable Item 9. Notice of Dissolution of Group: Not applicable Item 10. Certification: By signing below I certify that, to the best of its 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. Exhibits: Exhibit I: Joint Filing Agreement, dated as of February 7, 2003, by and among Omicron Trust, Omicron Capital, OCI, Bernstein, Morali, WGTCL and Lewnowski (incorporated herein by reference to the exhibit with the same number filed with Schedule 13G filed by the persons reporting on this Amendment No. 2). SCHEDULE 13G CUSIP NO. 91913E302 PAGE 12 OF 13 PAGES SIGNATURE By signing below each signatory certifies that, to the best of its 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. Date: February 13, 2004 OMICRON MASTER TRUST By: OMICRON CAPITAL, L.P., Investment Manager By: OMICRON CAPITAL, INC., General Partner By: /s/ Olivier H. Morali ---------------------------- Olivier H. Morali Title: President OMICRON CAPITAL, L.P. By: OMICRON CAPITAL, INC., General Partner By: /s/ Olivier H. Morali ---------------------------- Olivier H. Morali Title: President OMICRON CAPITAL, INC. By: /s/ Olivier H. Morali ---------------------------- Olivier H. Morali Title: President /s/ Bruce Bernstein ---------------------------- Bruce Bernstein /s/ Olivier H. Morali ---------------------------- Olivier H. Morali SCHEDULE 13G CUSIP NO. 91913E302 PAGE 13 OF 13 PAGES WINCHESTER GLOBAL TRUST COMPANY LIMITED By: /s/ Oskar P. Lewnowski ---------------------------- Oskar P. Lewnowski Title: Chairman /s/ Oskar P. Lewnowski ---------------------------- Oskar P. Lewnowski -----END PRIVACY-ENHANCED MESSAGE-----