-----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, Ax2boAU8UsL+ECKO0q/uZYx1VBfMxtaXWX9LUSwb27hc/SCmJPwYXALgcaHhn851 MQOuUAc68bnfLYg55o34VA== 0000914760-07-000155.txt : 20070913 0000914760-07-000155.hdr.sgml : 20070913 20070912190916 ACCESSION NUMBER: 0000914760-07-000155 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070913 DATE AS OF CHANGE: 20070912 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENVEC INC CENTRAL INDEX KEY: 0000934473 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 232705690 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60289 FILM NUMBER: 071114243 BUSINESS ADDRESS: STREET 1: 65 W WATKINS MILL RD CITY: GAITHERSBURG STATE: MD ZIP: 20878 BUSINESS PHONE: 2406320740 MAIL ADDRESS: STREET 1: 65 W WATKINS MILL RD CITY: GAITHERSBURG STATE: MD ZIP: 20878 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Landesbank Berlin AG CENTRAL INDEX KEY: 0001377054 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ALEXANDERPLATZ 2 CITY: BERLIN STATE: 2M ZIP: 10178 BUSINESS PHONE: 30 245-62562 MAIL ADDRESS: STREET 1: ALEXANDERPLATZ 2 CITY: BERLIN STATE: 2M ZIP: 10178 SC 13D/A 1 l745901_3da1.htm AMENDMENT NO. 1

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 1)

GenVec, Inc.

(Name of Issuer)

 

Common Stock, par value $.001 per share

(Title of Class of Securities)

 

37246C109

(CUSIP Number)

 

Anthony Chrampanis

Landesbank Berlin AG

Alexanderplatz 2

D-10178 Berlin

Germany

+49 30 2456 1239

 

(Name, Address and Telephone Number of Person Authorized to

Receive Notices and Communications)

 

August 8, 2007

(Date of Event which Requires Filing of this Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-l(e), 240.13d-l(f) or 240.13d-l(g), check the following box. o

 


CUSIP No. [ 37246C109 ]

 

 

1.

Names of Reporting Persons.

 

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

 

Landesbank Berlin AG

 

 

IRS No.

 

2.

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

 

(a)

o

 

(b)

o

 

 

3.

SEC Use Only  

 

 

4.

Source of funds (See Instructions)

WC

 

5.           Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o

 

 

 

6.

Citizenship or Place of Organization

 

Federal Republic of Germany

 

 

Number of

7.

Sole Voting Power: 5,220,000

Shares Bene-

ficially

8.

Shared Voting Power:

Owned by Each

Reporting

9.

Sole Dispositive Power: 5,220,000

Person with:

 

10.

Shared Dispositive Power:

 

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

 

5,220,000

 

12.         Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

o

 

 

 

13.

Percent of Class Represented by Amount in Row (11)

6.9%

 

 

 

14.

Type of Reporting Person (See Instructions)

BK

 

 

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                This Amendment No. 1 amends and supplements items 2, 3, 4 and 5 of the Statement on Schedule 13D (the “Previous Schedule 13D”) of Landesbank Berlin AG (“LB”), a wholly owned subsidiary of Landesbank Berlin Holding AG (the "Parent"), which is in turn controlled by Erwerbsgesellschaft der S-Finanzgruppe mbH & Co. KG, a German limited partnership (the “Partnership”), with respect to the shares of Common Stock, par value $.001 per share (the "Common Stock"), of GenVec, Inc. (the “Company"). Statements by LB and the Parent in the Previous Schedule 13D that are not modified in this amendment are not amended and remain as previously reported.

 

Item 2. Identity and Background

The general partner of the Partnership is Regionalverbandsgesellschaft mbH, a German limited liability company (“RVG”) owned by several German regional savings bank associations. The principal offices of both the Partnership and RVG are located at Charlottenstrasse 47, D-10117 Berlin, Federal Republic of Germany. Annex C hereto sets forth the name, address and principal occupation of each of the Executive Directors of RVG. Based on the information about such Executive Directors that is available to the Parent and LB pursuant to German law, neither the Parent nor LB is aware of any information to the effect that any such person has during the last five years been a party to any criminal or civil proceeding. All of the individuals listed on Annex C are citizens of the Federal Republic of Germany.

 

The amendment to Annex A attached hereto sets forth the name, address and principal occupation of each director and executive officer of LB. Based on the information about the persons listed on Annex A that is available to the Parent and LB pursuant to German labor law (including a police certificate of no criminal record), neither the Parent nor LB is aware of any information to the effect that any such person has during the last five years been party to any criminal or civil proceeding. All of the individuals listed on Annex A are citizens of the Federal Republic of Germany.

 

Item 3. Source and Amount of Funds or Other Consideration

 

The source of the funds used by LB to purchase the shares of Common Stock reported as held by LB in Item 5 of this Statement on Schedule 13D was working capital, and LB anticipates that its source of funds to purchase any further shares of Common Stock will also be working capital.

 

Item 4. Purpose of Transaction

 

Item 4 of the Previous Schedule 13D is hereby amended in its entirety to read as follows:

On August 8, 2007, the Partnership acquired approximately 81% of the common voting stock of the Parent from the Land Berlin (the State of Berlin) and became the controlling person of the Parent and LB.

The shares of Common Stock held by LB were acquired for the purpose of investment. Depending upon the Company's business and prospects, and upon future developments, LB may from time to time purchase additional shares of Common Stock, dispose of all or a portion of the shares of Common Stock that LB holds or cease buying or selling shares of Common Stock. Factors that may influence LB’s decision to purchase additional shares or to sell all or a portion of its holdings include, but are not limited to, the performance of the shares of Common Stock in the market, the Company’s economic performance and prospects, LB’s assessment of decisions by the Company’s Board of Directors concerning the Company’s capital structure and business strategies, the availability of funds, alternative uses of funds, stock and money market conditions and general economic conditions. Any additional purchases or sales of the shares of Common Stock may be in the open market, in privately negotiated transactions or otherwise.

 

LB has not formulated any plans or proposals that relate to or would result in the kind of transactions specified in items 4(a) through (j) of Schedule 13D. LB will review its investment in the Company from time to time and reserves the right to take or not take any action it deems to be in its best interest or to change its intentions as set forth in this Item 4.

 

Item 5. Interest in Securities of the Issuer

 

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According to the Company’s filing on Form 10-Q made on August 9, 2007, as of July 31, 2007 there were 75,365,992 shares of Common Stock outstanding. The percentage set forth in this Item 5 is derived using such number.

 

(a) LB owns 5,220,000 shares of the Common Stock, representing approximately 6.9% of the outstanding shares of Common Stock

(b) LB has sole power to vote and to dispose of the shares of Common Stock owned by it.

(c) LB has not engaged in any transactions in the Common Stock in the last 60 days, nor did it engage in any transactions in the Common Stock during the 60 days preceding August 8, 2007.

(d) and (e) Inapplicable.

 

 

.

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Signature

After reasonable inquiry and to the best of the undersigned’s knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

Date: September 12, 2007

 

 

 

LANDESBANK BERLIN AG

 

 

By: /s/ Dirk Kipp

 

Name: Dirk Kipp

 

Title:

Managing Director

 

 

By: /s/ Anthony Chrampanis

 

Name: Anthony Chrampanis

 

Title:

 

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Annex A

 

Unless otherwise indicated, the business address for all individuals listed in this Annex A is Landesbank Berlin AG, Alexanderplatz 2, D-10178 Berlin, Federal Republic of Germany.

 

Landesbank Berlin AG

 

Members of the Managing Board

Name and Address

Principal Occupation

Hans-Jörg Vetter

Chairman of the Managing Board of
Landesbank Berlin AG

Serge Demolière

Member of the Managing Board of
Landesbank Berlin AG

Dr. Johannes Evers

Member of the Managing Board of
Landesbank Berlin AG

Hans Jürgen Kulartz

Member of the Managing Board of
Landesbank Berlin AG

Martin Klaus Müller

Member of the Managing Board of
Landesbank Berlin AG

Dr. Thomas Veit

Member of the Managing Board of
Landesbank Berlin AG

 

Executive Officers

Name and Address

Principal Occupation

Alt, Volker
Landesbank Berlin AG
Recht
Alexanderplatz 2
D-10178 Berlin

Managing Director of Landesbank Berlin AG

Berentin, Ronald
Landesbank Berlin AG
Berliner Sparkasse
Kredit Firmenkunden und Privatkunden
Brunnenstraße 111
D-13355 Berlin

Managing Director of Landesbank Berlin AG

 

 

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Name and Address

Principal Occupation

Boenke, Frank-Michael
Landesbank Berlin AG
Compliance
Brunnenstraße 111
D-13355 Berlin

Managing Director of Landesbank Berlin AG

Brummel, Beate
Landesbank Berlin AG
Kreditbereich Kapitalmarkt
Strukturierte Finanzierungen/Projektfinanzierungen
Alexanderplatz 2
D-10178 Berlin

Managing Director of Landesbank Berlin AG

Burmester, Dr. Christian
Landesbank Berlin AG
London Branch
1 Crown Court
Cheapside
GB-London EC2V 6LR

General Manager of Landesbank Berlin AG
London Branch

Butzer, Arnold
Landesbank Berlin AG
Vertrieb Immobilienfinanzierung
Berlin und Neue Bundesländer
Corneliusstr, 7
D-10787 Berlin

Managing Director of Landesbank Berlin AG

Gottschalk, Gudrun
Landesbank Berlin AG
Datenschutz und Geldwäsche
Brunnenstr. 111
D-13355 Berlin

Managing Director of Landesbank Berlin AG

Hirschhaeuser, Dr. Karl-Friedrich
Landesbank Berlin AG
Risikocontrolling
Brunnenstraße 111
D-13355 Berlin

Managing Director of Landesbank Berlin AG

Jänichen, Michael
Landesbank Berlin AG
Berliner Sparkasse
Firmenkunden
Badensche Str. 23
D-10715 Berlin

Managing Director of Landesbank Berlin AG

 

 

-7-

 


Name and Address

Principal Occupation

Jordan, Axel
Landesbank Berlin AG
Kredit Immobilien
Corneliusstraße 7
D-10787 Berlin

Managing Director of Landesbank Berlin AG

Kipp, Dirk
Landesbank Berlin AG
Treasury & Trading
Alexanderplatz 2
D-10178 Berlin

Managing Director of Landesbank Berlin AG

Lange, Axel
Landesbank Berlin AG
Kreditbereich IBAG/IBG
Hardenbergstr. 20
D-10623 Berlin

Managing Director of Landesbank Berlin AG

Papesch, Uwe
Landesbank Berlin AG
Client Business
Alexanderplatz 2
D-10178 Berlin

Managing Director of Landesbank Berlin AG

Pritzsche, Wolfgang
Landesbank Berlin AG
Finanzen
Brunnenstraße 111
D-13355 Berlin

Managing Director of Landesbank Berlin AG

Reutter, Dr. Georg
Landesbank Berlin AG
Vertrieb Immobilienfinanzierung
Alte Bundesländer
Corneliusstr, 7
D-10787 Berlin

Managing Director of Landesbank Berlin AG

Richardt, Claus-Günther
Landesbank Berlin AG
Berliner Sparkasse
Vermögensanlagen
Badensche Str. 23
D-10715 Berlin

Managing Director of Landesbank Berlin AG

Roller, Gerhard
Landesbank Berlin AG
Internationales Geschäft
Alexanderplatz 2
D-10178 Berlin-

Managing Director of Landesbank Berlin AG

 

 

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Name and Address

Principal Occupation

Scheer, Heinz-Günter
Landesbank Berlin AG
Unternehmensentwicklung
Alexanderplatz 2
D-10178 Berlin

Managing Director of Landesbank Berlin AG

Schölper, Siegfried
Landesbank Berlin AG
Controlling
Alexanderplatz 2
D-10178 Berlin

Managing Director of Landesbank Berlin AG

Schroeder, Bartho
Landesbank Berlin AG
Business Management
Alexanderplatz 2
D-10178 Berlin

Managing Director of Landesbank Berlin AG

Thanheiser, Michael
Landesbank Berlin AG
Berliner Sparkasse
Privatkunden
Badensche Str. 23
D-10715 Berlin

Managing Director of Landesbank Berlin AG

 

 

-9-

 


Annex C

Regionalverbandsgesellschaft mbH

Executive Directors

Unless otherwise indicated, the business address for all individuals listed in this Annex C is Regionalverbandsgesellschaft mbH, Charlottenstrasse 47, D-10117 Berlin, Federal Republic of Germany.

Name and Address

Principal Occupation

Dr. Karl-Peter Schackmann-Fallis

Executive Member of the Board of the Deutscher Sparkassen- und Giroverbandes e.V. (German savings bank association) (“DSGVeV”)

Carsten Steffan

Department Head at DSGVeV

Heinrich Haasis

President of DSGVeV

 

 

 

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