-----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, LiRTOtByTTmOg4bMMwi6Xn3tKfhCl75Onk/9dT8J7ds0QpxATZ5kBXEGLMsuJlrk 5r6+8o0TBwkp+7P21jpbBw== 0001213643-03-000002.txt : 20030114 0001213643-03-000002.hdr.sgml : 20030114 20030110092527 ACCESSION NUMBER: 0001213643-03-000002 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030110 GROUP MEMBERS: GAM HOLDING AG FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GAM HOLDING AG CENTRAL INDEX KEY: 0001213643 IRS NUMBER: 000000000 STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: KLAUSTRASSE 10 CITY: ZURICH SWITZERLAND STATE: V8 ZIP: 999999999 MAIL ADDRESS: STREET 1: C/O GLOBAL ASSET MANAGEMENT USA INC STREET 2: 135 E 57TH ST CITY: NEW YORK STATE: NY ZIP: 10022 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEOPHARM INC CENTRAL INDEX KEY: 0000942788 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 510327886 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49690 FILM NUMBER: 03509788 BUSINESS ADDRESS: STREET 1: 150 FIELD DRIVE STREET 2: SUITE 195 CITY: LAKE FORREST STATE: IL ZIP: 60045 BUSINESS PHONE: 8472958678 MAIL ADDRESS: STREET 1: C/O WILSON SONSIN GOODRICH & ROSETI STREET 2: 650 PAGE MILL ROAD CITY: PALO ALTO STATE: CA ZIP: 94304 SC 13G 1 gamholding_sch13g-0103.txt SCHEDULE 13G SEC 1745 Potential persons who are to respond to the collection of (02-02) information contained in this form are not required to respond unless the form displays a currently valid OMB control number. OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response. . . 11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___________)* NEOPHARM, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 640919106 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2002 - -------------------------------------------------------------------------------- (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 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. 604919106 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). GAM Holding AG ------------------- - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) ............................................................. (b) ............................................................. 3. SEC Use Only 4. Citizenship or Place of Organization Switzerland ----------- Number of 5. Sole Voting Power Shares Beneficially 6. Shared Voting Power Owned by 1,026,400 Each Reporting ---------- Person With* 7. Sole Dispositive Power 8. Shared Dispositive Power 1,026,400 --------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,026,400 ------------ 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) 11. Percent of Class Represented by Amount in Row (9) 6.28% --------- 12. Type of Reporting Person (See Instructions) HC ---- *GAM Holding AG disclaims beneficial ownership of such securities. Item 1. (a) Name of Issuer Neopharm, Inc. -------------- (b) Address of Issuer's Principal Executive Offices 150 Field Drive, Suite 195, Lake Forest, Illinois 60045 Item 2. (a) Name of Person Filing GAM Holding AG -------------- Address of Principal Business Office or, if none, Residence (b) Klaustrasse 10, 8008 Zurich, Switzerland ---------------------------------------- (c) Citizenship Switzerland ------------ (d) Title of Class of Securities Common Stock -------------- (e) CUSIP Number 640919106 ---------- Item 3. If this statement is filed pursuant to ss.ss.240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: [ ] (a) Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). [ ] (b) Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). [ ] (c) Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). [ ] (d) Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). [ ] (e) An investment adviser in accordance withss.240.13d-1(b)(1)(ii)(E); [ ] (f) An employee benefit plan or endowment fund in accordance withss.240.13d-1(b)(1)(ii)(F); [ ] (g) A parent holding company or control person in accordance withss.240.13d-1(b)(1)(ii)(G); [ ] (h) A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); [ ] (i) 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); [ ] (j) Group, in accordance withss.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: 1,026,400 --------- (b) Percent of class: 6.28% ----- (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote ------------- (ii) Shared power to vote or to direct the vote 1,026,400 ------------- (iii) Sole power to dispose or to direct the disposition of ------------- (iv) Shared power to dispose or to direct the disposition of 1,026,400 -------------
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 [ ]. 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 or Control Person. GAM International Management Limited Global Asset Management Limited, London No subsidiary of GAM Holding AG holds more than 5% of the outstanding voting securities. Item 8. Identification and Classification of Members of the Group Not Applicable Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification The following certification shall be included if the statement is filed pursuant to ss.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. 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. January 10, 2003 -------------------------------- Date /s/ Mario Cueni -------------------------------- Signature Mario Cueni, Vice Chairman of GAM Holding AG ----------------------------------------------- Name/Title January 10, 2003 -------------------------------- Date /s/ Gabriel Herrera -------------------------------- Signature Gabriel Herrera, Board Member of GAM Holding AG ----------------------------------------------- Name/Title
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