-----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, QXPTRVZB0RGqRNXZUpbRQ3XMNNEGXSOFyM7R2pfqr2lvYJfhFvNcBGkatsfm0RfO OAUTyyfCpzyyZZXIhuiaKA== 0000950146-98-001514.txt : 19980904 0000950146-98-001514.hdr.sgml : 19980904 ACCESSION NUMBER: 0000950146-98-001514 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980701 FILED AS OF DATE: 19980903 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PATHOGENESIS CORP CENTRAL INDEX KEY: 0001001186 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 911542150 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: SEC FILE NUMBER: 000-27150 FILM NUMBER: 98703926 BUSINESS ADDRESS: STREET 1: 201 ELLIOT AVE W CITY: SEATTLE STATE: WA ZIP: 98119 BUSINESS PHONE: 2064678100 MAIL ADDRESS: STREET 1: 201 ELLIOT AVE WEST CITY: SEATTLE STATE: WA ZIP: 98119 COMPANY DATA: COMPANY CONFORMED NAME: WILPON FRED ET AL CENTRAL INDEX KEY: 0001008490 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4/A BUSINESS ADDRESS: STREET 1: 575 FIFTH AVE STREET 2: C/O STERLING PATHOGENESIS CO CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2129534000 4/A 1 AMENDMENT TO FORM 4 ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b) ================================================================================ 1. Name and Address of Reporting Person* Wilpon, Fred - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Sterling PathoGenesis Company 575 Fifth Avenue - -------------------------------------------------------------------------------- (Street) New York New York 10017 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol PathoGenesis Corporation ("PGNS") ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year ================================================================================ 5. If Amendment, Date of Original (Month/Year) July 1998 ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [_] Officer (give title below) [_] Other (specify below) ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by One Reporting Person [_] Form filed by More than One Reporting Person ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $.001 per share 19,000 D(1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ 778,750 I (3) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one reporting person, see Instruction 4(b)(v). (Print or Type Responses) (over) SEC 1474 (7/96) 2103331.wpd FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- Form of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Includes 9,000 shares of common stock held jointly by Reporting Person and his spouse. (2) Includes 10,000 shares of common stock held jointly by the Reporting Person and a partner in Sterling PathoGenesis Company ("Sterling"). The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest. (3) Held by Sterling, of which the Reporting Person is managing partner. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest. Certain other partners in Sterling hold securities of the Issuer outside of Sterling. /s/ Fred Wilpon 9/2/1998 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. SEC 1474 (7/96) Page 2 SEC 1474 (7/96) -----END PRIVACY-ENHANCED MESSAGE-----