-----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, UXko8D0Jt2yoZOuMmUZPNp500NdRoJTIrFJUCbnsUgdbSgo/plZ3oTlpPKa1QHr/ JaKX/HLVPkIax5IHYeWsFw== 0000922423-02-000211.txt : 20020414 0000922423-02-000211.hdr.sgml : 20020414 ACCESSION NUMBER: 0000922423-02-000211 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020214 COMPANY DATA: COMPANY CONFORMED NAME: RUDICK A JOSEPH CENTRAL INDEX KEY: 0001076654 DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 150 RBROADWAY SUITE 1100 CITY: NEW YORK STATE: NY ZIP: 10038 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ATLANTIC TECHNOLOGY VENTURES INC CENTRAL INDEX KEY: 0001001316 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 363898269 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27282 FILM NUMBER: 02547087 BUSINESS ADDRESS: STREET 1: 1017 MAIN CAMPUS DRIVE STREET 2: SUITE 3900 CITY: RALEIGH STATE: NC ZIP: 27606 BUSINESS PHONE: 9195137020 MAIL ADDRESS: STREET 1: 1017 MAIN CAMPUS DRIVE STREET 2: SUITE 3900 CITY: RALEIGH STATE: NC ZIP: 27605 FORMER COMPANY: FORMER CONFORMED NAME: ATLANTIC PHARMACEUTICALS INC DATE OF NAME CHANGE: 19960703 5 1 kl02040_form5.txt FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |_| Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |_| Form 3 Holdings Reported |_| Form 4 Transactions Reported 1. Name and Address of Reporting Person Rudick, A. Joseph c/o Atlantic Technology Ventures, Inc. 350 Fifth Avenue, Suite 5507 New York, NY 10118 2. Issuer Name and Ticker or Trading Symbol Atlantic Technology Ventures, Inc. ("ATLC.OB") 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year December 2001 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Reporting (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 | - -----------------------------------------------------------------------------------------------------------------------------------| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Transaction| or Disposed of (D) | Securities |ect | Beneficial Ownership | |Date |Code| (Instr.3,4 and 5) | Beneficially |(D)or | (Instr. 4) | | |(Ins| | A/| | Owned at |Indir | | | |tr.8) Amount | D | Price | End of Year |ect(I)| | | | | | | (Instr. 3 and 4) |(Ins | | | | | | | | tr.4)| | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. *If form is filed by more than one reporting person, see instruction 4(b)(v). (Over) SEC 2270(7-96) FORM 5 (continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ----------------------------------------------------------------------------------------------------------------------------------- Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | - -----------------------------------------------------------------------------------------------------------------------------------| 1.Title of Derivative |2.Con |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | |(In | red(A) or Dis |Date(Month/| (Instr. 3 and 4 |Secu |Securities |(D)|Ownership | |ice of | |str.| posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva | | 8) | (Instr.3,4 and|Date |Expir| |(Instr.|ficially |Ind| | |tive | | | 5) | |Exer-|ation| Title and Number | 5) |Owned at |ire| | |Secu | | | | |cisa-|Date | of Shares | |End of |ct | | |rity | | | A | D |ble | | | |Year |(I)| | | | | | | | | | | |(Instr. 4) |(Instr. 4) | - -----------------------------------------------------------------------------------------------------------------------------------| Option (Right to buy) | 0.875 |2/20/| A | 100,000 | | (1) |2/20/|Common Stock|100,000| | 143,666 | D | | | |01 | | | | |11 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (Right to buy) | 0.875 |2/20/| A | 25,000 | | (1) |2/20/|Common Stock| 25,000| | 143,666 | D | | | |01 | | | | |11 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------|
Explanation of Responses: (1) The option becomes exercisable in four equal annual installments upon optionee's completion of each successive year of service beginning on each of the first, second, third and fourth anniversaries of the grant date specified in Column 3. /s/ A. Joseph Rudick February 14, 2002 ------------------------------- --------------- **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. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 of 2 -----END PRIVACY-ENHANCED MESSAGE-----