-----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, TE8tOZ/euMSHHkUOXK4q6/mBsVOSGKaWSQ9kjM2wUF0jrLMQaB+/Jovo1f0P2OnF v0nI4XEeXRSCA0D5qLWKPw== 0000912057-01-005223.txt : 20010223 0000912057-01-005223.hdr.sgml : 20010223 ACCESSION NUMBER: 0000912057-01-005223 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRANSGENOMIC INC CENTRAL INDEX KEY: 0001043961 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 911789357 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-59565 FILM NUMBER: 1538969 BUSINESS ADDRESS: STREET 1: 5600 SOUTH 42ND ST CITY: OMAHA STATE: NE ZIP: 68107 BUSINESS PHONE: 4027385480 MAIL ADDRESS: STREET 1: 5600 42ND ST CITY: OMAHA STATE: NE ZIP: 68107 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GJERDE DOUGLAS T CENTRAL INDEX KEY: 0001133730 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 12325 EMMET STREET CITY: OMAHA STATE: NE ZIP: 68164 MAIL ADDRESS: STREET 1: 5600 SOUTH 42ND CITY: OMAHA STATE: NE ZIP: 66107 SC 13G 1 a2038150zsc13g.txt SC 13G UNITED STATES ----------------------------- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 OMB APPROVAL ----------------------------- OMB Number 3235-0145 Expires: October 31, 2002 Estimated average burden hours to perform .....14.90 -----------------------------
SCHEDULE 13G (RULE 13d-102) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* TRANSGENOMIC, INC. ------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE ---------------------------------------------------------- (Title of Class of Securities) 89365K 20 6 -------------------- (CUSIP Number) JULY 21, 2000 ------------------------------------------------------------------------------- (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) / /..Rule 13d-1(c) /x/..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 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). PERSONS WHO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1745 (03-00) (continues on following pages) (Page 1 of 5 Pages) - ------------------------------- -------------------------------- 13G CUSIP NO. 89365K 20 6 PAGE 2 OF 5 PAGES -------------- - ------------------------------- -------------------------------- - ---------- --------------------------------------------------------------------------------------------------------- (1) Names of reporting persons. I.R.S. identification nos. of above persons (entities only). DOUGLAS T. GJERDE - ---------- --------------------------------------------------------------------------------------------- ----------- (2) Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a):/ / N/A (b):/ / - ---------- --------------------------------------------------------------------------------------------------------- (3) SEC USE ONLY - ---------- --------------------------------------------------------------------------------------------------------- (4) Citizenship or place of organization UNITED STATES - -------------------------------------------------------------------------------------------------------------------- Number of (5) Sole voting power shares 2,500,000(1) ------- -------------------------------------------------------------------------------- beneficially (6) Shared voting power ------- -------------------------------------------------------------------------------- owned by each (7) Sole dispositive power reporting 2,500,000(1) ------- -------------------------------------------------------------------------------- person with: (8) Shared dispositive power - -------------------------------------------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person 2,500,000 - ---------- --------------------------------------------------------------------------------------------------------- (10) Check if the aggregate amount in row (9) excludes certain shares :/ / (SEE Instructions) N/A - ---------- --------------------------------------------------------------------------------------------------------- (11) Percent of class represented by amount in row (9) 11.0% (2) - ---------- --------------------------------------------------------------------------------------------------------- (12) Type of reporting person (SEE Instructions) IN ========== =========================================================================================================
*The closing of the initial public offering of common stock of Transgenomic, Inc. took place on July 21, 2000, which is the event requiring the filing of this Schedule 13G. (1) Includes fully vested options to purchase 1,500,000 shares of common stock. (2) All percentages are calculated pursuant to Rule 13d-3(d)(1)(i) and are based on 21,205,566 shares of common stock outstanding as reported by Transgenomic, Inc. on its Amendment No. 1 to Form S-1 (Registration No. 333-51960) filed on January 10, 2001. - ------------------------------- -------------------------------- 13G CUSIP NO. 89365K 20 6 PAGE 3 OF 5 PAGES -------------- - ------------------------------- -------------------------------- ITEM 1(a). NAME OF ISSUER: Transgenomic, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 12325 Emmet Street Omaha, NE 68164 ITEM 2(a). NAME(S) OF PERSON(S) FILING: Douglas T. Gjerde ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: Transgenomic, Inc. 2032 Concourse Drive San Jose, CA 95131 ITEM 2(c). CITIZENSHIP: United States ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, par value $.01 per share ITEM 2(e). CUSIP NO.: 89365K 20 6 ITEM 3. STATEMENTS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b): Not Applicable ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: See Item 9 of Cover Page (b) Percent of Class: See Item 11 of Cover Page (c) Number of shares as to which the person has (i) Sole power to vote or to direct the vote: See Item 5 of Cover Page (ii) Shared power to vote or to direct the vote: See Item 6 of Cover Page (iii) Sole power to dispose or to direct the disposition of: See Item 7 of Cover Page (iv) Shared power to dispose or to direct the disposition of: See Item 8 of Cover Page INSTRUCTION. For computations regarding securities which represent a right to acquire an underlying security SEE Section 240.13d-3(d)(1). - ------------------------------- -------------------------------- 13G CUSIP NO. 89365K 20 6 PAGE 4 OF 5 PAGES -------------- - ------------------------------- -------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not Applicable 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 [ ]. INSTRUCTION. Dissolution of a group requires a response to this item. 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 ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not Applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable ITEM 10. CERTIFICATION Not Applicable (continues on following page) - ------------------------------- -------------------------------- 13G CUSIP NO. 89365K 20 6 PAGE 5 OF 5 PAGES -------------- - ------------------------------- -------------------------------- 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. Dated: February 1, 2001 /s/ DOUGLAS T. GJERDE ------------------------------------- Douglas T. Gjerde ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----