0001354488-12-000156.txt : 20120113 0001354488-12-000156.hdr.sgml : 20120113 20120113134735 ACCESSION NUMBER: 0001354488-12-000156 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20111123 FILED AS OF DATE: 20120113 DATE AS OF CHANGE: 20120113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STEFANSKY DAVID CENTRAL INDEX KEY: 0001320581 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 12526136 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alliqua, Inc. CENTRAL INDEX KEY: 0001054274 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 582349413 STATE OF INCORPORATION: FL FISCAL YEAR END: 1220 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE STREET 2: SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 800-518-4879 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE STREET 2: SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: HEPALIFE TECHNOLOGIES INC DATE OF NAME CHANGE: 20030529 FORMER COMPANY: FORMER CONFORMED NAME: ZETA CORP DATE OF NAME CHANGE: 20030219 FORMER COMPANY: FORMER CONFORMED NAME: ZETA CORP /CA DATE OF NAME CHANGE: 20000303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENBLUM RICHARD CENTRAL INDEX KEY: 0001205074 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 12526134 MAIL ADDRESS: STREET 1: 19 HORIZON DRIVE CITY: WAYNE STATE: NJ ZIP: 07470 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBORVIEW MASTER FUND LP CENTRAL INDEX KEY: 0001400704 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 12526138 BUSINESS ADDRESS: STREET 1: HARBOUR HOUSE WATERFORD DRIVE STREET 2: PO BOX 972 CITY: TORTOLA STATE: D8 ZIP: 00000 BUSINESS PHONE: 294 694 4770 MAIL ADDRESS: STREET 1: HARBOUR HOUSE WATERFORD DRIVE STREET 2: PO BOX 972 CITY: TORTOLA STATE: D8 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harborview Advisors, LLC CENTRAL INDEX KEY: 0001492019 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 12526139 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (646) 218-1400 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harborview Capital Management, LLC CENTRAL INDEX KEY: 0001492020 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 12526135 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (646) 218-1400 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harborview Value Master Fund, L.P. CENTRAL INDEX KEY: 0001509151 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 12526137 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (646) 218-1400 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 4 1 primary_doc.xml PRIMARY DOCUMENT X0304 4 2011-11-23 0 0001054274 Alliqua, Inc. [ALQA.OB] 0001492019 Harborview Advisors, LLC 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 1 1 1 0 - 0001400704 HARBORVIEW MASTER FUND LP 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 0 0 1 0 0001509151 Harborview Value Master Fund, L.P. 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 0 0 1 0 0001492020 Harborview Capital Management, LLC 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 0 0 1 0 0001205074 ROSENBLUM RICHARD 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 0 0 1 0 0001320581 STEFANSKY DAVID 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 0 0 1 0 Common Stock 2011-11-23 4 P 0 1500 0.0855 A 37599998 I See Footnotes Common Stock 2011-11-23 4 P 0 42500 0.09 A 37642498 I See Footnotes Common Stock 2011-11-23 4 P 0 10500 0.094 A 37652998 I See Footnotes Common Stock 2011-11-23 4 P 0 1500 0.0949 A 37654498 I See Footnotes Common Stock 2011-11-23 4 P 0 22500 0.095 A 37676498 I See Footnotes Common Stock 2011-11-23 4 P 0 1500 0.097 A 37678498 I See Footnotes Common Stock 2012-01-11 4 J 0 2000000 A 36678498 I See Footnotes This statement is jointly filed by and on behalf of each of Harborview Master Fund, L.P. ("Harborview Master Fund"), Harborview Value Master Fund, L.P. ("Harborview Value Fund"), Harborview Advisors, LLC ("Harborview Advisors"), Harborview Capital Management, LLC ("Harborview Management"), Richard Rosenblum and David Stefansky. Harborview Master Fund, Harborview Value Fund, Harborview Management and Messrs. Rosenblum and Stefansky are the record and direct beneficial owners of the securities covered by this statement. Harborview Advisors is the general partner of, and may be deemed to beneficially own securities owned by, each of Harborview Master Fund and Harborview Value Fund. Messrs. Rosenblum and Stefansky are the managing members of, and may be deemed to beneficially own securities owned by, each of Harborview Advisors and Harborview Management. Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act") or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer. Includes, prior to the acquisitions reported on this Form 4, (a) 27,981,999 shares of common stock directly beneficially owned by Harborview Master Fund, (b) 8,756,499 shares of common stock directly beneficially owned by Harborview Value Fund, (c) 230,000 shares of common stock directly beneficially owned by Harborview Management, (d) 100,000 shares of common stock directly beneficially owned by Mr. Rosenblum and (e) 530,000 shares of common stock directly beneficially owned by Mr. Stefansky. Harborview Management purchased, on the open market on November 23, 2011, 1,500 shares of common stock at a price per share of $0.0855, 42,500 shares of common stock at a price per share of $0.090, 10,500 shares of common stock at a price per share of $0.094, 1,500 shares of common stock at a price per share of $0.0949, 22,500 shares of common stock at a price per share of $0.095 and 1,500 shares of common stock at a price per share of $0.097 These shares were issued to Harborview Management as consideration under an Executive Office License Agreement, dated November 1, 2010, as amended on January 11, 2012, by and between Harborview Management, the issuer and each of the issuer's subsidiaries. HARBORVIEW MASTER FUND, L.P., By: Harborview Advisors, LLC, Its: General Partner, By: /s/ David Stefansky, Name: David Stefansky, Title: Managing Member 2012-01-13 HARBORVIEW VALUE MASTER FUND, L.P., By: Harborview Advisors, LLC, Its: General Partner, By: /s/ David Stefansky, Name: David Stefansky, Title: Managing Member 2012-01-13 HARBORVIEW ADVISORS, LLC, By: /s/ David Stefansky, Name: David Stefansky, Title: Managing Member 2012-01-13 HARBORVIEW CAPITAL MANAGEMENT, LLC, By: /s/ David Stefansky, Name: David Stefansky, Title: Managing Member 2012-01-13 RICHARD ROSENBLUM, /s/ Richard Rosenblum, Name: Richard Rosenblum 2012-01-13 DAVID STEFANSKY, /s/ David Stefansky, Name: David Stefansky 2012-01-13 EX-99.1 2 form4_ex991.htm JOINT FILER INFORMATION form4_ex991.htm
EXHIBIT 99.1
JOINT FILER INFORMATION

Other Reporting Person(s)

1.           HARBORVIEW MASTER FUND, L.P.

Item
Information
Name:
HARBORVIEW MASTER FUND, L.P.
 
Address:
850 Third Avenue, Suite 1801, New York, New York 10022
 
Designated Filer:
Harborview Advisors, LLC
 
Date of Event Requiring Statement (Month/Day/Year):
 
November 23, 2011 and January 11, 2012
Issuer Name and Ticker or Trading Symbol:
 
Alliqua, Inc. [ALQA.OB]
Relationship of Reporting Person(s) to Issuer:
 
10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
Not Applicable
Individual or Joint/Group Filing:
Form filed by More than One Reporting Person
 
Signature:
By:           Harborview Advisors, LLC
Its:           General Partner
 
By:            /s/ David Stefansky                                                                  
Name:       David Stefansky
Title:         Managing Member
Date:         January 13, 2012
 

 
1
 

2.           HARBORVIEW VALUE MASTER FUND, L.P.

Item
Information
Name:
HARBORVIEW VALUE MASTER FUND, L.P.
 
Address:
850 Third Avenue, Suite 1801, New York, New York 10022
 
Designated Filer:
Harborview Advisors, LLC
 
Date of Event Requiring Statement (Month/Day/Year):
 
November 23, 2011 and January 11, 2012
Issuer Name and Ticker or Trading Symbol:
 
Alliqua, Inc. [ALQA.OB]
Relationship of Reporting Person(s) to Issuer:
 
10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
Not Applicable
Individual or Joint/Group Filing:
Form filed by More than One Reporting Person
 
Signature:
By:           Harborview Advisors, LLC
Its:           General Partner
 
By:            /s/ David Stefansky                                                      
Name:       David Stefansky
Title:         Managing Member
Date:         January 13, 2012
 
 
 
2
 

 
3.           HARBORVIEW CAPITAL MANAGEMENT, LLC
 
 
Item
Information
  Name:
  HARBORVIEW CAPITAL MANAGEMENT, LLC
 
  Address:
  850 Third Avenue, Suite 1801, New York, New York 10022
  
  Designated Filer:
  Harborview Advisors, LLC
 
  Dates of Events Requiring Statement (Month/Day/Year):
  
November 23, 2011 and January 11, 2012
  Issuer Name and Ticker or Trading Symbol:
 
  Alliqua, Inc. [ALQA.OB]
  Relationship of Reporting Person(s) to Issuer:
 
  10% Owner
  If Amendment, Date Original Filed (Month/Day/Year):
 
  Not Applicable
  Individual or Joint/Group Filing:
  Form filed by More than One Reporting Person
 
  Signature:
 
  By:            /s/ David Stefansky                                                      
  Name:       David Stefansky
  Title:         Managing Member
  Date:         January 13, 2012
 

 
 
 
 
 
 
 
 
 
 
 
 
4.           RICHARD ROSENBLUM

Item
Information
Name:
RICHARD ROSENBLUM
 
Address:
850 Third Avenue, Suite 1801, New York, New York 10022
 
Designated Filer:
Harborview Advisors, LLC
 
Date of Event Requiring Statement (Month/Day/Year):
 
November 23, 2011 and January 11, 2012
Issuer Name and Ticker or Trading Symbol:
 
Alliqua, Inc. [ALQA.OB]
Relationship of Reporting Person(s) to Issuer:
 
Director, Officer and 10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
Not Applicable
Individual or Joint/Group Filing:
Form filed by More than One Reporting Person
 
Signature:
 
By:            /s/ Richard Rosenblum                                                      
Name:       Richard Rosenblum
Date:         January 13, 2012
 
 
 
3
 
 
5.           DAVID STEFANSKY

Item
Information
Name:
DAVID STEFANSKY
 
Address:
850 Third Avenue, Suite 1801, New York, New York 10022
 
Designated Filer:
Harborview Advisors, LLC
 
Date of Event Requiring Statement (Month/Day/Year):
 
November 23, 2011 and January 11, 2012
Issuer Name and Ticker or Trading Symbol:
 
Alliqua, Inc. [ALQA.OB]
Relationship of Reporting Person(s) to Issuer:
 
Director, Officer and 10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
Not Applicable
Individual or Joint/Group Filing:
Form filed by More than One Reporting Person
 
Signature:
 
By:            /s/ David Stefansky                                                      
Name:       David Stefansky
Date:         January 11, 2012
 

 
4
 
EX-99.2 3 form4_ex992.htm JOINT FILING AGREEMENT form4_ex992.htm
EXHIBIT 99.2
 
JOINT FILING AGREEMENT
 
 
Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. This agreement shall remain in full force and effect until revoked by any party hereto in a signed writing provided to each other party hereto, and then only with respect to such revoking party.
 
IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused this agreement to be executed and effective as of the date set forth below.
 
 
Date:  January 13, 2012 Harborview Master Fund, L.P.  
       
  By: Harborview Advisors, LLC  
  Its: General Partner  
       
 
By:
/s/ David Stefansky  
  Name: David Stefansky  
  Title : Managing Member  

 
Harborview Value Master Fund, L.P.
  
       
 
By:
Harborview Advisors, LLC
  
 
Its:
General Partner
  
       
 
By:
/s/ David Stefansky
  
 
Name:
David Stefansky
  
 
Title :
Managing Member
  
 
 
Harborview Advisors, LLC
  
       
 
By:
/s/ David Stefansky
  
 
Name:
David Stefansky
  
 
Title :
Managing Member
  
 
 
Harborview Capital Management, LLC
  
       
 
By:
/s/ David Stefansky
  
 
Name:
David Stefansky
  
 
Title :
Managing Member
  
 
  Richard Rosenblum  
       
 
By:
/s/ Richard Rosenblum  
  Name  Richard Rosenblum  
       
  David Stefansky  
       
  By: /s/ David Stefansky  
  Name:  David Stefansky