-----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, AeMstuHF4cF+ACfy5MlMqRGn+LQCtG0lZbw8uCQAJfxV5gxKK3EUGEMqONslv9eC Tiuu/Kb85mdjjWDNwzxzKw== 0000950123-02-010740.txt : 20021113 0000950123-02-010740.hdr.sgml : 20021113 20021113154611 ACCESSION NUMBER: 0000950123-02-010740 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021112 FILED AS OF DATE: 20021113 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BIO PLEXUS INC CENTRAL INDEX KEY: 0000865532 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 061211921 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24128 FILM NUMBER: 02819978 BUSINESS ADDRESS: STREET 1: 129 RESERVOIR ROAD CITY: VERNON STATE: CT ZIP: 06066 BUSINESS PHONE: 8608706112 MAIL ADDRESS: STREET 1: 129 RESERVOIR ROAD CITY: VERNON STATE: CT ZIP: 06066 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: TEPPER SCOTT M CENTRAL INDEX KEY: 0001177288 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 8008 HUNTERS COVE CITY: BOARDMAN STATE: OH ZIP: 44512 BUSINESS PHONE: 8608706112 MAIL ADDRESS: STREET 1: 8008 HUNTERS COVE CITY: BOARDMAN STATE: OH ZIP: 44512 4 1 y65723be4.htm FORM 4 FORM 4
 

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UNITED STATES
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(h) of the Investment Company Act of 1940

o 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*
2. Issuer Name and Ticker or Trading
Symbol
3. I.R.S. Identification Number of Reporting
Person, if an entity
(Voluntary)
  Tepper, Scott M.
(Last) (First) (Middle)
  Bio-Plexus, Inc. Symbol: "BPXS"
 
     
  8008 Hunters Cove

(Street)
4. Statement for Month/Day/Year 5. If Amendment, Date of Original (Month/Day/Year)
    11/2002
 
     
    6. Relationship of Reporting Person(s)
to Issuer
(Check All Applicable)
7. Individual or Joint/Group Filing
(Check Applicable Line)
  Boardman, OH, 44512
(City)        (State)        (Zip)
  x  Director o  10% Owner   x Form Filed by One Reporting Person
    x  Officer (give title below)   o Form Filed by More than One Reporting Person
    o  Other (specify below)  
      Vice-Chairman
     

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).


 

                                               

Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 3)
2. Transaction
Date

(Month/Day/Year)
2A. Deemed Execution
Date, if any

(Month/Day/Year)
3. Transaction
Code

(Instr. 8)
4. Securities Acquired (A) or
Disposed of (D)

(Instr. 3, 4 and 5)
5. Amount of Sec-
urities Beneficially
Owned Following
Reported Trans-
action(s)

(Instr. 3 and 4)
6. Ownership
Form:
Direct (D) or
Indirect (I)

(Instr. 4)
7. Nature of
Indirect
Beneficial
Ownership

(Instr. 4)

              Code V   Amount (A)
or
(D)
Price          

  Common Stock, par value $.001                   1,460 (1)     D  

  Common Stock, par value $.001                   50,000(2)     D  

  Common Stock, par value $.001   6/18/02     P     65,360     $33,333     65,360     D  

  Common Stock, par value $.001   11/12/02     S     115,602   D   $76,360.91     (115,602)(2)      

                         

                         

                         

                         

                         

                         

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Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
  (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative
Security

(Instr. 3)
2. Conversion or Exercise
Price of Derivative
Security
3. Transaction
Date

(Month/Day/Year)
3A.  Deemed Execution
Date, if any

(Month/Day/Year)
4. Transaction
Code

(Instr. 8)
5. Number of Derivative Securities
Acquired (A) or Disposed of (D)

(Instr. 3, 4 and 5)

                      Code V   (A) (D)

  Warrants to Purchase Common Stock     $1.00     6/19/02     A   8,333

  Stock Options (4)     $2.283     7/19/01     A 4   100,000

  Warrants to Purchase Common Stock         11/12/02     S   8,333

               

               

               

               

               

               

               

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Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned — Continued
(e.g., puts, calls, warrants, options, convertible securities)

6. Date Exercisable and
Expiration Date

(Month/Day/Year)
7. Title and Amount
of Underlying Securities

(Instr. 3 and 4)
8. Price of Derivative
Security

(Instr. 5)
9. Number of Derivative Securities
Beneficially Owned Following
Reported Transaction(s)

(Instr. 4)
10. Ownership Form of
Derivative Security:
Direct (D) or
Indirect (I)

(Instr. 4)
11. Nature of
Indirect
Beneficial
Ownership

(Instr. 4)

  Date
Exercisable
Expiration
Date
  Title Amount or
Number of
Shares
                       

  6/18/02 12/18/04   Common Stock 8,333     (3)       8,333     D  

  (4) 7/19/11   Common Stock 100,000           100,000     D  

    Common Stock 8,333     (3)       (8,333)      

                   

                   

                   

                   

                   

                   

                   

Explanation of Responses:

(1) A total of 14,597 shares were reported on the Reporting Person's Form 5 for calendar 2000 as filed on 2/14/01. During 2001, the Issuer affected a reverse stock split whereas each ten shares of Issuer common stock were converted into one share of Issuer common stock.

(2) Consists of restricted stock issued pursuant to Issuer's 2001 Stock Incentive Plan. Represents shares of Restricted Stock having an initial fair market value of $2.283 per share, as determined by the Issuer's Board of Directors and by a new investment in the Company at the issuance date. Vesting occurred on May 24, 2002 upon a change in control. On November 12, 2002, these shares were sold to ICU Medical, Inc. at a per share price of $0.66.

(3) Derivative Securities were issued as part of Units each consisting of Subordinated 7% Non-Convertible Promissory Notes and Warrants to purchase 50,000 shares of Common Stock. The reporting person purchased 0.16 Unit for a purchase price of $16,667. On November 12, 2002, the notes were sold for $16,667 and the warrants were sold for $-0- to ICU Medical, Inc.

(4) Vested on change of control on May 24, 2002.

/S/Scott M. Tepper   November 12, 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 is insufficient, see Instruction 6 for procedure.

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