-----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, QnX7GodeubWFL0qF2axe0eT3FPDzC2pe0U8acwoYc2Gz7ZnFirwkerq1PC1GjWk9 B4BXCSBurJ04IGDVUwHxug== 0001005477-01-003133.txt : 20010514 0001005477-01-003133.hdr.sgml : 20010514 ACCESSION NUMBER: 0001005477-01-003133 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010301 FILED AS OF DATE: 20010511 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEOPROBE CORP CENTRAL INDEX KEY: 0000810509 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 311080091 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: SEC FILE NUMBER: 000-26520 FILM NUMBER: 1629487 BUSINESS ADDRESS: STREET 1: 425 METRO PLACE N STREET 2: STE 400 CITY: DUBLIN STATE: OH ZIP: 43017 BUSINESS PHONE: 6147937500 MAIL ADDRESS: STREET 1: 425 METRO PLACE NORTH STREET 2: SUITE 400 CITY: DUBLIN STATE: OH ZIP: 43017 COMPANY DATA: COMPANY CONFORMED NAME: ROSENWALD LINDSAY A MD CENTRAL INDEX KEY: 0000941841 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4/A BUSINESS ADDRESS: STREET 1: 375 PARK AVE STREET 2: SUITE 1501 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2128324366 MAIL ADDRESS: STREET 1: 375 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10152 FORMER COMPANY: FORMER CONFORMED NAME: ROSENWALD LINDSAY MD DATE OF NAME CHANGE: 19950316 4/A 1 0001.txt FORM 4/A U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4/A 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* Paramount Capital Asset Management, Inc. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 787 Seventh Avenue, 48th Floor - -------------------------------------------------------------------------------- (Street) New York NY 10019 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Neoprobe Corp. (NEOP) ================================================================================ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ================================================================================ 4. Statement for Month/Year ================================================================================ 5. If Amendment, Date of Original (Month/Year) March 2001 ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) |_| Director |X| 10% Owner |_| Officer (give title below) |_| Other (specify below) ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) |_| Form filed by one Reporting Person |X| Form filed by more than one Reporting Person ================================================================================ * 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 ================================================================================
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) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/01/01 S 7,000 D $0.438 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/05/01 S 21,000 D $0.500 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/07/01 S 38,500 D $0.568 4,867,500(1) I Fund II(2) ====================================================================================================================================
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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) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/08/01 S 14,000 D $0.528 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/09/01 S 7,000 D $0.510 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/09/01 S 175,000 D $0.530 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/12/01 S 175,000 D $0.530 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/12/01 S 1,750 D $0.500 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/13/01 S 5,250 D $0.510 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/14/01 S 3,500 D $0.500 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/15/01 S 175,000 D $0.520 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/19/01 S 3,500 D $0.475 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/21/01 S 142,540 D $0.515 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By The Aries Master Common Stock 03/21/01 S 3,563 D $0.500 4,867,500(1) I Fund II(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/01/01 S 3,000 D $0.438 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/05/01 S 9,000 D $0.500 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/07/01 S 16,500 D $0.568 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/08/01 S 6,000 D $0.528 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/09/01 S 3,000 D $0.510 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/09/01 S 75,000 D $0.530 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/12/01 S 75,000 D $0.530 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/12/01 S 750 D $0.500 4,867,500(1) I Fund, LP(2) ====================================================================================================================================
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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) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/13/01 S 2,250 D $0.510 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/14/01 S 1,500 D $0.500 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/15/01 S 75,000 D $0.520 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/19/01 S 1,500 D $0.475 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/21/01 S 57,460 D $0.515 4,867,500(1) I Fund, LP(2) - ------------------------------------------------------------------------------------------------------------------------------------ By Aries Domestic Common Stock 03/21/01 S 1,437 D $0.500 4,867,500(1) I Fund, LP(2) ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 3 of 3 FORM 4/A (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 of 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) 5) 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) See Attachment A. (2) Paramount Capital Asset Management, Inc. ("PCAM") is the general partner of the Aries Domestic Fund, L.P. ("Aries I"), a Delaware limited partnership, and also serves as the investment manager of the Aries Master Fund II, a Cayman Island exempted company (the "Master Fund" and collectively, the "Aries Funds"). Dr. Rosenwald is the chairman and sole stockholder of PCAM. As a result, Dr. Rosenwald and PCAM may be deemed to have voting and investment control over the securities of the issuer owned by the Aries Funds under Rule 16a-(a)(1) of the Securities Exchange Act of 1934. Dr. Rosenwald and PCAM disclaim beneficial ownership of the securities held by the Aries Funds, except to the extent of its pecuniary interest therein, if any. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Lindsay A. Rosenwald May 10, 2001 - --------------------------------------------- ----------------------- ** Signature of Reporting Person Date Lindsay A. Rosenwald, M.D. Chairman Paramount Capital Asset Management, Inc. General Partner - Aries Domestic Fund, L.P. Investment Manager - Aries Master Fund II Page 4 of 4 Attachment A Securities beneficially owned by PCAM are presented on an as-converted basis and consist of the following: 1. Warrants to purchase 2,100,00 shares of Common Stock and 1,304,647 shares of Common Stock owned by The Aries Master Fund II; and 2. Warrants to purchase 900,000 shares of Common Stock and 562,853 shares of Common Stock owned by Aries Domestic Fund, L.P. Page 5 of 5 Joint Filer Information Name: Lindsay A. Rosenwald, M.D. Address: 787 Seventh Avenue 48th Floor New York, NY 10019 Designated Filer: Paramount Capital Asset Management, Inc. Issuer and Ticker: Neoprobe Corp. (NEOP) Page 6 of 6 Joint Filer Information Name: The Aries Master Fund II Address: c/o Paramount Capital Asset Management, Inc. 787 Seventh Avenue 48th Floor New York, NY 10019 Designated Filer: Paramount Capital Asset Management, Inc. Issuer and Ticker: Neoprobe Corp. (NEOP) Page 7 of 7 -----END PRIVACY-ENHANCED MESSAGE-----