-----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, Uzc1Rpip+/tcdl/GC+JlPzjm01nVwCecZeST2/kx6BtSVJKp0GftP1q6oyM0psg1 b4xTeeMClk4POct6p6Ds7Q== 0001038822-99-000001.txt : 19990510 0001038822-99-000001.hdr.sgml : 19990510 ACCESSION NUMBER: 0001038822-99-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980131 FILED AS OF DATE: 19990507 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APHTON CORP CENTRAL INDEX KEY: 0000840319 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 953640931 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-19122 FILM NUMBER: 99613087 BUSINESS ADDRESS: STREET 1: 444 BRICKELL AVE STREET 2: STE 51-507 CITY: MIAMI STATE: FL ZIP: 33131 BUSINESS PHONE: 3053747338 MAIL ADDRESS: STREET 1: 444 BRICKELL AVE STREET 2: STE 51-507 CITY: MIAMI STATE: FL ZIP: 33131 COMPANY DATA: COMPANY CONFORMED NAME: HASLER WILLIAM A CENTRAL INDEX KEY: 0001038822 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: PO BOX 1049 CITY: WOODLAND STATE: CA ZIP: 95776 BUSINESS PHONE: 9166616077 MAIL ADDRESS: STREET 1: PO BOX 1049 CITY: WOODLAND STATE: CA ZIP: 95776 4 1 FORM 4 Form 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). U.S. Securities and Exchange Commission Washington DC 20549 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 1. Name and Address of Reporting Person Hasler, William A. (Last) (First) PO Box 1049 (Street) Woodland, CA 95776 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Aphton Corporation Symbol APHT 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 4/99 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) X Director X Officer, Co-Chief Executive Officer Table I-Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) Aphton Corporation Common Stock 2.Transaction Date (Month/Day/Year) 3.Transaction Code (Instr. 8) Code 4.Securities Acquired (A) or Disposed of (D) Amount: (A) or (D): Price: 5.Amount of Securities Beneficially Owned at End of Month: 32,000 6.Ownership Form: Direct (D)or Indirect(I): D 7.Nature of Indirect Beneficial Ownership: 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) Aphton Corporation Warrants 2.Conversion or Exercise Price of Derivative Security: $14.75 3.Transaction Date (Month/Day/Year): 4/30/99 4.Transaction Code (Instr. 8) : Code J, Grant of Warrants 5.Number of Derivative Securities Acquired (A) or Disposed of (D) Amount: 150,000 (A) or (D): A 6.Date Exercisable: 4/30/99 and Expiration Date (Month/Day/Year): 12/31/15 7.Title and Amount of Underlying Securities Title: Common Stock Amount: 150,000 8.Price of Derivative Security: $14.75 9.Number of Derivative Securities Beneficially Owned at End of Month: 186,000 6.Ownership Form of Derivative Security: Direct (D)or Indirect(I): D 7.Nature of Indirect Beneficial Ownership: Explanation of Responses: Code J: Grant of warrants to purchase Aphton Corporation Common Stock - -----------------/s/----------------- 5/7/99 Signature of Reporting Person Date William A. Hasler -----END PRIVACY-ENHANCED MESSAGE-----