-----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, QGfLoqtbwrZRUtqVpK8W+dq/tLiTtQBil8nqLAUAFp1Fp2FCJPpKASehGS4xEFCF 5YJ+jJcjRgMQxRzp4j56wQ== 0001055012-01-500003.txt : 20010511 0001055012-01-500003.hdr.sgml : 20010511 ACCESSION NUMBER: 0001055012-01-500003 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010331 FILED AS OF DATE: 20010510 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: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-19122 FILM NUMBER: 1627333 BUSINESS ADDRESS: STREET 1: PO BOX 1049 STREET 2: STE 51-507 CITY: WOODLAND STATE: CA ZIP: 95776 BUSINESS PHONE: 5306616077 MAIL ADDRESS: STREET 1: PO BOX 1049 STREET 2: STE 51-507 CITY: WOODLAND STATE: CA ZIP: 95776 COMPANY DATA: COMPANY CONFORMED NAME: JACOBS FREDERICK W CENTRAL INDEX KEY: 0001055012 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: P O BOX 1049 CITY: WOODLAND STATE: CA ZIP: 95776 BUSINESS PHONE: 3057946947 MAIL ADDRESS: STREET 1: P O BOX 1049 CITY: WOODLAND STATE: CA ZIP: 95776 5 1 fred.txt Form 5 XX Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). XX Form 3 Holdings Reported XX Form 4 Transactions Reported U.S. Securities and Exchange Commission Washington DC 20549 ANNUAL 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 Jacobs, Frederick W. (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 03/01 5. If Amendment, Date of Original (Month/Year) ) 6. Relationship of Reporting Person to Issuer (Check all applicable) Director X Officer, Treasurer 7. Individual or Joint/Group Reporting XX Form Filed by One Reporting Person Form Filed by More than One Reporting Person Table I-Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) Aphton Corporation Common Stock 2.a) Transaction Date (Month/Day/Year) 2.b) Transaction Date (Month/Day/Year) 3.a) Transaction Code (Instr. 8) 3.b)Transaction Code (Instr. 8) 4.a)Securities Acquired (A) or Disposed of Amount: (A) or (D): Price: 4.b)Securities Acquired (A) or Disposed of Amount: (A) or (D): Price: 5.Amount of Securities Beneficially Owned at End of Month: 6.Ownership Form: Direct (D)or Indirect(I): 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) 2.Conversion or Exercise Price of Derivative Security: 3.Transaction Date (Month/Day/Year): 4.Transaction Code (Instr. 8) : 5.Number of Derivative Securities Acquired (A) or Disposed of (D) Amount: (A) or (D): 6.Date Exercisable: and Expiration Date (Month/Day/Year): 7.Title and Amount of Underlying Securities Title: 8.Price of Derivative Security: 9.Number of Derivative Securities Beneficially Owned at End of Month: 10.Ownership Form of Derivative Security: Direct (D)or Indirect(I): 11.Nature of Indirect Beneficial Ownership: Explanation of Responses: - ----------/s/----------------- 05/09/01 Signature of Reporting Person Date Frederick W. Jacobs -----END PRIVACY-ENHANCED MESSAGE-----