-----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, FoGFmCxOD35SY1TLV6NBeT/GBpQa5UB6fEbTikmuDFPGM66KV7taEL3Syo3gtrPc EF9GdNUAuX8OBtFMPLSrfQ== 0000950127-98-000101.txt : 19980218 0000950127-98-000101.hdr.sgml : 19980218 ACCESSION NUMBER: 0000950127-98-000101 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NASD GROUP MEMBERS: BANQUE PARIBAS GROUP MEMBERS: COMPAGNIE FINANCIERE DE PARIBAS GROUP MEMBERS: PARIBAS PRINCIPAL INCORPORATED SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASCENT PEDIATRICS INC CENTRAL INDEX KEY: 0001019731 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 043047405 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-51097 FILM NUMBER: 98538463 BUSINESS ADDRESS: STREET 1: 187 BALLARDVALE ST CITY: WILMINGTON STATE: MA ZIP: 01887 BUSINESS PHONE: (978) 658-2500 MAIL ADDRESS: STREET 1: 187 BALLARDVALE ST CITY: WILMINGTON STATE: MA ZIP: 01887 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANQUE PARIBAS CENTRAL INDEX KEY: 0000872786 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 000000000 STATE OF INCORPORATION: I0 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 787 SEVENTH AVE CITY: NEW YORK STATE: NY ZIP: 10019 MAIL ADDRESS: STREET 1: 787 SEVENTH AVE CITY: NEW YORK STATE: NY ZIP: 10019 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------ SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) THE INFORMATION REQUIRED IN THE REMAINDER OF THIS COVER PAGE SHALL NOT BE DEEMED TO BE "FILED" FOR THE PURPOSE OF SECTION 18 OF THE SECURITIES EXCHANGE ACT OF 1934 ("ACT") OR OTHERWISE SUBJECT TO THE LIABILITIES OF THAT SECTION OF THE ACT BUT SHALL BE SUBJECT TO ALL OTHER PROVISIONS OF THE ACT. ASCENT PEDIATRICS, INC. (NAME OF ISSUER) Common Stock ($.01 par value) (TITLE OF CLASS OF SECURITIES) (CUSIP NUMBER) 00004362X1 CUSIP No. 0008523811 13G - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Compagnie Financiere de Paribas S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON _______________ - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ( ) (b) (X) - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Republic of France - -------------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED 5 SOLE VOTING POWER -0- BY EACH REPORTING PERSON WITH --------------------------------------- 6 SHARED VOTING POWER -0- --------------------------------------- 7 SOLE DISPOSITIVE POWER -0- --------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ( ) - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) -0- - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON OO - -------------------------------------------------------------------------------- Compagnie Financiere de Paribas may be deemed to be the beneficial owner of the common stock of Ascent Pediatrics, Inc. reported herein through its ownership of Banque Paribas. Such shares of Ascent Pediatrics, Inc. common stock are not included above so as to avoid double counting. - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Banque Paribas S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON _______________ - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ( ) (b) (X) - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Republic of France - -------------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED 5 SOLE VOTING POWER 10,200 BY EACH REPORTING PERSON WITH --------------------------------------- 6 SHARED VOTING POWER -0- --------------------------------------- 7 SOLE DISPOSITIVE POWER 10,200 --------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,200 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ( ) - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.1 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON BK - -------------------------------------------------------------------------------- Represents warrants to purchase common stock. Percentage includes shares held by Paribas Principal Incorporated reported herein because Paribas Principal Incorporated is a wholly-owned subsidiary of Banque Paribas. CUSIP No. 0008523811 13G - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Paribas Principal Incorporated S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON _______________ - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ( ) (b) (X) - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED 5 SOLE VOTING POWER 549,229 BY EACH REPORTING PERSON WITH --------------------------------------- 6 SHARED VOTING POWER -0- --------------------------------------- 7 SOLE DISPOSITIVE POWER 549,229 --------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 549,229 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ( ) - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.1% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON OO - -------------------------------------------------------------------------------- Includes 156,922 shares issuable upon the exercise of warrants. Percentage includes shares held by Banque Paribas reported herein because Paribas Principal Incorporated is a wholly-owned subsidiary of Banque Paribas. SCHEDULE 13G Item 1(a). Name of Issuer: Ascent Pediatrics, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 187 Ballardvale Street Suite B125 Wilmington, MA 01887 Item 2(a). Name of Person Filing: Compagnie Financiere de Paribas Item 2(b). Address of Principal Business Office or, if None, Residence: 787 Seventh Avenue New York, NY 10019 Item 2(c). Citizenship: French Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 00004362X1 Item 3. Not applicable. Item 4. Ownership. (a) Amount beneficially owned: 0 (b) Percent of class: 0 (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 0. Compagnie Financiere de Paribas may be deemed to be the beneficial owner of the common stock of Ascent Pediatrics, Inc. reported herein through its ownership of Banque Paribas. Such shares of Ascent Pediatrics, Inc. common stock are not included above so as to avoid double counting. Item 5. Not applicable Item 6. Not applicable Item 7. Not applicable Item 8. Not applicable Item 9. Not applicable Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Item 1(a). Name of Issuer: Ascent Pediatrics, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 187 Ballardville Street Suite B125 Wilmington, MA 01887 Item 2(a). Name of Person Filing: Banque Paribas Item 2(b). Address of Principal Business Office or, if None, Residence: 787 Seventh Avenue New York, NY 10019 Item 2(c). Citizenship: French Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 00004362X1 Item 3. Not applicable. Item 4. Ownership. (a) Amount beneficially owned: 10,200 (b) Percent of class: 8.1% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 10,200 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 10,200 (iv) Shared power to dispose or to direct the disposition of: 0. Represents warrants to purchase common stock. Percentage includes shares held by Paribas Principal Incorporated reported herein because Paribas Principal Incorporated is a wholly-owned subsidiary of Banque Paribas. Item 5. Not applicable Item 6. Not applicable Item 7. Not applicable Item 8. Not applicable Item 9. Not applicable Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. SCHEDULE 13G Item 1(a). Name of Issuer: Ascent Pediatrics, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 187 Ballardvale Street Suite B125 Wilmington, MA 01887 Item 2(a). Name of Person Filing: Paribas Principal Incorporated Item 2(b). Address of Principal Business Office or, if None, Residence: 787 Seventh Avenue New York, NY 10019 Item 2(c). Citizenship: New York Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 00004362X1 Item 3. Not applicable. Item 4. Ownership. (a) Amount beneficially owned: 549,229 (b) Percent of class: 8.1% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 549,229 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 0. Includes 156,922 shares of issuable upon the exercise of warrants. Percentage includes shares held by Banque Paribas reported herein because Paribas Principal Incorporated is a wholly-owned subsidiary of Banque Paribas. Item 5. Not applicable Item 6. Not applicable Item 7. Not applicable Item 8. Not applicable Item 9. Not applicable Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. COMPAGNIE FINANCIERE de PARIBAS By: /s/ Herve Couffin ---------------------------------- Name: Herve Couffin Title: Directoire BANQUE PARIBAS By: /s/ Stephen Eisenstein ---------------------------------- Name: Stephen Eisenstein Title: Partner PARIBAS PRINCIPAL INCORPORATED By: /s/ Gary Binning ---------------------------------- Name: Gary Binning Title: Director -----END PRIVACY-ENHANCED MESSAGE-----