-----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, HBzL2HJBJR3Z06Kx9iwaHOrj4QkhUu7TKW/shWpwqu9eUanKSoFamfYRsgE13HZG ylL8Ux5+yoJ5T2tv2DGpRA== 0001095449-09-000247.txt : 20091029 0001095449-09-000247.hdr.sgml : 20091029 20091029142248 ACCESSION NUMBER: 0001095449-09-000247 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091019 FILED AS OF DATE: 20091029 DATE AS OF CHANGE: 20091029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Boyer Mark Thomas CENTRAL INDEX KEY: 0001295659 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26483 FILM NUMBER: 091144152 MAIL ADDRESS: STREET 1: 300 DRAKES LANDING ROAD STREET 2: SUITE 175 CITY: GREENBRAE STATE: CA ZIP: 94904 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Soboleski Mitchell Joseph CENTRAL INDEX KEY: 0001473077 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26483 FILM NUMBER: 091144151 MAIL ADDRESS: STREET 1: 300 DRAKES LANDING ROAD STREET 2: SUITE 175 CITY: GREENBRAE STATE: CA ZIP: 94904 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VAXGEN INC CENTRAL INDEX KEY: 0001036968 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943236309 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 379 OYSTER POINT STREET 2: SUITE 10 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: (650) 624-1000 MAIL ADDRESS: STREET 1: 379 OYSTER POINT STREET 2: SUITE 10 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROI CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0000937219 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26483 FILM NUMBER: 091144153 BUSINESS ADDRESS: STREET 1: 300 DRAKES LANDING ROAD STREET 2: SUITE 175 CITY: GREENBRAE STATE: CA ZIP: 94904 BUSINESS PHONE: 4154648023 MAIL ADDRESS: STREET 1: 300 DRAKES LANDING ROAD STREET 2: SUITE 175 CITY: GREENBRAE STATE: CA ZIP: 94904 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2009-10-19 1 0001036968 VAXGEN INC VAXGEN 0000937219 ROI CAPITAL MANAGEMENT INC 300 DRAKES LANDING ROAD SUITE 175 GREENBRAE CA 94904 0 0 0 1 Former 10% owner 0001295659 Boyer Mark Thomas 300 DRAKES LANDING ROAD SUITE 175 GREENBRAE CA 94904 0 0 0 1 Former 10% owner 0001473077 Soboleski Mitchell Joseph 300 DRAKES LANDING ROAD SUITE 175 GREENBRAE CA 94904 0 0 0 1 Former 10% owner Common Stock 2009-10-19 4 J 0 0 0 D 2389600 D Common Stock 2009-10-19 4 J 0 0 0 D 2729610 D A group of which the reporting persons were parties was dissolved. A change of voting right is reported. These securities are beneficially owned by Mr. Soboleski and ROI Capital Management, Inc. for clients of ROI Capital Management, Inc. of which Mr. Soboleski is the Secretary. These securities are beneficially owned by Mr. Boyer; 2,389,600 are held in accounts for clients of ROI Capital Management, Inc. of which Mr. Boyer is the President, and 340,010 are held in accounts for which Mr. Boyer has separate discretionary authority. Mitchell J. Soboleski 2009-09-26 Mark T. Boyer 2009-09-26 -----END PRIVACY-ENHANCED MESSAGE-----