UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 9)
DOR BioPharma, Inc.
-------------------
(Name of Issuer)
Common Stock, par value $.001 per share
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(Title of Class of Securities)
258094101
--------------
(CUSIP Number)
Paramount Capital Asset Management, Inc.
Lindsay A. Rosenwald, MD
787 Seventh Avenue
New York, NY 10019
(212) 554-4300
--------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
February 12, 2004
-------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check
the following box. /_/
Note. Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Section 240.13d-7 for other
parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on 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 (however, see the
Notes).
Continued on following page(s)
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CUSIP NO. 258094101 SCHEDULE 13D
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1 NAMES OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Lindsay A. Rosenwald, M.D.
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) / /
(b) /X/
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
OO (see Item 3 below)
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) or 2(e)
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
NUMBER OF SHARES 7 SOLE VOTING POWER
BENEFICIALLY OWNED BY 0
EACH REPORTING PERSON
WITH
--------------------------------------------------------------------------------
8 SHARED VOTING POWER
3,399,684
--------------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
3,399,684
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,399,684
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
(See Instructions) / /
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.7%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
IN
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
CUSIP NO258094101 SCHEDULE 13D
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Paramount Capital Asset Management, Inc.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) / /
(b) /X/
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
OO (see Item 3 below)
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) or 2(e)
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
NUMBER OF SHARES BENEFICIALLY OWNED BY 7 SOLE VOTING POWER
EACH REPORTING PERSON None
WITH
--------------------------------------------------------------------------------
8 SHARED VOTING POWER
3,399,684
--------------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
3,399,684
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,399,684
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
(See Instructions) / /
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.7%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
CO
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CUSIP NO. 258094101 SCHEDULE 13D
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1 NAMES OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Aries Select, Ltd.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) / /
(b) /X/
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
OO (see Item 3 below)
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) or 2(e) / /
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
NUMBER OF SHARES 7 SOLE VOTING POWER
BENEFICIALLY OWNED BY None
EACH REPORTING PERSON
WITH
--------------------------------------------------------------------------------
8 SHARED VOTING POWER
2,362,652
--------------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,362,652
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,362,652
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
(See Instructions) / /
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.7%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
OO
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
CUSIP NO. 258094101 SCHEDULE 13D
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Aries Select Domestic I, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) / /
(b) /X/
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
OO (see Item 3 below)
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) or 2(e) / /
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
NUMBER OF SHARES 7 SOLE VOTING POWER
BENEFICIALLY OWNED BY None
EACH REPORTING PERSON
WITH
--------------------------------------------------------------------------------
8 SHARED VOTING POWER
1,052,748
--------------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
1,052,748
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,052,748
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
(See Instructions) / /
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
OO
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
CUSIP NO. 258094101 SCHEDULE 13D
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Aries Select Domestic II, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) / /
(b) /X/
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
OO (see Item 3 below)
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) or 2(e) / /
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
NUMBER OF SHARES 7 SOLE VOTING POWER
BENEFICIALLY OWNED BY None
EACH REPORTING PERSON
WITH
--------------------------------------------------------------------------------
8 SHARED VOTING POWER
20,284
--------------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
20,284
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20,284
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES
(See Instructions) / /
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
OO
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This Amendment No. 9 amends and supplements the following items of the
Statement on Schedule 13D filed by certain of the reporting persons, dated
September 8, 1995, as amended to date (the "Schedule").
Item 2. Identity and Background
Item 2 is hereby amended in its entirety to read as follows:
(a) This statement is filed on behalf of Paramount Capital Asset
Management, Inc. ("PCAM"), Aries Select, Ltd. ("Aries Select"),
Aries Select, LLC ("AS1") and Dr. Lindsay A. Rosenwald (together
with PCAM and Aries Select the "Aries Reporting Persons"), Aries
Select II, LLC ("AS2"), Aries Domestic Fund, L.P. ("ADF1"), The
Aries Master Fund II, a Cayman Island exempted company ("AMF2"), and
Aries Domestic Fund II, L.P. ("ADF2" and, together with the Aries
Reporting Persons, the "Filing Persons"). See attached Exhibit A
which is a copy of their agreement in writing to file this statement
jointly on behalf of each of them. The Filing Persons have made, and
will continue to make, their own investment decisions.
(b) The business address of Dr. Rosenwald, PCAM, Aries Select, AS1, AS2,
Aries Domestic and Aries Domestic II is 787 Seventh Avenue, 48th
Floor, New York, New York 10019. The business address for Aries
Select and AMF2 is c/o Fortis Fund Services, P.O. Box 2003, British
American Centre, Phase 3, Dr. Roy's Drive, George Town, Grand
Cayman.
(c) Dr. Rosenwald is an investment banker, venture capitalist, fund
manager and sole shareholder of PCAM,1 a Subchapter S corporation
incorporated in the State of Delaware. PCAM is the managing member
of each of AS1 and AS2, the General Partner of Aries Domestic and
Aries Domestic II, each a limited partnership organized under the
laws of Delaware and the investment manager to AMF2 and Aries
Select2, each a Cayman Island exempted company.
(d) The Filing Persons and their respective officers, directors, general
partners, investment managers, and trustees have not, during the
five years prior to the date hereof, been convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors).
(e) The Filing Persons and their respective officers, directors, general
partners, investment managers, and trustees have not been, during
the five years prior to the date hereof, parties to a civil
proceeding of a judicial or administrative body of competent
jurisdiction, as a result of which such person was or is subject to
a judgment, decree or final order enjoining future violations of, or
prohibiting or mandating activities subject to, Federal or State
securities laws or funding any violation with respect to such laws.
(f) Dr. Rosenwald is a citizen of the United States.
Item 3. Source and Amount of Funds or Other Consideration.
On February 12, 2004 the Dr. Rosenwald engaged in the following
transactions:
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1 Please see Exhibit B, filed herewith, indicating the executive officers
and directors of PCAM and providing information called for by Items 2-6
of this statement as to said officers and directors.
2 Please see Exhibit C indicating the executive officers and directors of
AMF2 and Aries Select and providing information called for by Items 2-6
of this statement as to said officers and directors.
(a) the Reporting Person transferred 176,481 shares of Common Stock of
the Issuer and warrants to purchase 1,787,058 shares of Common Stock
of the Issuer to the Lindsay A. Rosenwald 2000 Irrevocable Indenture
of Trust (the "Trust");
(b) Paramount Capital Drug Development Holdings, LLC, of which the
Reporting Person is the sole member, transferred 682,774 shares of
Common Stock to the Trust; and
(c) June Street Corporation and Huntington Street Corporation, for which
the Reporting Person is the sole stockholder, each transferred
13,572 shares of Common Stock to the Trust, and .
The Reporting Person does not control the right to vote or dispose
of the shares held by the Trust. As such, disclaims beneficial
ownership over such shares for purposes of Section 13d of the
Securities Exchange Act of 1934. The transactions reported herein
reduced the number of shares over which the Dr. Rosenwald has voting
and dispositive control by 2,673,457 shares of Common Stock.
Item 4. Purpose of Transaction.
The Reporting Parties acquired Shares as an investment in the
Issuer.
Although the Reporting Parties have not formulated any definitive
plans, they may from time to time acquire, or dispose of, Shares
and/or other securities of the Issuer if and when they deem it
appropriate. The Reporting Parties may formulate other purposes,
plans or proposals relating to any of such securities of the Issuer
to the extent deemed advisable in light of market conditions,
investment policies and other factors.
Except as indicated in this Schedule 13D, the Reporting Parties
currently have no plans or proposals that relate to or would result
in any of the matters described in subparagraphs (a) through (j) of
Item 4 of Schedule 13D.
Item 5. Interest in Securities of the Issuer.
(a) As of February 12, 2004, Dr. Rosenwald beneficially owned
3,399,684 Shares or 9.7% of the total amount of Shares
outstanding assuming the exercise of all of the securities
held by the following:
Percent Amount Owned
------- ------------
Aries Select 6.7% 2,214,493 Shares
112,159 warrants to purchase Shares
Aries I 3.0% 996,215 Shares and
56,533 warrants to purchase Shares
Aries II 0.0% 20,284 Shares
PCDDH 0.0% 0 Shares
June Street 0.0% 0 Shares
Huntington Street 0.0% 0 Shares
(b) Dr. Rosenwald and Paramount Capital share the power to vote or
to direct the vote, to dispose or to direct the disposition of
those shares owned by each of Aries Select, Aries I and Aries
II.
(c) Other than the transactions reported in Item 3 above, the
Reporting Parties have not engaged in any transactions in
Shares during the past 60 days.
(d) (i) Dr. Rosenwald, as the sole shareholder of PCAM, has the
right to participate in the receipt of dividends from, or
proceeds from the sale of, Shares held by PCAM in accordance
with his ownership interests in PCAM.
(ii) The interest holders of AS1 have the right to participate
in the receipt of dividends from, or proceeds from the sale
of, the securities held for the account of AS1, in accordance
with their membership interests in Aries I.
(iii) The members of AS2 have the right to participate in the
receipt of dividends from, or proceeds from the sale of, the
securities held for the account of AS2 in accordance with
their membership interests in AS2.
(iv) The shareholders of Aries Select have the right to
participate in the receipt of dividends from, or proceeds from
the sale of, the securities held for the account of Aries
Select in accordance with their ownership interests in Aries
Select.
(e) On February 13, 2004, Aries Select, AS1 and AS2 and ceased to
be members of a group under section 13D(3) under the
Securities Exchange Act of 1934 with respect to securities of
the Issuer.
Item 7. Material to be Filed as Exhibits:
Exhibit A - Copy of an Agreement between Dr. Rosenwald, Paramount Capital,
Aries Select and Aries I to file this Statement on Schedule 13D
on behalf of each of them.
Exhibit B - List of executive officers and directors of Paramount Capital
and information called for by Items 2-6 of this statement
relating to said officers and directors.
Exhibit C - List of executive officers and directors of Aries Select and
Aries II and information called for by Items 2-6 of this
statement relating to said officers and directors.
Exhibit D - List of executive officers and directors of Aries I and
information called for by Items 2-6 of this statement relating
to said officers and directors.
SIGNATURES
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.
PARAMOUNT CAPITAL ASSET MANAGEMENT, INC.
Dated: February 12, 2004
New York, NY By /s/ Lindsay A. Rosenwald, M.D.
---------------------------------------
Lindsay A. Rosenwald, M.D.
Chairman
ARIES SELECT DOMESTIC I, LLC
By: Paramount Capital Asset Management, Inc.
Managing Member
Dated: February 12, 2004
New York, NY By /s/ Lindsay A. Rosenwald, M.D.
---------------------------------------
Lindsay A. Rosenwald, M.D.
Chairman
ARIES SELECT DOMESTIC II, LLC
By: Paramount Capital Asset Management, Inc.
General Partner
Dated: February 12, 2004
New York, NY By /s/ Lindsay A. Rosenwald, M.D.
---------------------------------------
Chairman
ARIES SELECT, LTD.
By: Paramount Capital Asset Management, Inc.
Investment Manager
Dated: February 12, 2004
New York, NY By /s/ Lindsay A. Rosenwald, M.D.
---------------------------------------
Lindsay A. Rosenwald, M.D.
Chairman
Dated: February 12, 2004
New York, NY By /s/ Lindsay A. Rosenwald, M.D.
---------------------------------------
Lindsay A. Rosenwald, M.D.
AGREEMENT
JOINT FILING OF SCHEDULE 13D
The undersigned hereby agrees to jointly prepare and file with
regulatory authorities a Schedule 13D and any future amendments thereto
reporting each of the undersigned's ownership of securities of DOR BioPharma,
Inc. and hereby affirm that such Schedule 13D is being filed on behalf of each
of the undersigned.
PARAMOUNT CAPITAL ASSET MANAGEMENT, INC.
Dated: February 12, 2004
New York, NY By /s/ Lindsay A. Rosenwald, M.D.
---------------------------------------
Lindsay A. Rosenwald, M.D.
Chairman
ARIES SELECT DOMESTIC I, LLC
By: Paramount Capital Asset Management, Inc.
Managing Member
Dated: February 12, 2004
New York, NY By /s/ Lindsay A. Rosenwald, M.D.
---------------------------------------
Lindsay A. Rosenwald, M.D.
Chairman
ARIES SELECT DOMESTIC II, LLC
By: Paramount Capital Asset Management, Inc.
General Partner
Dated: February 12, 2004
New York, NY By /s/ Lindsay A. Rosenwald, M.D.
---------------------------------------
Lindsay A. Rosenwald, M.D.
Chairman
ARIES SELECT, LTD.
By: Paramount Capital Asset Management, Inc.
Investment Manager
Dated: February 12, 2004
New York, NY By /s/ Lindsay A. Rosenwald, M.D.
---------------------------------------
Lindsay A. Rosenwald, M.D.
Chairman
Dated: February 12, 2004
New York, NY By /s/ Lindsay A. Rosenwald, M.D.
---------------------------------------
Lindsay A. Rosenwald, M.D.
EXHIBIT B
The name and principal occupation or employment, which in each instance
is with Paramount Capital Asset Management, Inc. ("Paramount Capital") located
at 787 Seventh Avenue, 48th Floor, New York, New York, 10019, of each executive
officer and director of Paramount Capital is as follows:
PRINCIPAL OCCUPATION
NAME OR EMPLOYMENT
Lindsay A. Rosenwald, M.D. Chairman of the Board of Paramount Capital Asset
Management, Inc., Paramount Capital Investments,
LLC and Paramount Capital, Inc.
Mark C. Rogers, M.D. President of Paramount Capital Asset Management,
Inc., Paramount Capital Investments, LLC and
Paramount Capital, Inc.
Peter Morgan Kash Director of Paramount Capital Asset Management,
Inc., Senior Managing Director, Paramount
Capital, Inc.
Dr. Yuichi Iwaki Director of Paramount Capital Asset Management,
Inc., Professor, University of Southern
California School of Medicine
Item 2.
During the five years prior to the date hereof, none of the above
persons (to the best of Paramount Capital's knowledge) was convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) or
was a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction, as a result of which such person was or is subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, Federal or State securities laws or finding
any violation with respect to such laws.
Items 3-6.
Please refer to Items 3-6 herein reporting the beneficial ownership.
EXHIBIT C
The name and principal occupation or employment, which is located at
787 Seventh Avenue, 48th Floor, New York, New York, 10019, of the Managing
Member of Aries I and Aries II is as follows:
PRINCIPAL OCCUPATION
NAME OR EMPLOYMENT
Paramount Capital Asset Management, Inc. Investment Manager
Exhibit B is hereby incorporated by reference.
Item 2.
During the five years prior to the date hereof, the above person (to
the best of Aries Domestic's knowledge) has not been convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or was a party
to a civil proceeding of a judicial or administrative body of competent
jurisdiction, as a result of which such person was or is subject to a judgment,
decree or final order enjoining future violations of, or prohibiting or
mandating activities subject to, Federal or State securities laws or finding any
violation with respect to such laws.
Items 3-6.
Please refer to Items 3-6 herein reporting the beneficial ownership.
EXHIBIT D
The name and principal occupation or employment, which in each instance
is with Aries Select, Ltd. ("Aries Select") located at c/o Fortis Fund Services
(Cayman), P.O. Box 2003, British American Centre, Phase 3, Dr. Roy's Drive,
George Town, Grand Cayman, of each executive officer and director of Aries Trust
is as follows:
PRINCIPAL OCCUPATION
NAME OR EMPLOYMENT
Paramount Capital Asset Management, Inc. Investment Manager
Fortis Fund Services (Cayman) Administrator
Exhibit B is hereby incorporated by reference.
Item 2.
During the five years prior to the date hereof, neither of the above
persons (to the best of Aries Select's knowledge) have been convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) or
was a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction, as a result of which such person was or is subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, Federal or State securities laws or finding
any violation with respect to such laws.
Items 3-6.
Please refer to Items 3-6 herein reporting the beneficial ownership.