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As Of Filer Filing For·On·As Docs:Size Issuer Agent 10/04/07 Promed Partners II LP 144 Other 1:37K Neurologix Inc/DE Edgar Ease Svc Bureau/FA |
Document/Exhibit Description Pages Size 1: 144 Notice of Proposed Sale of Securities HTML 34K
| Form 144 |
|
SECURITIES AND EXCHANGE
COMMISSION FORM 144NOTICE OF
PROPOSED SALE OF SECURITIES |
| 1(a) NAME OF ISSUER (Please type or print) | (b) IRS IDENT. NO. | (c) SEC FILE NO. | ||
|---|---|---|---|---|
| NEUROLOGIX, INC | 06-1582875 | |||
| 1(d) ADDRESS OF ISSUER | STREET | CITY | STATE | ZIP CODE | (e) TELEPHONE
NUMBER (with area code) |
|---|---|---|---|---|---|
| ONE BRIDGE PLAZA | FORT LEE | NJ | 07024 | (201)592-6451 |
|
2(a) NAME OF PERSON FOR
WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD |
(b) IRS IDENT. NO. |
(c)
RELATIONSHIP TO ISSUER |
(d) ADDRESS STREET | CITY | STATE | ZIP CODE | |||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| PROMED PARTNERS II, L.P. | OTHER | 237 PARK AVE 9TH FL | NEW YORK | NY | 10017 | ||||||||
|
INSTRUCTION: The person filing this notice should contact the issuer to obtain the IRS Identification Number and the SEC File Number. |
| 3(a) | (b) |
SEC USE ONLY
|
(c) | (d) | (e) | (f) | (g) | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Title Of
The Class Of Securities To Be Sold |
Name and
Address Of Each Broker Through Whom The Securities Are to Be Offered Or Each Market Maker Who Is Acquiring The Securities |
Broker-Dealer File Number |
Number Of Shares Or Other Units to be Sold (See Instr. 3(c)) |
Aggregate Market Value (See Instr. 3(d)) |
Number of Shares Or Other Units Outstanding (See Instr. 3(e)) |
Approximate Date of Sale (See Instr. 3(f)) (Mo. Day Yr.) |
Name of Each Securities Exchange (See Instr. 3(g)) |
||||||||
| COMMON STOCK |
UBS
SECURITIES, LLC 677 WASHINGTON BLVD STAMFORD, CT 06901 |
8,907 | $9,709 | 26,812,378 | OTC BB | ||||||||||
| INSTRUCTIONS: |
| 1. 2. |
(a) (b) (c) (d) (e) (a) (b) (c) (d) |
Name of
Issuer. Issuer’s IRS Identification Number. Issuer’s SEC file number, if any. Issuer’s address, including zip code. Issuer’s telephone number, including area code. Name of person for whose account the securities are to be sold. Such person’s IRS identification number, if such person is an entity. Such person’s relationship to the issuer, (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing. Such person’s address, including zip code. |
3. |
(a) (b) (c) (d) (e) (f) (g) |
Title of the
class of securities to be sold. Name and address of each broker through whom the securities are intended to be sold. Number of shares or other units to be sold (if dept securities, give the aggregate face amount. Aggregate Market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice. Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published bye the issuer. Approximate date on which the securities are to be sold. Name of each securities exchange, if any, on which the securities are intended to be sold. |
TABLE I – SECURITIES TO BE SOLDFurnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefore: |
|
Title Of The Class |
Date You Acquired |
Nature Of Acquisition
Transaction
|
Name of Person From Whom Acquired (If Gift, Also Give Date Donor Acquired) |
Amount Of Securities Acquired |
Date Of Payment |
Nature Of Payment
|
|||||
|---|---|---|---|---|---|---|---|---|---|---|---|
| SERIES C CONVERTIBLE PREFERRED COMMON STOCK |
5/11/06 6/7/06 9/8/06 10/3/06
|
DIRECT INVESTMENT INTEREST PMT " CONVERSION OF PREFERRED STOCK |
NEUROLOGIX, INC. " N/A |
440 2 11 8,907 |
5/11/06 N/A N/A N/A |
CASH N/A N/A N/A |
|||||
| INSTRUCTIONS: | 1. | If the securities were purchased and full payment therefor was not made in cash at the | 2. | If within two years after the acquisition of the | |||
| time of purchase, explain in the table or in a note thereto the nature of the consideration | securities the person for whose account they | ||||||
| given. If the consideration consisted of any note or other obligation, or if payment was | are to be sold had any short positions, put or | ||||||
| made in installments describe the arrangement and state when the note or other | other option to dispose of securities referred | ||||||
| obligation was discharged in full or the last installment paid. | to in paragraph (d) (3) of Rule 144, furnish | ||||||
| full information with respect thereto. | |||||||
|
TABLE
II – SECURITIES SOLD DURING THE PAST THREE MONTHS |
|
Name and Address of
Seller
|
Title of Securities
Sold
|
Date of Sale
|
Amount Of Securities Sold |
Gross
Proceeds
|
|||||
|---|---|---|---|---|---|---|---|---|---|
| REMARKS: |
| INSTRUCTIONS: | ATTENTION: |
|
See the definition of
“person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. |
The person for whose account
the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. |
|
10/02/2007 (Date of Notice) |
/s/ David B. Musket
(Signature) |
|
The
notice shall be signed by the person for whose account the securities are to be
sold. At least one copy of the notice shall be manually signed. Any copies not
manually signed shall bear typed or printed signatures. |