SEC Info - Rosenwald Lindsay A MD - ‘4’ for 6/1/00 re: Repligen Corp.

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Rosenwald Lindsay A MD – ‘4’ for 6/1/00 re: Repligen Corp.

As of: Monday, 7/10/00 · For: 6/1/00 · Accession #: 1005477-0-5044 · File #: 0-14656

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 7/10/00  Rosenwald Lindsay A MD            4          10% Owner   1:9K   Repligen Corp.                    CT EDGAR123/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of        4     15K 
                Securities by an Insider                                         

4 1st Page of 4 TOC ↑Top Previous Next ↓Bottom Just 1st
 
 U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

FORM 4

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

|_|   Check this box if no longer subject to Section 16. Form 4 or Form 5       
obligations may continue. See Instruction 1(b).                     

================================================================================
1. Name and Address of Reporting Person*                                        

Rosenwald, M.D.       Lindsay                 A.                          
--------------------------------------------------------------------------------
(Last)               (First)                 (Middle)                     

c/o Paramount Capital Asset Management, Inc.                              
787 Seventh Avenue, 48th Floor                                            
--------------------------------------------------------------------------------
(Street)

New York              NY                      10019                       
--------------------------------------------------------------------------------
(City)               (State)                 (Zip)                        

================================================================================
2. Issuer Name and Ticker or Trading Symbol                                     

Repligen Corporation (RGEN)                                               
================================================================================
3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)      

================================================================================
4. Statement for Month/Year                                                     

June 2000                                                                 
================================================================================
5. If Amendment, Date of Original (Month/Year)                                  

================================================================================
6. Relationship of Reporting Person to Issuer                                   
(Check all applicable)                                                    

|_|   Director                             |X|   10% Owner                
|_|   Officer (give title below)           |_|   Other (specify below)    

================================================================================
7. Individual or Joint/Group Filing (Check Applicable Line)                     

|_|  Form filed by one Reporting Person                                   
|X|  Form filed by more than one Reporting Person                         

================================================================================

* If the Form is filed by more than one Reporting Person, see Instruction       
4(b)(v).                                                                    

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================================================================================
 Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned 
================================================================================

                                                        [Enlarge/Download Table]

                                                                                                     6.                             
                                                      4.                              5.             Owner-                         
                                                      Securities Acquired (A) or      Amount of      ship                           
                                         3.           Disposed of (D)                 Securities     Form:     7.                   
                                         Transaction  (Instr. 3, 4 and 5)             Beneficially   Direct    Nature of            
                           2.            Code         ----------------------------    Owned at End   (D) or    Indirect             
1.                         Transaction   (Instr. 8)                   (A)             of Month       Indirect  Beneficial           
Title of Security          Date          ------------     Amount      or     Price    (Instr. 3      (I)       Ownership            
(Instr. 3)                 (mm/dd/yy)     Code     V                  (D)             and 4)         (Instr.4) (Instr. 4)           
------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                    
                                                                                                               By The Aries         
Common Stock               06/13/00       P               3,029       A      $5.813    4,885,200(1)  I         Master Fund II(2)    
------------------------------------------------------------------------------------------------------------------------------------
                                                                                                               By Aries Domestic    
Common Stock               06/13/00       P               1,584       A      $5.813    4,885,200(1)  I         Fund, L.P.(2)        
------------------------------------------------------------------------------------------------------------------------------------
                                                                                                               By Aries Domestic    
Common Stock               06/13/00       P                 387       A      $3.789    4,885,200(1)  I         Fund II, L.P.(2)     
====================================================================================================================================

Reminder: Report on a separate line for each class of securities beneficially   
owned directly or indirectly.                                                   

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FORM 4 (continued)                                                              

Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned  
      (e.g., puts, calls, warrants, options, convertible securities)

================================================================================

                                                        [Enlarge/Download Table]

                                                                                                          9.        10.             
                                                                                                          Number    Owner-          
                                                                                                          of        ship            
                    2.                                                                                    Deriv-    Form of         
                    Conver-                    5.                              7.                         ative     Deriv-   11.    
                    sion                       Number of                       Title and Amount           Secur-    ative    Nature 
                    of                         Derivative    6.                of Underlying     8.       ities     Secur-   of     
                    Exer-             4.       Securities    Date              Securities        Price    Bene-     ity:     In-    
                    cise     3.       Trans-   Acquired (A)  Exercisable and   (Instr. 3 and 4)  of       ficially  Direct   direct 
                    Price    Trans-   action   or Disposed   Expiration Date   ----------------  Deriv-   Owned     (D) or   Bene-  
1.                  of       action   Code     of(D)         (Month/Day/Year)            Amount  ative    at End    In-      ficial 
Title of            Deriv-   Date     (Instr.  (Instr. 3,    ----------------            or      Secur-   of        direct   Owner- 
Derivative          ative    (Month/  8)       4 and 5)      Date     Expira-            Number  ity      Month     (I)      ship   
Security            Secur-   Day/     ------   ------------  Exer-    tion               of      (Instr.  (Instr.   (Instr.  (Instr.
(Instr. 3)          ity      Year)    Code V    (A)   (D)    cisable  Date     Title     Shares  5)       4)        4)       4)     
------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                    
N/A                                                                                                                                 
====================================================================================================================================

Explanation of Responses:                                                       

(1)   See Attachment A                                                          

(2)   Paramount Capital Asset Management, Inc. ("PCAM") is the general partner  
   of each of the Aries Domestic Fund, L.P. ("Aries I") and Aries Domestic
     Fund II, L.P. ("Aries II"), each a Delaware limited partnership, and also
  serves as the investment manager of the Aries Master Fund II, a Cayman
      Island exempted company (the "Master Fund"), which also owns securities of
      the Issuer. Dr. Rosenwald is the chairman and sole stockholder of PCAM. As
a result, Dr. Rosenwald and PCAM may be deemed to have voting and   
   investment control over the securities of the issuer owned by the Aries
   Funds under Rule 16a-(a)(1) of the Securities Exchange Act of 1934. Dr.
      Rosenwald and PCAM disclaim beneficial ownership of the securities held by
    the Aries Funds, except to the extent of its pecuniary interest therein,
if any.                                                             

**  Intentional misstatements or omissions of facts constitute Federal Criminal 
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).                   

/s/ Lindsay A. Rosenwald                                      July 10, 2000     
---------------------------------------------            -----------------------
** Signature of Reporting Person                                  Date          
Lindsay A. Rosenwald, M.D.                                                
Chairman                                                                  
Paramount Capital Asset Management, Inc.                                  
Investment Manager - Aries Master Fund II                                 
General Partner - Aries Domestic Fund, L.P.                               
General Partner - Aries Domestic Fund II, L.P.                            

Note: File three copies of this Form, one of which must be manually signed. If  
space provided is insufficient, see Instruction 6 for procedure.    

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ATTACHMENT A

Securities beneficially owned by Dr. Rosenwald are presented on an as-converted 
basis and consist of the following:                                             

1.    3,296,122 shares of common stock of the Issuer, par value $0.01 per share 
(the "Common Stock") owned by The Aries Master Fund, a Cayman Island
Exempted Company (the "Master Fund")                                

2.    1,334,021 shares of Common Stock of the Issuer owned by Aries Domestic    
Fund, L.P. ("Aries I")                                              

3.    221,807 shares of Common Stock owned by Aries Domestic Fund II, L.P.      
     ("Aries II" and collectively with Aries I and the Master Fund, the "Aries
Funds")                                                             

4.    Warrants to purchase 33,250 shares of Common Stock owned directly by Dr.  
Rosenwald.                                                          

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Dates Referenced Herein and Documents Incorporated by Reference

		Referenced-On Page
This ‘4’ Filing	Date	First	Last	Other Filings

Filed on:	7/10/00	3		4, 4/A
For Period end:	6/1/00			4
				List all Filings

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Filing Submission 0001005477-00-005044 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Rosenwald Lindsay A MD – ‘4’ for 6/1/00 re: Repligen Corp.

As of: Monday, 7/10/00 · For: 6/1/00 · Accession #: 1005477-0-5044 · File #: 0-14656

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Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

Dates Referenced Herein and Documents Incorporated by Reference

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents