- Statement of Changes in Beneficial Ownership (4)
April 21 2009 - 7:14PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
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
|
|
1. Name and Address of Reporting Person
*
Roth Michael Anthony
|
2. Issuer Name
and
Ticker or Trading Symbol
ISOLAGEN INC
[
ILE
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
3600 SOUTH LAKE DRIVE
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/17/2009
|
(Street)
ST. FRANCIS, WI 53235
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock, $0.001 par value per share
|
4/17/2009
|
|
S
|
|
45300
|
D
|
$0.14
(2)
|
6699939
|
I
|
By: SF Capital Partners Ltd.
(1)
|
Common Stock, $0.001 par value per share
|
4/21/2009
|
|
S
|
|
25000
|
D
|
$0.13
|
6674939
|
I
|
By: SF Capital Partners Ltd.
(1)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
The shares of Common Stock are held directly by SF Capital Partners Ltd. ("SF Capital"). The Reporting Persons direct the
management of Stark Offshore Management LLC ("Stark Offshore"), which acts as investment manager and has sole power to
direct the management of SF Capital. As the Managing Members of Stark Offshore, the Reporting Persons possess voting and
dispositive power over all of the foregoing shares. Therefore, for the purposes of Rule 13d-3 under the Securities Exchange
Act of 1934, as amended, the Reporting Persons may be deemed to be the beneficial owners of, but hereby disclaim such
beneficial ownership of, the foregoing shares.
|
(
2)
|
This transaction was executed in multiple trades at prices ranging from $0.14 to $0.1403. The price reported above reflects
the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the
issuer or a security holder of the issuer full information regarding the number of shares and prices at which each
trade was effected.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Roth Michael Anthony
3600 SOUTH LAKE DRIVE
ST. FRANCIS, WI 53235
|
|
X
|
|
|
STARK BRIAN JAY
3600 SOUTH LAKE DRIVE
ST. FRANCIS, WI 53235
|
|
X
|
|
|
Signatures
|
Michael A. Roth
|
|
4/21/2009
|
**
Signature of Reporting Person
|
Date
|
Brian J. Stark
|
|
4/21/2009
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Isolagen (AMEX:ILE)
Historical Stock Chart
From Oct 2024 to Nov 2024
Isolagen (AMEX:ILE)
Historical Stock Chart
From Nov 2023 to Nov 2024