- Initial Statement of Beneficial Ownership (3)
March 11 2009 - 5:27PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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February 28, 2011
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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(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
First BioMed Management Associates LLC
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2. Date of Event Requiring Statement (MM/DD/YYYY)
3/2/2009
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3. Issuer Name
and
Ticker or Trading Symbol
ASPECT MEDICAL SYSTEMS INC [ASPM]
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(Last)
(First)
(Middle)
437 MADISON AVENUE - 31ST FLOOR
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
(1)
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1351179
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I
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See Note
(2)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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In addition to First BioMed Management Associates, LLC, this form is being filed jointly by First Manhattan Co. and Samuel F.
Colin, the sole co-managing members of First BioMed Management Associates, LLC, each of whom has the same business address
as First BioMed Management Associates, LLC. Each reporting person disclaims beneficial ownership of the securities reported
hereon except to the extent of its or his pecuniary interest, if any, therein.
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(
2)
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Represents securities held directly for the accounts of First BioMed, L.P. and First BioMed Portfolio, L.P., limited
partnerships of which First BioMed Management Associates, LLC is the general partner and investment adviser.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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First BioMed Management Associates LLC
437 MADISON AVENUE - 31ST FLOOR
NEW YORK, NY 10022
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X
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Colin Samuel F
437 MADISON AVENUE - 31ST FLOOR
NEW YORK, NY 10022
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X
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FIRST MANHATTAN CO
437 MADISON AVE
NEW YORK, NY 10022
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X
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Signatures
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/s/ Neal K. Stearns, Managing Member, First Manhattan LLC, General Partner of First Manhattan Co., Co-Managing Member of First BioMed Management Associates, LLC
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3/6/2009
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**
Signature of Reporting Person
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Date
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/s/Samuel F. Colin
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3/6/2009
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**
Signature of Reporting Person
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Date
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/s/ Neal K. Stearns, Managing Member of First Manhattan LLC, General Partner of First Manhattan Co.
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3/6/2009
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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