9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,139,057(1)
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.8%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT
(1) Lindsay A. Rosenwald, M.D., is the chairman, CEO and sole stockholder of
Paramount CapitalAsset Management, Inc. ("PCAM"). PCAM is the General Partner to
Aries Domestic Fund, a limited partnerships incorporated in Delaware and
Investment Manager to the Aries Master Fund II, a Cayman Islands exempted
company. Accordingly, Dr. Rosenwald's beneficial ownership consists of 171,666
shares of Common Stock and convertible securities to purchase 190,148 of Common
Stock owned directly by the Aries Master Fund II; 10,774 shares of Common Stock
and convertible securities to purchase 103,472 of Common Stock owned directly by
the Aries Domestic Fund; 358,245 shares of Common Stock beneficially owned by
RAQ, LLC, for which Dr. Rosenwald is the sole and managing member; and 238,118
shares of Common Stock and convertible securities to purchase 15, 804 shares of
Common Stock owned directly by Dr. Rosenwald;
2
3
ITEM 1(a). NAME OF ISSUER:
<PAGE>
ITEM 1(a). NAME OF ISSUER:
Palatin Technologies, Inc. |
