- Amended tender offer statement by Issuer (SC TO-I/A)
03 Janvier 2011 - 9:46PM
Edgar (US Regulatory)
Schedule 13D/A
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UNITED STAES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No._9__________)*
Alseres Pharmaceuticals, Inc.
(Name of Issuer)
Common
(Title of Class of Securities)
021152103
(CUSIP Number)
Robert L. Gipson
c/o Ingalls & Snyder LLC
61 Broadway
New York, NY 10006
(212) 269-7827
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
December 28, 2010
(Date of Event which Requires Filing
of this Statement)
If the filing person has previously filed a statement of Schedule 13G to report
the acquisition which is the subject of the Schedule 13D, and is filing this
schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box [ ].
*The remainder of this cover page shall be filed out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
(Continued on following page(s))
CUSIP No.021152103 13D
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Robert L. Gipson
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
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4 SOURCE OF FUNDS*
PF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 23,084,004
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 23,084,004
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
23,084,004
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
57%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
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The following Items are amended and restated in their entirety:
Item 1. Security and Issuer
Common Stock, $0.01 par value per share ("Common Stock")
Alseres Pharmaceuticals, Inc.
239 South Street
Hopkinton, MA 01748
Item 2. Identity and Background
(a)Robert L. Gipson
(b)Business address and principal office for the Reporting Person:
c/o Ingalls & Snyder LLC
61 Broadway
New York, NY 10006
(c)Present principal occupation or employment and the name, principal
business and address where employment occurs.
Gipson is a senior director of Ingalls & Snyder, LLC, a broker dealer
and investment advisor.
(d) & (e) Involvement in certain legal proceedings:
During the last five years,the Reporting Person has not
been convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors). During the last five years
the reporting person was not a party to a civil proceeding of a judicial
or administrative body of competent jurisdiction, and is not subject
to a judgment, decree or final order enjoining future violations of,
or prohibiting or mandating activities subject to, federalor state
securities laws or finding any violation with respect to such laws.
(f)Citizenship:
U.S. citizen.
Item 3. Source and Amount of Funds or Other Consideration.
Personal funds.
The agregate purchase price for the 10,836,004 common shares,
196,000 convertible preferred F shares, and 13,000,000 convertible
notes was $32,858,238.
Item 4. Purpose of Transaction
Investment.
Item 5. Interest in Securities of the Issuer
(a) Mr. Gipson is the beneficial owner of and has sole power to vote and
dispose of the 23,084,004 shares of Common Stock that he owns directly.
These shares constitute 57% of the outstanding common shares of Alseres
common shares assuming conversion of all his convirtible securtities.
(d) Not applicable.
(e)
Item 6.Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer.
None
Item 7. Material to be Filed as Exhibits.
None
Incorporate by reference the original 13D.
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true,
complete and correct.
Date: December 28, 2010
/s/ Robert L. Gipson
ROBERT L. GIPSON
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