UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants | Â (3) | 09/27/2014 | Common Stock | 3,952,569 (3) | $ 0.278 | I | See Footnotes (1) (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BAM Management LLC 1 LIBERTY PLAZA, 27TH FLOOR NEW YORK, NY 10006 |
 |  X |  |  |
Berman Ross 1 LIBERTY PLAZA, 27TH FLOOR NEW YORK, NY 10006 |
 |  X |  |  |
Mintz Hal 1 LIBERTY PLAZA, 27TH FLOOR NEW YORK, NY 10006 |
 |  X |  |  |
BAM Management, LLC by Ross Berman, Managing Member | 08/19/2010 | |
**Signature of Reporting Person | Date | |
Ross Berman | 08/19/2010 | |
**Signature of Reporting Person | Date | |
Hal Mintz | 08/19/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | The reported securities are held by investment funds for which BAM Management, LLC serves as investment manager. Mr. Hal Mintz and Mr. Ross Berman serve as managing members of BAM Management, LLC. In their respective capacities, each of BAM Management, LLC, Mr. Hal Mintz and Mr. Ross Berman may be deemed to beneficially own the reported securities. |
(2) | Each of the reporting persons disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(3) | An investment fund for which BAM Management, LLC serves as investment manager holds warrants to purchase up to 3,953,569 shares of Common Stock of Soligenix, Inc. (the "Issuer"), which are subject to a contractual provision limiting the ability to exercise such warrants to the extent that the investment fund and its affiliates would, as a result of such exercise, beneficially own in excess of 4.999% of the Issuer's Common Stock. Accordingly those warrants are currently not exercisable. |