Filing Details

Accession Number:
0001019056-10-000018
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2010-01-08 12:00:00
Reporting Period:
2009-12-28
Filing Date:
2010-01-08
Accepted Time:
2010-01-08 15:03:21
Original Submission Date:
2009-12-30
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1418919 Cpex Pharmaceuticals Inc. CPEX Pharmaceutical Preparations (2834) 261172076
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1475843 Arcadia Capital Advisors, Llc 175 Great Neck Road, Suite 406
Great Neck NY 11021
No No Yes No
1479796 Arcadia Opportunity Master Fund, Ltd 175 Great Neck Road, Suite 406
Great Neck NY 11021
No No Yes No
1479797 Md Sass Finstrat Arcadia Capital Holdings, Llc 175 Great Neck Road, Suite 406
Great Neck NY 11021
No No Yes No
1480078 S James Frank 175 Great Neck Road, Suite 406
Great Neck NY 11021
No No Yes No
1480082 S Richard Rofe 175 Great Neck Road, Suite 406
Great Neck NY 11021
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.01 Acquisiton 2009-12-28 20,657 $10.85 86,657 No 4 P Indirect By Arcadia Opportunity Master Fund, Ltd.
Common Stock, Par Value $0.01 Acquisiton 2009-12-29 5,700 $11.00 92,357 No 4 P Indirect By Arcadia Opportunity Master Fund, Ltd.
Common Stock, Par Value $0.01 Acquisiton 2009-12-30 58 $11.09 210,058 No 4 P Direct
Common Stock, Par Value $0.01 Acquisiton 2009-12-30 100 $11.00 210,158 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Arcadia Opportunity Master Fund, Ltd.
No 4 P Indirect By Arcadia Opportunity Master Fund, Ltd.
No 4 P Direct
No 4 P Direct
Footnotes
  1. These securities are owned solely and directly by Arcadia Opportunity Master Fund, Ltd. (the "Fund"), which is a member of a "group" with Mr. James Frank for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Arcadia Capital Advisors, LLC, a Delaware limited liability company, is the investment manager ("Investment Manager") of the Fund and has discretionary investment authority over the Fund's assets. The managing member of the Investment Manager is M.D. Sass FinStrat Arcadia Capital Holdings, LLC (the "Managing Member").
  2. (Continued from Footnote 1) Richard Rof? is the managing director and a principal of the Investment Manager and serves as the portfolio manager of the Fund, subject to the oversight of the Managing Member and the Investment Manager. All Reporting Persons (other than the Fund) disclaim beneficial ownership of these securities, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act or for any other purpose.
  3. These securities are owned solely and directly by Mr. James Frank, who is a member of a "group" with the other Reporting Persons for purposes of Section 13(d) of the Exchange Act.