SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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Under the Securities Exchange Act of 1934
SCHEDULE 13G
INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
Zonagen, Inc.
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(Name of Issuer)
Common Stock, par value $0.001 per share
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(Title of Class of Securities)
98975L108
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(CUSIP Number)
March 27, 2002
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(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
|X| Rule 13d-1(b)
|_| Rule 13d-1(c)
|_| Rule 13d-1(d)
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Page 1 of 6 Pages
SCHEDULE 13G
CUSIP No. 98975L108 Page 2 of 6 Pages
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1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
First New York Securities L.L.C.
13-3270745
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2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |_|
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3) SEC USE ONLY
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4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER 5) SOLE VOTING POWER
OF
SHARES 905,300
BENEFICIALLY ------------------------------------------------------
OWNED BY 6) SHARED VOTING POWER
EACH
REPORTING None
PERSON ------------------------------------------------------
WITH 7) SOLE DISPOSITIVE POWER
905,300
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8) SHARED DISPOSITIVE POWER
None
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9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
905,300
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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)
8.0%
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12) TYPE OF REPORTING PERSON
BD
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Schedule 13G
Item 1(a). Name of Issuer:
Zonagen, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
2408 Timberloch Place, Suite B-4
The Woodlands, TX 77380
Item 2(a). Name of Person Filing:
First New York Securities L.L.C.
Item 2(b). Address of Principal Business Office or, if None, Residence:
850 Third Avenue, 17th Floor
New York, NY 10022
Item 2(c). Citizenship:
Delaware
Item 2(d). Title of Class of Securities:
Common Stock
Item 2(e). CUSIP Number:
98975L108
Item 3. If this statement is filed pursuant to ss.ss. 240.13d-1(b), or
240.13d-2(b) or (c), check whether the person filing is a:
(a) |X| Broker or Dealer Registered Under Section 15 of the Act
(15 U.S.C. 78o)
(b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C.
78c)
(c) |_| Insurance Company as defined in section 3(a)(19) of the
Act (15 U.S.C. 78c)
(d) |_| Investment Company registered under section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8)
(e) |_| Investment Adviser in accordance withss.
240.13d-1(b)(1)(ii)(E)
(f) |_| Employee benefit plan or endowment fund in accordance
withss.240.13d-1(b)(1)(ii)(F)
(g) |_| Parent Holding Company or control person in accordance
withss.240.13d-1(b)(ii)(G)
(h) |_| Savings Association as defined inss.3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813)
(i) |_| Church plan that is excluded from the definition of an
investment company under ss.3(c)(15) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3)
(j) |_| Group, in accordance withss.240.13d-1(b)(ii)(J)
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Item 4. Ownership.
(a) Amount beneficially owned: 905,300
(b) Percent of class: 8.0%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote: 905,300
(ii) Shared power to vote or to direct the vote: None
(iii) Sole power to dispose or to direct the disposition
of: 905,300
(iv) Shared power to dispose or to direct the
disposition of: None
Item 5. Ownership of Five Percent or Less of a Class.
Not Applicable.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
The shares reported on this Schedule are held in accounts owned by the Reporting
Person and a client of the Reporting Person, both of which are managed by an
employee of the Reporting Person. The owners of these accounts have the right to
receive or the power to direct the receipt of dividends from, or the proceeds
from the sale of, such securities. Perceptive Life Sciences L.L.C., a client of
the Reporting Person, is the owner of an account holding 788,900 shares, or 6.9%
of the class.
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on by the Parent Holding Company.
Not Applicable.
Item 8. Identification and Classification of Members of the Group.
Not Applicable.
Item 9. Notice of Dissolution of Group.
Not Applicable.
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Item 10. Certification.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not held for
the purpose of or with the effect of changing or influencing the control of the
issuer of the securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose or effect.
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SIGNATURE
After reasonable inquiry and to the best knowledge and belief of the
undersigned, the undersigned certifies that the information set forth in this
Statement is true, complete and correct.
April 5, 2002
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(Date)
/s/ Mario Maugeri
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(Signature)
Mario Maugeri, Director of Operations
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(Name/Title)
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