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OMB Number 3235-0145
Expires: December 31, 1997
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
NEOPROBE CORPORATION
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, $.001 per share
- --------------------------------------------------------------------------------
(Title of Class of Securities)
640518106
- --------------------------------------------------------------------------------
(CUSIP Number)
Mr. Stanley Knowlton John E. Osnato, Esq
Knowlton Brothers, Inc. Kavanagh Maloney &
530 Fifth Avenue Osnato LLP
New York NY 10036 415 Madison Avenue
(212) 764-3602 New York, NY 10017
(212) 207-8400
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
October 14, 1998
- --------------------------------------------------------------------------------
(Date of Event which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition which is the subject of this Schedule 13D, and is filing
this schedule because of Rule 13d-1(b)(3), or (4), check the following box [_].
Check the following box if a fee is being paid with the statement [_]. (A fee is
not required only if the reporting person: (1) has a previous statement on file
reporting beneficial ownership of more htan five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporitng beneficial ownership of five percent or less of such class.)
(See Rule 13d-7)
Note: Six Copies of this statement, including all exhibits, should be filed with
the Commission. See Rule 13d-1(a) for other parties to whom copies are to be
sent.
The remainder of this cover page shall be filled 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
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 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).
Page 1 of 37 Pages
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 2 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
The Family Partnership, L.P.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 234,400
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 234,400
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
234,400
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.02%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 3 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
The Frontier Partnership, L.P.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 167,400
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 167,400
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
167,400
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.73%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTENTION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 4 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
The Darwin Partnership, L.P
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 232,700
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 232,700
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
232,700
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.01%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
CUSIP No. 640518106 Page 5 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
The Flagship Partners, Ltd
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
00
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 90,000
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 90,000
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
90,000
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.39%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
CO
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 6 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Darwin Offshore Partners, Ltd.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 17,800
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 17,800
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
17,800
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.07%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
CO
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 7 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Barker, Lee & Co., Limited Partnership
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Connecticut
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 152,000
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 152,000
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
152,000
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.66%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 8 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
J.M.R. Barker Foundation
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 120,400
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 120,400
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
120,400
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.53%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
CO
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 9 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Quaker Hill Associates, L.P.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 36,900
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
36,900
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
36,900
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.16%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 10 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Upland Associates L.P.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 86,400
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 86,400
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
86,400
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.38%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 11 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Namakagon Associates, L.P.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 229,200
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 229,200
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
229,200
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.01%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 12 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Family Partners & Co.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
234,400
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
234,400
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
234,400
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.02%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 13 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Frontier Partners & Co.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
167,400
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
167,400
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
167,400
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.73%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
PN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 14 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Knowlton Brothers, Inc.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
509,600
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
509,600
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.22%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
CO
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 15 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Knowlton Associates, Inc.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
167,400
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
167,400
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.73%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
CO
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 16 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Hugh Knowlton Trust For The Benefit of Erica Knowlton
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
00
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 30,000
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 30,000
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
30,000
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.13%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
00
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 17 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Winthrop Knowlton
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 16,060
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 16,060
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
788,360
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
788,360
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.44%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 18 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Stanley Knowlton
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 16,900
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 16,900
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
759,200
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
759,200
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_]
The aggregate amount in row (11) excludes shares deemed to be held by
Stanley Knowlton's wife
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.31%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 19 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Christopher Knowlton
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 3,000
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 3,000
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
235,700
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
235,700
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.02%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 20 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Robert R. Barker
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
591,500
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
591,500
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.58%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 640518106 Page 21 of 37 Pages
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Dwight E. Lee
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
WC and 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
USA
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 21,800
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 21,800
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
999,800
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
999,800
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.37%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION.
<PAGE>
Page 22 of 37 Pages
AMENDMENT NO. 3 TO SCHEDULE 13D
Item 1. Security and Issuer
The class of equity securities to which this Amendment No. 3 to Schedule
13D relates is the Common Stock, $.001 par value ("Common Stock") of Neoprobe
Corporation, a Delaware corporation (the "Issuer"), whose principal executive
offices are located at 425 Metro Place North, Suite 400, Dublin, Ohio 43017.
Item 2. Identity and Background
(a) - (c) and (f). The persons filing this statement are: The Family
Partnership, L.P., a Delaware limited partnership (the "Family Partnership"),
The Frontier Partnership, L.P., a Delaware limited partnership (the "Frontier
Partnership"), The Darwin Partnership, L.P., a Delaware limited partnership (the
"Darwin Partnership"), Flagship Partners, Ltd., a British Virgin Islands
corporation ("Flagship"), Darwin Offshore Partners, Ltd., a British Virgin
Islands corporation ("Darwin, Ltd."), Barker, Lee & Co., Limited Partnership, a
Connecticut limited partnership ("Barker, Lee & Co."), the J.M.R. Barker
Foundation, a New York not-for-profit corporation (the "Foundation"), Quaker
Hill Associates, L.P., a Delaware limited partnership ("Quaker Hill"), Upland
Associates, L.P. a Delaware limited partnership ("Upland"), Namakagon
Associates, L.P., a Delaware limited partnership ("Namakagon"), Family Partners
& Co., a New York general partnership (the "Family GP"), Frontier Partners &
Co., a New York
<PAGE>
Page 23 of 37 Pages
general partnership (the "Frontier GP" and, together with the Family GP, the
"GPs"), Knowlton Brothers, Inc., a New York corporation ("KBI"), Knowlton
Associates, Inc., a New York corporation ("KAI"), Hugh Knowlton Trust For The
Benefit of Erica Knowlton (the "Trust"), Winthrop Knowlton ("WK"), Stanley
Knowlton ("SK"), Christopher Knowlton ("CK"), Robert R. Barker ("RB") and Dwight
E. Lee ("DL") (collectively, the "Reporting Persons"). Attached as Schedule 1
and incorporated by reference is a table setting forth changes in the executive
officers and directors of each Reporting Person that is a corporation since the
last filing.
Item 5. Interest in Securities of the Issuer
(a) The Reporting Persons own beneficially an aggregate amount of 1,454,960
shares of Common Stock, constituting approximately 6.36% of the shares of the
Common Stock outstanding, as reflected in information obtained directly from the
Issuer.
The Family Partnership is the beneficial owner of 234,400 shares of Common
Stock owned by it directly. The Frontier Partnership is the beneficial owner of
167,400 shares of Common Stock owned by it directly. The Darwin Partnership is
the beneficial owner of 232,700 shares of Common Stock owned by it directly.
Flagship is the beneficial owner of 90,000 shares of Common Stock owned by it
directly. Darwin, Ltd. is the owner of 17,800 shares of Common Stock owned by it
directly. Barker, Lee & Co. is the owner of 152,000 shares of Common Stock owned
by it directly. The Foundation is the owner of 120,400 shares of Common Stock
owned by it directly. Quaker Hill is the owner of 36,900
<PAGE>
Page 24 of 37 Pages
shares of Common Stock owned by it directly. Upland is the owner of 86,400
shares of Common Stock owned by it directly. Namakagon is the owner of 229,200
shares of Common Stock owned by it directly.
The Family GP, the sole general partner of the Family Partnership, may be
deemed to be the beneficial owner of all the 234,400 shares of Common Stock
owned by the Family Partnership. The Family GP disclaims beneficial ownership of
those shares of Common Stock that represent the interests of the limited
partners of the Family Partnership.
The Frontier GP, the sole general partner of the Frontier Partnership, may
be deemed to be the beneficial owner of all the 167,400 shares of Common Stock
owned by the Frontier Partnership. The Frontier GP disclaims beneficial
ownership of those shares of Common Stock that represent the interests of the
limited partners of the Frontier Partnership.
KBI may be deemed to be the beneficial owner of 509,600 shares of Common
Stock. KBI may be deemed to be the beneficial owner of (i) 401,800 shares owned
by the Family Partnership and the Frontier Partnership because it jointly
controls the GPs, (ii) 90,000 shares owned by Flagship because it is the
investment advisor to Flagship, and (iii) 17,800 shares owed by Darwin, Ltd.
because it is the investment advisor to Darwin, Ltd. KBI disclaims beneficial
ownership of those shares of Common Stock that represent the interest of KAI in
the Frontier GP, the interests of the limited partners of the Family Partnership
and the Frontier
<PAGE>
Page 25 of 37 Pages
Partnership, the interests of the members of Flagship and the interests of the
members of Darwin, Ltd.
KAI may be deemed to be the beneficial owner of 167,400 shares of Common
Stock which are owned by the Frontier Partnership because it jointly controls
the Frontier GP. KAI disclaims beneficial ownership of those shares of Common
Stock that represent the interest of KBI in the Frontier GP and the interests of
the limited partners of the Frontier Partnership.
The Trust is the beneficial owner of 30,000 shares of Common Stock owned by
it directly.
WK may be deemed to be the beneficial owner of 788,360 shares of Common
Stock, (i) 401,800 shares of which are owned by the Family Partnership and the
Frontier Partnership and may be deemed to be owned by WK because he jointly
controls the GPs, (ii) 232,700 shares of which are owned by the Darwin
Partnership and may be deemed to be owned by WK because he is a general partner
of the Darwin Partnership, (iii) 107,800 shares of which are owned by Flagship
and Darwin, Ltd. and may be deemed to be owned by him because he is a managing
director of KBI, the investment advisor to Flagship and Darwin Ltd., (iv) 30,000
shares of which are owned by the Trust and may be deemed to be owned by WK
because WK is one of the two trustees of the Trust, and (v) 16,000 shares of
which are owned directly by WK through an IRA account and 60 shares of which are
owned directly by WK in his individual account. WK disclaims beneficial
ownership of those shares of Common Stock which represent the interests of the
other partners of the Family
<PAGE>
Page 26 of 37 Pages
Partnership, the Frontier Partnership and the Darwin Partnership, the interests
of the members of Flagship and Darwin, Ltd. and the interests of the Trust.
SK may be deemed to be the beneficial owner of 759,200 shares of Common
Stock, (i) 401,800 shares of which are owned by the Family Partnership and the
Frontier Partnership and may be deemed to be owned by SK because he jointly
controls the GPs, (ii) 232,700 shares of which are owned by the Darwin
Partnership and may be deemed to be owned by SK because he is a general partner
of the Darwin Partnership, (iii) 107,800 shares of which are owned by Flagship
and Darwin, Ltd. and may be deemed to be owned by him because he is a managing
director of KBI, the investment advisor to Flagship and Darwin, Ltd., (iv)
16,700 shares of which are owned directly by SK in his own account and through
an IRA account, and (v) 200 shares of which are owned by Calvin Fowler Knowlton,
his son, and may be deemed to be owned by him because they are held in an
account over which he is custodian. The amount of beneficial ownership reported
with respect to SK on row (11) of Page No. 18 excludes shares of Common Stock
deemed to be owned by Margaret Knowlton, his wife, by virtue of her limited
partnership interest in the Family Partnership. SK disclaims beneficial
ownership of those shares of Common Stock which represent the interests of the
other partners of the Family Partnership, the Frontier Partnership and the
Darwin Partnership the interests of the members of Flagship and Darwin, Ltd. and
those shares owned by his son.
<PAGE>
Page 27 of 37 Pages
CK may be deemed to be the beneficial owner of 235,700 shares of Common
Stock, (i) 232,700 shares of which are owned by the Darwin Partnership and may
be deemed to be owned by CK because he is a general partner of the Darwin
Partnership, and (ii) 3,000 shares of which are owned directly by CK through an
IRA account. CK disclaims beneficial ownership of those shares of Common Stock
which represent the interests of the other partners of the Darwin Partnership.
RB may be deemed to be the beneficial owner of 591,500 shares of Common
Stock, (i) 471,100 shares of which are owned by the Darwin Partnership, Barker,
Lee & Co. and Upland and may be deemed to be owned by RB because he is a general
partner of each such entity, and (ii) 120,400 shares of which are owned by the
Foundation and may be deemed to be owned by RB because he is the President of
the Foundation. RB disclaims beneficial ownership of those shares of Common
Stock which represent the interests of the other partners of the Darwin
Partnership, Barker, Lee & Co. and Upland and all of the shares of Common Stock
owned by Foundation.
DL may be deemed to be the beneficial owner of 999,800 shares of Common
Stock, (i) 857,600 shares of which are owned by the Darwin Partnership, Barker,
Lee & Co., Quaker Hill, Upland and Namakagon and may be deemed to be owned by DL
because he is a general partner of each such entity, (ii) 120,400 shares of
which are owned by the Foundation and may be deemed to be owned by DL because he
is a Vice President of the Foundation, and (iii) 21,800 of which are owned
directly by DL through IRA accounts. DL
<PAGE>
Page 28 of 37 Pages
disclaims beneficial ownership of those shares of Common Stock which represent
the interests of the other partners of the Darwin Partnership, Barker, Lee &
Co., Quaker Hill, Upland and Namakagon and all of the shares of Common Stock
owned by the Foundation.
(b) See pages 2 through 21 of this Schedule 13D.
(c) Within the period from August 15, 1998 through the date hereof, the
Reporting Persons purchased shares of Common Stock and Warrants on the dates, in
the amounts and at the prices per share set forth on Schedule 2 attached hereto
and incorporated by reference herein. All such purchases were made through
NASDAQ.
Item 7. Materials to be Filed as Exhibits
Exhibit A -- Joint Filing Agreement, dated October 16, 1998.
<PAGE>
Page 29 of 37 Pages
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief, we
certify that the information set forth in this statement is true, complete and
correct.
Dated: October 16, 1998
THE FRONTIER PARTNERSHIP, L.P. THE FAMILY PARTNERSHIP, L.P.
By: Frontier Partners & Co., By: Family Partners & Co.,
as general partner as general partner
By: Knowlton Brothers, Inc., By: Knowlton Brothers, Inc.,
as general partner as general partner
By: /s/ Stanley Knowlton By: /s/ Stanley Knowlton
-------------------- --------------------
Name: Stanley Knowlton Name: Stanley Knowlton
Title: President Title: President
THE DARWIN PARTNERSHIP, L.P. DARWIN OFFSHORE PARTNERS, LTD.
By: Knowlton Brothers, Inc.,
By: /s/ Stanley Knowlton as Investment Advisor
--------------------
Name: Stanley Knowlton
Title: General Partner
By: /s/ Stanley Knowlton
--------------------
Name: Stanley Knowlton
Title: President
BARKER, LEE & CO. QUAKER HILL ASSOCIATES, L.P.
By: /s/ Dwight E. Lee By: /s/ Dwight E. Lee
----------------- -----------------
Name: Dwight E. Lee Name: Dwight E. Lee
Title: General Partner Title: General Partner
J.M.R. BARKER FOUNDATION
By: /s/ Dwight E. Lee
-----------------
Name: Dwight E. Lee
Title: Vice President
<PAGE>
Page 30 of 37 Pages
UPLAND ASSOCIATES, L.P. NAMAKAGON ASSOCIATES, L.P.
By: /s/ Dwight E. Lee By: /s/ Dwight E. Lee
-------------------------- -------------------------
Name: Dwight E. Lee Name: Dwight E. Lee
Title: General Partner Title: General Partner
FLAGSHIP PARTNERS, LTD. FAMILY PARTNERS & CO.
By: Knowlton Brothers, Inc., By: Knowlton Brothers, Inc.,
as Investment Advisor as general partner
By: /s/ Stanley Knowlton By: /s/ Stanley Knowlton
------------------------- -------------------------
Name: Stanley Knowlton Name: Stanley Knowlton
Title: President Title: President
FRONTIER PARTNERS & CO. KNOWLTON BROTHERS, INC.
By: Knowlton Brothers, Inc.,
as general partner By: /s/ Winthrop Knowlton
-------------------------
Name: Winthrop Knowlton
Title: Chairman
By: /s/ Winthrop Knowlton
-------------------------
Name: Winthrop Knowlton
Title: Chairman /s/ Winthrop Knowlton
-------------------------
WINTHROP KNOWLTON
KNOWLTON ASSOCIATES, INC.
/s/ Christopher Knowlton
-------------------------
By: /s/ Winthrop Knowlton CHRISTOPHER KNOWLTON
-------------------------
Name: Winthrop Knowlton
Title: Chairman
/s/ Robert R. Barker
-------------------------
/s/ Stanley Knowlton ROBERT R. BARKER
-------------------------
STANLEY KNOWLTON
/s/ Dwight E. Lee HUGH KNOWLTON TRUST FOR THE
------------------------- BENEFIT OF ERICA KNOWLTON
DWIGHT E. LEE
By: /s/ Winthrop Knowlton
-------------------------
Name: Winthrop Knowlton
Title: Trustee
<PAGE>
Page 31 of 37 Pages
SCHEDULE 1
CHANGES TO
LIST OF DIRECTORS AND EXECUTIVE OFFICERS
Name, Position and Principal
Business Address* Occupation or Employment
A. KNOWLTON BROTHERS, INC.
New Officers:
Christopher Knowlton
Vice President
c/o Knowlton Brothers, Inc.
530 Fifth Avenue
New York NY 10036-3101
B. J.M.R. BARKER FOUNDATION
No longer Officers or Directors
Elizabeth S. Barker
New Officers or Directors
Margaret S. Barker Computer Software
Director (U.S.A.)
11310 Spicewood Club Drive #19
Austin TX 78750-2868
- ----------
* Each director and executive officer listed herein is a citizen of the
United States of America.
<PAGE>
Page 32 of 37 Pages
SCHEDULE 2
Transactions in Common Stock
of Neoprobe Corp.
Effected Since August 15, 1998
THE FAMILY PARTNERSHIP, L.P.
No. of Shares Cost (Sales
of Common Stock Price) Per
Trade Date Sold Share
- ---------- --------------- -----------
8/18/98 2,000 $ 1.29
9/9/98 1,000 $ 1.01
9/21/98 5,500 $ 0.93
9/21/98 10,000 $ 0.93
9/21/98 500 $ 0.93
9/22/98 5,000 $ 0.93
9/23/98 10,000 $ 0.86
9/24/98 4,500 $ 0.85
9/24/98 2,500 $ 0.85
9/25/98 5,000 $ 0.85
9/28/98 3,000 $ 0.85
9/29/98 4,000 $ 0.89
9/30/98 3,600 $ 0.93
10/1/98 4,500 $ 0.09
THE FRONTIER PARTNERSHIP, L.P.
No. of Shares Cost (Sales
of Common Stock Price) Per
Trade Date Sold Share
8/19/98 2,500 $ 1.29
8/19/98 500 $ 1.29
9/1/98 5,000 $ 0.99
9/3/98 4,500 $ 1.01
9/3/98 500 $ 1.01
9/8/98 3,000 $ 1.00
9/21/98 6,500 $ 0.93
9/21/98 6,700 $ 0.93
9/22/98 4,000 $ 0.93
9/23/98 6,500 $ 0.86
9/24/98 4,400 $ 0.85
9/25/98 4,000 $ 0.85
9/28/98 2,000 $ 0.85
9/29/98 3,000 $ 0.89
9/30/98 2,000 $ 0.93
10/1/98 3,500 $ 0.90
10/8/98 12,000 $ 0.60
10/9/98 5,000 $ 0.60
<PAGE>
Page 33 of 37 Pages
FLAGSHIP PARTNERS, LTD.
-----------------------
No. of Shares Cost (Sales
of Common Stock Price) Per
Trade Date Sold Share
8/19/98 1,500 $ 1.29
8/19/98 3,500 $ 1.29
9/21/98 1,500 $ 0.93
9/21/98 5,500 $ 0.93
9/22/98 1,000 $ 0.93
9/23/98 3,000 $ 0.86
9/24/98 2,000 $ 0.85
9/25/98 1,000 $ 0.85
9/28/98 1,000 $ 0.85
9/29/98 1,000 $ 0.89
9/30/98 1,000 $ 0.93
10/1/98 1,000 $ 0.90
10/2/98 3,500 $ 0.85
10/2/98 1,500 $ 0.85
<PAGE>
Page 34 of 37 Pages
EXHIBIT A
JOINT FILING AGREEMENT
The Family Partnership, L.P., The Frontier Partnership, L.P., The Darwin
Partnership, L.P., Flagship Partners, Ltd., Darwin Offshore Partners, Ltd.,
Barker, Lee & Co., the J.M.R. Barker Foundation, Quaker Hill Associates, L.P.,
Upland Associates, L.P., Namakagon Associates, L.P., Family Partners & Co.,
Frontier Partners & Co., Knowlton Brothers, Inc., Knowlton Associates, Inc.,
Hugh Knowlton Trust For The Benefit of Erica Knowlton, Winthrop Knowlton,
Stanley Knowlton, Christopher Knowlton, Robert R. Barker and Dwight E. Lee each
hereby agree that the Schedule 13D filed herewith and any amendments thereto
relating to the acquisition of shares of Common Stock of Neoprobe Corporation is
filed jointly on behalf of each such person.
Dated: October 16, 1998
THE FAMILY PARTNERSHIP, L.P.
By: Family Partners & Co.,
as general partner
By: Knowlton Brothers, Inc.,
as general partner
By: /s/ Stanley Knowlton
---------------------------
Name: Stanley Knowlton
Title: President
<PAGE>
Page 35 of 37 Pages
THE FRONTIER PARTNERSHIP, L.P.
By: Frontier Partners & Co.,
as general partner
By: Knowlton Brothers, Inc.,
as general partner
By: /s/ Stanley Knowlton
-------------------------
Name: Stanley Knowlton
Title: President
THE DARWIN PARTNERSHIP, L.P.
By: /s/ Stanley Knowlton
-------------------------
Name: Stanley Knowlton
Title: General Partner
BARKER, LEE & CO.
By: /s/ Dwight E. Lee
-------------------------
Name: Dwight E. Lee
Title: General Partner
J.M.R. BARKER FOUNDATION
By: /s/ Dwight E. Lee
-------------------------
Name: Dwight E. Lee
Title: Vice President
QUAKER HILL ASSOCIATES, L.P.
By: /s/ Dwight E. Lee
-------------------------
Name: Dwight E. Lee
Title: General Partner
UPLAND ASSOCIATES, L.P.
By: /s/ Dwight E. Lee
-------------------------
Name: Dwight E. Lee
Title: General Partner
<PAGE>
Page 36 of 37 Pages
NAMAKAGON ASSOCIATES, L.P.
By: /s/ Dwight E. Lee
---------------------------
Name: Dwight E. Lee
Title: General Partner
FLAGSHIP PARTNERS, LTD.
By: Knowlton Brothers, Inc.,
as Investment Advisor
By: /s/ Stanley Knowlton
---------------------------
Name: Stanley Knowlton
Title: President
DARWIN OFFSHORE PARTNERS, LTD.
By: Knowlton Brothers, Inc.,
as Investment Advisor
By: /s/ Stanley Knowlton
---------------------------
Name: Stanley Knowlton
Title: President
FAMILY PARTNERS & CO.
By: Knowlton Brothers, Inc.,
as general partner
By: /s/ Stanley Knowlton
---------------------------
Name: Stanley Knowlton
Title: President
FRONTIER PARTNERS & CO.
By: Knowlton Brothers, Inc.,
as general partner
By: /s/ Winthrop Knowlton
---------------------------
Name: Winthrop Knowlton
Title: Chairman
<PAGE>
Page 37 of 37 Pages
KNOWLTON BROTHERS, INC.
By: /s/ Winthrop Knowlton
-------------------------
Name: Winthrop Knowlton
Title: Chairman
KNOWLTON ASSOCIATES, INC.
By: /s/ Winthrop Knowlton
-------------------------
Name: Winthrop Knowlton
Title: Chairman
HUGH KNOWLTON TRUST FOR THE
BENEFIT OF ERICA KNOWLTON
By: /s/ Winthrop Knowlton
-------------------------
Name: Winthrop Knowlton
Title: Trustee
/s/ Winthrop Knowlton
-------------------------
WINTHROP KNOWLTON
/s/ Stanley Knowlton
-------------------------
STANLEY KNOWLTON
/s/ Christopher Knowlton
-------------------------
CHRISTOPHER KNOWLTON
/s/ Robert R. Barker
-------------------------
ROBERT R. BARKER
/s/ Dwight E. Lee
-------------------------
DWIGHT E. LEE
