UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. __)*
SYMBOLLON CORPORATION
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
87151H106
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(CUSIP Number)
October 22, 1999
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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 field:
[ ] Rule 13d-1(b)
[X] Rule 13d-(c)
[ ] Rule 13d-1(d)
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SCHEDULE 13G
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CUSIP No. 87151H106 Page 2 of 5 Pages
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<TABLE>
<CAPTION>
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<S> <C> <C> <C> <C>
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Richard P. Morgenstern - S.S. No. 065 40 5864
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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
United States
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Number of 5 SOLE VOTING POWER 120,000 shares
Shares ---------- --------------------------------------------------------------------------------------------
Beneficially 6 SHARED VOTING POWER 135,000 shares
Owned by ---------- --------------------------------------------------------------------------------------------
Each 7 SOLE DISPOSITIVE POWER 120,000 shares
Reporting ---------- --------------------------------------------------------------------------------------------
Person 8 SHARED DISPOSITIVE POWER 135,000 shares
With
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
255,000
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10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.5%
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12 TYPE OF REPORTING PERSON*
IN
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</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
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Page 3 of 5 Pages
ATTACHMENT
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Item 1(a). Name of Issuer
Symbollon Corporation
Item 1(b). Address of Issuer's Principal Executive Offices
37 Loring Drive, Farmingham, MA 01702
Item 2(a). Name of Person Filing
Richard P. Morgenstern
Item 2(b). Address of Principal Business Office or, if None, Residence
471 Parkwood Drive, Los Angeles, California 90077
Item 2(c). Citizenship
See response to Number 4 on page 2.
Item 2(d). Title of Class of Securities
Class A Common Stock, par value $.001 per share
Item 2(e). CUSIP No.
87151H106
Item 3. If This Statement Is Filed Pursuant to Rules 13d-1(b), or 13d-2(b),
Check Whether the Person Filing Is a
(a) [ ] Broker or Dealer registered under Section 15 of the Act
(b) [ ] Bank as defined in section 3(a)(6) of the Act
(c) [ ] Insurance Company as defined in Section 3(a)(19) of the
Act
(d) [ ] Investment Company registered under Section 8 of the
Investment Company Act
(e) [ ] Investment Adviser registered in accordance with Rule
13d-1(b)(1)(ii)(e);
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Page 4 of 5 Pages
(f) [ ] Employee Benefit Plan, Pension fund which is subject to
the provisions of the Employee Retirement Income Security Act
of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F)
(g) [ ] Parent Holding Company, in accordance with Rule
13d-1(b)(ii)(G) (Note: See Item 7)
(h) [ ] A savings association as defined in Section 3(b) of the
Federal Deposit Investment Act.
(i) [ ] A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment
Company Act;
(j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(j).
If this Statement is filed pursuant to Rule 13d-1(c), check this box
[X].
Item 4. Ownership
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned: Richard P. Morgenstern beneficially
owns 127,500 shares of Class A Common Stock of the Issuer and
127,500 currently vested warrants to purchase Class A Common
Stock. 60,000 shares of Class A Common Stock and 60,000
warrants are registered in the name of Richard P. Morgenstern
Living Trust, 22,500 shares of Class A Common Stock and 22,500
warrants are registered to each of Mr. Morgenstern's children,
Michael J. Morgenstern, David T. Morgenstern and Sari B.
Morgenstern.
(b) Percent of class:
6.5%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote. 120,000 shares
(ii) Shared power to vote or to direct the vote. 135,000 shares.
(iii) Sole power to dispose or to direct the disposition of 120,000
shares.
(iv) Shared power to dispose or to direct the disposition of
135,000 shares.
Item 5. Ownership of Five Percent or Less of a Class
Not Applicable.
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Page 5 of 5 Pages
Item 6. Ownership of More Than Five Percent on Behalf of Another Person
None.
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.
Item 10. Certifications
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.
SIGNATURE
After reasonable inquiry and to the best of the undersigned's knowledge
and belief, the undersigned certifies that the information set forth in this
statement is true, complete and correct.
Date: December 8, 1999
/s/ Richard P. Morgenstern
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Richard P. Morgenstern
