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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
ImmuCell Corporation
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(Name of Issuer)
Common Stock, par value $0.10 per share
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(Title of Class of Securities)
452525306
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(CUSIP Number)
December 31, 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:
[_] Rule 13d-1(b)
[X] Rule 13d-1(c)
[_] Rule 13d-1(d)
* 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 ("Act") 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).
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CUSIP No. 452525306 PAGE 2 OF 7 PAGES
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Jonathan E. Rothschild
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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
U.S.A.
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5 SOLE VOTING POWER
314,800 (includes 5,000 shares subject to options that
NUMBER OF are exercisable within 60 days, and 167,900 shares
owned indirectly through a wholly owned corporation)
SHARES ------ ------------------------------------------------------
6 SHARED VOTING POWER
BENEFICIALLY
0
OWNED BY EACH ------ ------------------------------------------------------
7 SOLE DISPOSITIVE POWER
REPORTING
314,800 (includes 5,000 shares subject to options that
PERSON are exercisable within 60 days, and 167,900 shares
owned indirectly through a wholly owned corporation)
WITH ------ ------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
314,800 (includes 5,000 shares subject to options that are exercisable
within 60 days, and 167,900 shares owned indirectly through a wholly
owned corporation)
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [_]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.5%
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12 TYPE OF REPORTING PERSON
IN
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CUSIP No. 452525306 PAGE 3 OF 7 PAGES
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Arterio, Inc.
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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
California
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5 SOLE VOTING POWER
NUMBER OF
167,900
SHARES ------ ------------------------------------------------------
6 SHARED VOTING POWER
BENEFICIALLY
0
OWNED BY EACH ------ ------------------------------------------------------
7 SOLE DISPOSITIVE POWER
REPORTING
167,900
PERSON ------ ------------------------------------------------------
8 SHARED DISPOSITIVE POWER
WITH
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
167,900
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [_]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.1%
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12 TYPE OF REPORTING PERSON
CO
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CUSIP No. 452525306 PAGE 4 OF 7 PAGES
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Item 1(a). Name of Issuer:
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ImmuCell Corporation
Item 1(b). Address of Issuer's Principal Executive Offices:
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56 Evergreen Drive
Portland, ME 04103
Item 2(a). Name of Persons Filing:
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Jonathan E. Rothschild
Arterio, Inc.
Item 2(b). Address of Principal Business Office or, if None, Residence:
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The business address of each of Jonathan E. Rothschild and
Arterio, Inc. is 1061-B Shary Circle, Concord, CA 94518.
Item 2(c). Citizenship.
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Mr. Rothschild is a citizen of the United States.
Arterio, Inc. is a California corporation.
Item 2(d). Title of Class of Securities:
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common stock, par value $0.10 per share ("Common Stock").
Item 2(e). CUSIP Number:
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452525306
Item 3. If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b)
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or (c), check whether the person filing is a:
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Not applicable.
Item 4. Ownership.
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(a) Amount Beneficially Owned:
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Mr. Rothschild beneficially owns 314,800 shares of Common
Stock of the Issuer, which includes 5,000 shares subject to
options that are exercisable within 60 days, and 167,900
shares owned indirectly through a wholly owned corporation,
Arterio, Inc.
Arterio, Inc. beneficially owns 167,900 shares of Common
Stock of the Issuer.
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CUSIP No. 452525306 PAGE 5 OF 7 PAGES
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(b) Percent of Class:
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Jonathan E. Rothschild: 11.5%.
Arterio, Inc.: 6.1%
(c) Number of shares as to which such person has:
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(i) Sole power to vote or to direct the vote:
Jonathan E. Rothschild: 314,800 (includes 5,000 shares
subject to options that are exercisable within 60
days, and 167,900 shares owned indirectly through a
wholly owned corporation, Arterio, Inc.)
Arterio, Inc.: 167,900
(ii) Shared power to vote or to direct the vote:
Jonathan E. Rothschild: 0
Arterio, Inc.: 0
(iii) Sole power to dispose or to direct the disposition of:
Jonathan E. Rothschild: 314,800 (includes 5,000 shares
subject to options that are exercisable within 60
days, and 167,900 shares owned indirectly through a
wholly owned corporation, Arterio, Inc.)
Arterio, Inc.: 167,900
(iv) Shared power to dispose or direct the disposition of:
Jonathan E. Rothschild: 0
Arterio, Inc.: 0
Item 5. Ownership of Five Percent or Less of a Class.
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If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check
the following [_].
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CUSIP No. 452525306 PAGE 6 OF 7 PAGES
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Item 6. Ownership of More Than Five Percent on Behalf of Another Person.
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Not Applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired
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the Security Being Reported on by the Parent Holding Company or
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Control Person.
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Not Applicable.
Item 8. Identification and Classification of Members of the Group.
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Not Applicable.
Item 9. Notice of Dissolution of Group.
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Not Applicable.
Item 10. Certifications.
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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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CUSIP No. 452525306 PAGE 7 OF 7 PAGES
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SIGNATURES
After reasonable inquiry and to the best knowledge and belief of each of
the undersigned, the undersigned certify that the information set forth in this
statement is true, complete and correct, and the undersigned each agree that
this Schedule 13G is filed on behalf of each of them.
Date: January 6, 2003 /s/ Jonathan e. Rothschild
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Jonathan E. Rothschild
ARTERIO, INC.
By: /s/ Jonathan e. Rothschild
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Name: Jonathan E. Rothschild
Title: President