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--------- U.S. SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
FORM 3 Washington, D.C. 20549 --------------------------
-------- OMB Number 3235-0104
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Expires: December 31, 2001
Estimated average burden
hours per response...0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, --------------------------
Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
(Print or Type Responses)
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1. Name and Address of Reporting Person* 2. Date of Event 4. Issuer Name and Ticker or Trading Symbol
Kimberlin Kevin B. Requiring
Statement Careside, Inc. (CSA)
(Month/Day/Year)
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(Last) (First) (Middle) 6/15/99 5. Relationship of Reporting Person(s) to Issuer 6. If Amendment,
(Check all applicable) Date of Original
535 Madison Avenue, 18th Floor --------------- (Month/Day/Year)
3. IRS Director X 10% Owner 6/14/99
Identification --- ---
Number of Officer (give Other
------------------------------------------ Reporting Person, --- title below) --- (specify below)
(Street) if an Entity
New York New York 10011 (voluntary)
7. Individual or
Joint/Group
Filing (Check
Applicable Line)
X Form filed by One
-- Reporting Person
Form filed by
-- More than One
Reporting Person
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(City) (State) (Zip) TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
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1. Title of Security 2. Amount of 3. Ownership Form: 4. Nature of Indirect
(Instr. 4) Securities Direct (D) or Beneficial Ownership
Beneficially Indirect (I) (Instr. 5)
Owned (Instr. 5)
(Instr. 4)
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371,090 I See Note (1)
Common Stock
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Common Stock 55,760 I See Note (2)
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Common Stock 339,041 I See Note (3)
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(1) Held by Oshkim Limited Partners, L.P., a Nevada limited partnership (`Oshkim"), of which the reporting person is the general
partner.
(2) Held by Spencer Trask Securities, Incorporated ("STSI"), a Delaware corporation and wholly owned subsidiary of Spencer Trask
Holding, Inc., a Delaware corporation ("STHI"), of which the reporting person is the controlling shareholder.
(3) Held by Kevin Kimberlin Partners, L.P., a Delaware limited partnership ("KKP"), of which the reporting person is the general
partner.
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Reminder: Report on a separate line for each class of securities beneficially (Over)
owned directly or indirectly. SEC 1473 (3-99)
*If the form is filed by more than one reporting person, SEE Instruction 5(b)(v).
FORM 3 (continued)Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivative Security 2. Date 3. Title and Amount 4. Conver- 5. Ownership 6. Nature of Indirect
(Instr. 4) Exercisable of Securities sion or Form of Beneficial Ownership
and Underlying Exercise Derivative (Instr. 5)
Expiration Derivative Price of Security:
Date Security Deriv- Direct
(Instr. 4) ative (D) or
(Month/Day/ Security Indirect
Year) (I)
(Instr.
5)
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Date Expira- Amount
Exer- tion or
cisable Date Title Number
of
Shares
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Warrants to purchase Common Stock 5/19/97 3 Common Stock 20,517 $5.20 I See Note (4)
years
from
IPO
Closing
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Warrants to purchase Common Stock 5/19/97 3 Common Stock 157,181 $5.20 I See Note (5)
years
from
IPO
Closing
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Warrants to purchase Common Stock 7/9/98 3 Common Stock 38,095 $6.76 I See Note (6)
years
from
IPO
Closing
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Warrants to purchase Common Stock 7/9/98 3 Common Stock 120,556 $6.76 I See Note (7)
years
from
IPO
Closing
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Explanation of Responses:
(4) Held by Oshkim, of which the reporting person is the general partner.
(5) Held by STSI, wholly owned subsidiary of STHI, of which the reporting person is the controlling shareholder.
(6) Held by KKP of which the reporting person is the general partner.
(7) Held by STSI, wholly owned subsidiary of STHI, of which the reporting person is the controlling shareholder.
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Explanation of Responses:
/s/ Kevin B. Kimberlin February 15, 2002
**Intentional misstatements or omissions of facts --------------------------------------------- ------------------
constitute Federal Criminal Violations. **Signature of Reporting Person Date
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Kevin B. Kimberlin
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
See Instruction 6 for procedure.
Page 2
Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB Number. SEC 1473 (3-99)