3 1 form-3.txt ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0104 Expires: January 31, 2005 Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 _______________________________________________________________________________ 1. Name and Address of Reporting Person* Canadian Imperial Bank of Commerce ------------------------------------------------------------------------------- (Last) (First) (Middle) Commerce Court West, 199 Bay Street ------------------------------------------------------------------------------- (Street) Toronto Ontario, Canada M5L 1A2 ------------------------------------------------------------------------------- (City) (State) (Zip) _______________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) May 8, 2002 _______________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) _______________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol DOV Pharmaceuticals, Inc. (DOVP) _______________________________________________________________________________ 5. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) _______________________________________________________________________________ 6. If Amendment, Date of Original (Month/Day/Year) _______________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [_] Form Filed by One Reporting Person [X] Form Filed by More than One Reporting Person
=================================================================================================================================== Table I -- Non-Derivative Securities Beneficially Owned =================================================================================================================================== 3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2,473,462 (1) Held by subsidiary ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one Reporting Person, see Instruction 5(b)(v). 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 CONTROL NUMBER. (Print of Type Responses) (Over) (SEC 1473 (3/99) Page 1 of 3 FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
=================================================================================================================================== 5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Explanation of Responses: (1) These shares are owned directly by CIBC World Markets, Inc., an indirect wholly owned subsidiary of Canadian Imperial Bank of Commerce. Accordingly, securities owned by CIBC World Markets may be regarded as being owned beneficially by Canadian Imperial Bank of Commerce. Canadian Imperial Bank of Commerce By: /s/ Antonio Molestina May 21, 2002 -------------------------------------------- ----------------------- Name: Antonio Molestina Date Title: Senior Vice President and Deputy General Counsel **Signature of Reporting Person ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. 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. (Print of Type Responses) Page 2 of 3 Joint Filer Information Name: CIBC World Markets Corp. Address: 245 Park Avenue New York, NY 10167 Designated Filer: Canadian Imperial Bank of Commerce Issuer & Ticker Symbol: DOV Pharmaceuticals, Inc. (DOVP) Date of Event Requiring Statement: May 8, 2002 Signature: /s/ Thomas Ortwein ----------------------------- Name: Thomas Ortwein Title: Managing Director Page 3 of 3