-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HMmeELMKk/SpAaZOhQorYvanZkcZj6dOtFpZuQxJeRdvveVvI4sWK3mwlRZioeYZ 1DAuMQjBp5rABDeFw8UaAg== 0000950005-97-000139.txt : 19970222 0000950005-97-000139.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950005-97-000139 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970212 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COLLAGENEX PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001012270 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 521758016 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-47825 FILM NUMBER: 97526823 BUSINESS ADDRESS: STREET 1: 301 SOUTH STATE ST CITY: NEWTON STATE: PA ZIP: 18940 BUSINESS PHONE: 2155797388 MAIL ADDRESS: STREET 1: 301 SOUTH STATE ST CITY: NEWTON STATE: PA ZIP: 18940 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DELPHI VENTURES III LP CENTRAL INDEX KEY: 0001008461 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943220444 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BLDG I STE 130 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 4158549650 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BLDG I STE 130 CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13G 1 FORM 13-G 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._______)* CollaGenex Pharmaceuticals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 19419B100 - -------------------------------------------------------------------------------- (CUSIP Number) *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). (Continued on following pages) Page 1 of 13 Pages Exhibit Index Contained on Page 12 - --------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 2 of 13 Pages - --------------------------------------------------------- --------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Delphi Ventures III, L.P. ("DV III") Tax ID Number: - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------------------------------- -------- ----------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 613,946 shares, except that Delphi Management Partners III, L.P. BENEFICIALLY ("DMP III"), the general partner of DVIII, and Bochnowski, Douglass, OWNED BY EACH REPORTING and Lothrop, the general partners of DMP III, may be deemed to have PERSON shared power to vote these shares. WITH -------- ----------------------------------------------------------------------- 6 SHARED VOTING POWER See response to row 5. -------- ----------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 613,946 shares, except that DMP III, the general partner of DVIII, and Bochnowski, Douglass, and Lothrop, the general partners of DMP III, may be deemed to have shared power to dispose of these shares. -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7. - ----------------------------------- -------- ----------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 613,946 - ----------- -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ----------- -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.15% - ----------- -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ----------- -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- --------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 3 of 13 Pages - --------------------------------------------------------- --------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Delphi BioInvestments III, L.P. ("DBI III") Tax ID Number: - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------------------------------- -------- ----------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 11,054 shares, except that DMP III, the general partner of DBI III, and BENEFICIALLY Bochnowski, Douglass, and Lothrop, the general partners of DMP III, OWNED BY EACH REPORTING may be deemed to have shared power to vote these shares. PERSON WITH -------- ----------------------------------------------------------------------- 6 SHARED VOTING POWER See response to row 5. -------- ----------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 11,054 shares, except that DMP III, the general partner of DBI III, and Bochnowski, Douglass, and Lothrop, the general partners of DMP III, may be deemed to have shared power to dispose of these shares. -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7. - ----------- -------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,054 - ----------- -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ----------- -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.15% - ----------- -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ----------- -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- --------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 4 of 13 Pages - --------------------------------------------------------- --------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Delphi Management Partners III, L.P. ("DMP III") Tax ID Number: - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------------------------------- -------- ----------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 shares. BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -------- ----------------------------------------------------------------------- 6 SHARED VOTING POWER 625,000 shares, of which 613,946 are directly owned by DV III and 11,054 are directly owned by DBI III. DMP III is the general partner of DV III and DBI III and may be deemed to have shared power to vote these shares. -------- ----------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 shares. -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 625,000 shares, of which 613,946 are directly owned by DV III and 11,054 are directly owned by DBI III. DMP III is the general partner of DV III and DBI III and may be deemed to have shared power to dispose of these shares. - ----------- -------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 625,000 - ----------- -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ----------- -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.29% - ----------- -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ----------- -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- --------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 5 of 13 Pages - --------------------------------------------------------- --------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS James J. Bochnowski ("Bochnowski") Tax ID Number: - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ----------- -------------------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 shares. BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -------- ----------------------------------------------------------------------- 6 SHARED VOTING POWER 625,000 shares, of which 613,946 are directly owned by DV III and 11,054 are directly owned by DBI III. DMP III is the general partner of DV III and DBI III, and Bochnowski, a general partner of DMP III, may be deemed to have shared power to vote these shares. -------- ----------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 shares. -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 625,000 shares, of which 613,946 are directly owned by DV III and 11,054 are directly owned by DBI III. DMP III is the general partner of DV III and DBI III, and Bochnowski, a general partner of DMP III, may be deemed to have shared power to dispose of these shares. - ----------- -------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 625,000 - ----------- -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ----------- -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.29% - ----------- -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- --------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 6 of 13 Pages - --------------------------------------------------------- --------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS David L. Douglass ("Douglass") Tax ID Number: - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ----------------------------------- -------- ----------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 shares. BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -------- ----------------------------------------------------------------------- 6 SHARED VOTING POWER 625,000 shares, of which 613,946 are directly owned by DV III and 11,054 are directly owned by DBI III. DMP III is the general partner of DV III and DBI III, and Douglass, a general partner of DMP III, may be deemed to have shared power to vote these shares. -------- ----------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 shares. -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 625,000 shares, of which 613,946 are directly owned by DV III and 11,054 are directly owned by DBI III. DMP III is the general partner of DV III and DBI III, and Douglass, a general partner of DMP III, may be deemed to have shared power to dispose of these shares. - ----------- -------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 625,000 - ----------- -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ----------- -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.29% - ----------- -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- --------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 7 of 13 Pages - --------------------------------------------------------- --------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Donald J. Lothrop ("Lothrop") Tax ID Number: - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ----------- -------------------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 shares. BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -------- ----------------------------------------------------------------------- 6 SHARED VOTING POWER 625,000 shares, of which 613,946 are directly owned by DV III and 11,054 are directly owned by DBI III. DMP III is the general partner of DV III and DBI III, and Lothrop, a general partner of DMP III, may be deemed to have shared power to vote these shares. -------- ----------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 shares. -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 625,000 shares, of which 613,946 are directly owned by DV III and 11,054 are directly owned by DBI III. DMP III is the general partner of DV III and DBI III, and Lothrop, a general partner of DMP III, may be deemed to have shared power to dispose of these shares. - ----------- -------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 625,000 - ----------- -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ----------- -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.29% - ----------- -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 8 of 13 Pages ITEM 1(a). NAME OF ISSUER: CollaGenex Pharmaceuticals, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 301 South State Street Newton, PA 18940 ITEM 2(a). NAME OF PERSONS FILING: This Statement is filed by Delphi Ventures III, L.P., a Delaware limited partnership ("DV III"), Delphi BioInvestments III, L.P. ("DBI III"), Delphi Management Partners III, L.P., a Delaware limited partnership ("DMP III"), James J. Bochnowski ("Bochnowski"), David L. Douglass ("Douglass"), and Donald J. Lothrop ("Lothrop"). The foregoing entities and individuals are collectively referred to as the "Reporting Persons." DMP III is the general partner of DV III and DBI III, and may be deemed to have shared power to vote and shared power to dispose of shares of the issuer directly owned by DV III and DBI III. Bochnowski, Douglass and Lothrop are the general partners of DMP III, and may be deemed to have shared power to vote and shared power to dispose of the shares of issuer directly owned by DV III and DBI III. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE: The address for each of the Reporting Persons is: Delphi Ventures 3000 Sand Hill Road Building I, Suite 135 Menlo Park, CA 94025 ITEM 2(c) CITIZENSHIP: DV III, DBI III and DMP III are Delaware limited partnerships, and Bochnowski, Douglass and Lothrop are United States citizens. ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(e). CUSIP NUMBER: CUSIP # 19419B100 ITEM 3. Not Applicable Page 9 of 13 Pages ITEM 4. OWNERSHIP: The following information with respect to the ownership of the Common Stock of the issuer by the persons filing this Statement is provided as of December 31, 1996: (a) Amount beneficially owned: See Row 9 of cover page for each Reporting Person. (b) Percent of Class: See Row 11 of cover page for each Reporting Person. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: See Row 5 of cover page for each Reporting Person. (ii) Shared power to vote or to direct the vote: See Row 6 of cover page for each Reporting Person. (iii) Sole power to dispose or to direct the disposition of: See Row 7 of cover page for each Reporting Person. (iv) Shared power to dispose or to direct the disposition of: See Row 8 of cover page for each Reporting Person. Page 10 of 13 Pages ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Under certain circumstances set forth in the limited partnership agreements of DV III, DBI III, and DMP III, the general and limited partners of each of such entities may be deemed to have the right to receive dividends from, or the proceeds from, the sale of shares of the issuer owned by each such entity of which they are a partner. 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. CERTIFICATION: Not applicable Page 11 of 13 Pages SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 11, 1997 /s/ James J. Bochnowski -------------------------------------------------- James J. Bochnowski, individually, and on behalf of DVIII, in his capacity as a general partner of DMP III, the general partner of DVIII, on behalf of DBI III, in his capacity as a general partner of DMP III, the general partner of DBI III, and on behalf of DMP III in his capacity as a general partner thereof. /s/ David L. Douglass -------------------------------------------------- David L. Douglass /s/ Donald J. Lothrop -------------------------------------------------- Donald J. Lothrop Page 12 of 13 Pages EXHIBIT INDEX Found on Sequentially Exhibit Numbered Page Exhibit A: Agreement of Joint Filing 13 Page 13 of 13 Pages EXHIBIT A Agreement of Joint Filing The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of CollaGenex Pharmaceuticals, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. Dated: February 11, 1997 /s/ James J. Bochnowski -------------------------------------------------- James J. Bochnowski, individually, and on behalf of DVIII, in his capacity as a general partner of DMP III, the general partner of DVIII, on behalf of DBI III, in his capacity as a general partner of DMP III, the general partner of DBI III, and on behalf of DMP III in his capacity as a general partner thereof. /s/ David L. Douglass -------------------------------------------------- David L. Douglass /s/ Donald J. Lothrop -------------------------------------------------- Donald J. Lothrop . -----END PRIVACY-ENHANCED MESSAGE-----