-----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, DcQjaNGPRBw206LQOIcKTTSrW7YJrzUUzwEhKAdG5aOMvlQBJPCmJ17+YoohVxv1 exrY7eNZ/4HFpbXA5PFd2A== 0000950005-99-000169.txt : 19990217 0000950005-99-000169.hdr.sgml : 19990217 ACCESSION NUMBER: 0000950005-99-000169 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 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/A SEC ACT: SEC FILE NUMBER: 005-47825 FILM NUMBER: 99538677 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/A 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/A 1 FORM SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No.1)* CollaGenex Pharmaceuticals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 19419B100 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 1998 - -------------------------------------------------------------------------------- (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) [ ] Rule 13d-(c) [X] 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). (Continued on following pages) Page 1 of 10 Pages
- ---------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 2 of 10 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 500,968 shares, except that Delphi Management Partners III, L.L.C. BENEFICIALLY ("DMP III"), the general partner of DVIII, and Bochnowski, Douglass, OWNED BY EACH REPORTING Lothrop and Yu, 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 500,968 shares, except that Delphi Management Partners III, L.L.C. ("DMP III"), the general partner of DVIII, and Bochnowski, Douglass, Lothrop and Yu 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 500,968 - ------------ -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.83% - ------------ -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 3 of 10 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 9,032 shares, except that DMP III, the general partner of DV III, and BENEFICIALLY Bochnowski, Douglass, Lothrop and Yu, 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 9,032 shares, except that DMP III, the general partner of DV III, and Bochnowski, Douglass, Lothrop and Yu, the general partners of DMP III, may be deemed to have shared power to vote these shares. -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7. - ----------------------------------- -------- ----------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9,032 - ------------ -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.10% - ------------ -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 4 of 10 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 510,000 shares, of which 500,968 are directly owned by DV III and 9,032 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 510,000 shares, of which 500,968 are directly owned by DV III and 9,032 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 510,000 - ------------ -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.94% - ------------ -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 5 of 10 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 510,000 shares, of which 500,968 are directly owned by DV III and 9,032 are directly owned by DBI III. DMP III, 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 510,000 shares, of which 500,968 are directly owned by DV III and 9,032 are directly owned by DBI III. DMP III, 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 510,000 - ------------ -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.94% - ------------ -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 6 of 10 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 510,000 shares, of which 500,968 are directly owned by DV III and 9,032 are directly owned by DBI III. DMP III, 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 510,000 shares, of which 500,968 are directly owned by DV III and 9,032 are directly owned by DBI III. DMP III, 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 510,000 - ------------ -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.94% - ------------ -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 7 of 10 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 510,000 shares, of which 500,968 are directly owned by DV III and 9,032 are directly owned by DBI III. DMP III, 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 510,000 shares, of which 500,968 are directly owned by DV III and 9,032 are directly owned by DBI III. DMP III, 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 510,000 - ------------ -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.94% - ------------ -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- --------------------------------------- CUSIP NO. 19419B100 13 G Page 8 of 10 Pages - ---------------------------------------------------------- --------------------------------------- - ------------ -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Debra Yu ("Yu") 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 510,000 shares, of which 500,968 are directly owned by DV III and 9,032 are directly owned by DBI III. DMP III, the general partner of DV III and DBI III, and Yu, 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 510,000 shares, of which 500,968 are directly owned by DV III and 9,032 are directly owned by DBI III. DMP III, the general partner of DV III and DBI III, and Yu, 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 510,000 - ------------ -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.94% - ------------ -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 9 of 10 Pages This Statement amends and restates the Statement on 13(G) 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"), Donald J. Lothrop ("Lothrop") and Debra Yu ("Yu"). The foregoing entities and individuals are collectively referred to as the "Reporting Persons." 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, 1998: (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 10 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 9, 1999 /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 /s/ Debra Yu ------------------------------------ Debra Yu -----END PRIVACY-ENHANCED MESSAGE-----